Guggenheim Active Allocation Fund - GUG
Detailed investor-level table based on 13F positions.
Early Q1 2026 data: only 2 institutional holders reported so far. The full shareholder list will grow as more funds file with the SEC.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MORGAN STANLEY | History | Added to | 2,782,293 | 42,652 | 0.0% | 0.0% | 1 | +4,030 | 0.15% | Q4 2025 | Feb 13, 2026 |
| Pathstone Holdings, LLC | History | New | 975,927 | 14,960 | 0.06% | — | 2 | +975,927 | New | Q4 2025 | Feb 13, 2026 |
| GUGGENHEIM CAPITAL LLC | History | No change | 950,000 | 14,563 | 0.1% | 0.11% | 3 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| BANK OF AMERICA CORP /DE/ | History | Added to | 885,035 | 13,567 | 0.0% | 0.0% | 4 | +206,836 | 30.5% | Q4 2025 | Feb 17, 2026 |
| Advisors Asset Management, Inc. | History | Reduced | 835,944 | 12,815 | 0.22% | 0.24% | 5 | -59,044 | -6.6% | Q4 2025 | Feb 12, 2026 |
| COHEN & STEERS, INC. | History | No change | 748,149 | 11,469 | 0.02% | 0.02% | 6 | 0 | 0.0% | Q4 2025 | Feb 13, 2026 |
| Baird Financial Group, Inc. | History | Added to | 708,042 | 10,854 | 0.02% | 0.02% | 7 | +15,878 | 2.29% | Q4 2025 | Feb 13, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Reduced | 648,132 | 9,935 | 0.0% | 0.0% | 8 | -28,165 | -4.16% | Q4 2025 | Feb 18, 2026 |
| ROYAL BANK OF CANADA | History | New | 484,718 | 7,430 | 0.0% | — | 9 | +484,718 | New | Q4 2025 | Feb 17, 2026 |
| WELLS FARGO & COMPANY/MN | History | Added to | 276,495 | 4,238 | 0.0% | 0.0% | 10 | +723 | 0.26% | Q4 2025 | Feb 13, 2026 |
| CORRADO ADVISORS, LLC | History | Added to | 180,342 | 2,764 | 1.39% | 1.44% | 11 | +8,007 | 4.65% | Q4 2025 | Feb 10, 2026 |
| Focus Partners Wealth | History | New | 142,693 | 2,187 | 0.0% | — | 12 | +142,693 | New | Q4 2025 | Feb 13, 2026 |
| Steward Partners Investment Advisory, LLC | History | Added to | 137,379 | 2,106 | 0.01% | 0.01% | 13 | +16,446 | 13.6% | Q4 2025 | Feb 12, 2026 |
| Closed-End Fund Advisors, Inc. | History | New | 110,396 | 1,692 | 1.0% | — | 14 | +110,396 | New | Q4 2025 | Feb 11, 2026 |
| Kestra Advisory Services, LLC | History | Added to | 104,026 | 1,594 | 0.01% | 0.01% | 15 | +5,571 | 5.66% | Q4 2025 | Feb 13, 2026 |
| Invesco Ltd. | History | Added to | 78,358 | 1,201 | 0.0% | 0.0% | 16 | +4,261 | 5.75% | Q4 2025 | Feb 19, 2026 |
| OPPENHEIMER & CO INC | History | Reduced | 71,031 | 1,088 | 0.02% | 0.02% | 17 | -18,464 | -20.63% | Q4 2025 | Feb 02, 2026 |
| STIFEL FINANCIAL CORP | History | Reduced | 48,281 | 740 | 0.0% | 0.0% | 18 | -1,193 | -2.41% | Q4 2025 | Feb 13, 2026 |
| Golden State Equity Partners | History | Added to | 47,694 | 731 | 0.12% | 0.12% | 19 | +2,364 | 5.22% | Q4 2025 | Jan 29, 2026 |
| OSAIC HOLDINGS, INC. | History | Reduced | 45,540 | 698 | 0.0% | 0.0% | 20 | -4,740 | -9.43% | Q4 2025 | Feb 17, 2026 |
| Concurrent Investment Advisors, LLC | History | Added to | 36,477 | 559 | 0.01% | 0.01% | 21 | +170 | 0.47% | Q4 2025 | Jan 29, 2026 |
| Aviance Capital Partners, LLC | History | Added to | 31,620 | 484 | 0.06% | 0.06% | 22 | +1,168 | 3.84% | Q4 2025 | Feb 06, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Added to | 31,484 | 482 | 0.0% | 0.0% | 23 | +3,001 | 10.54% | Q4 2025 | Feb 10, 2026 |
| World Investment Advisors | History | Added to | 30,967 | 474 | 0.01% | 0.01% | 24 | +811 | 2.69% | Q4 2025 | Mar 12, 2026 |
| Rockefeller Capital Management L.P. | History | Added to | 30,004 | 459 | 0.0% | 0.0% | 25 | +7,861 | 35.5% | Q4 2025 | Mar 16, 2026 |
| JOURNEY STRATEGIC WEALTH LLC | History | Added to | 27,939 | 428 | 0.01% | 0.01% | 26 | +400 | 1.45% | Q4 2025 | Feb 13, 2026 |
| Marex Group plc | History | New | 27,847 | 426 | 0.0% | — | 27 | +27,847 | New | Q4 2025 | Feb 12, 2026 |
| Cetera Investment Advisers | History | Added to | 27,333 | 419 | 0.0% | 0.0% | 28 | +4,258 | 18.45% | Q4 2025 | Feb 17, 2026 |
| LPL Financial LLC | History | Reduced | 26,563 | 407 | 0.0% | 0.0% | 29 | -567 | -2.09% | Q4 2025 | Feb 11, 2026 |
| DAVENPORT & Co LLC | History | Added to | 24,363 | 373 | 0.0% | 0.0% | 30 | +36 | 0.15% | Q4 2025 | Jan 12, 2026 |
| J.W. COLE ADVISORS, INC. | History | Reduced | 39,015 | 333 | 0.01% | 0.01% | 31 | -384 | -0.97% | Q4 2025 | Feb 11, 2026 |
| JANE STREET GROUP, LLC | History | New | 19,880 | 304 | 0.0% | — | 32 | +19,880 | New | Q4 2025 | Feb 12, 2026 |
| UBS Group AG | History | Added to | 19,175 | 293 | 0.0% | 0.0% | 33 | +607 | 3.27% | Q4 2025 | Jan 29, 2026 |
| Orion Porfolio Solutions, LLC | History | Added to | 15,212 | 233 | 0.0% | 0.0% | 34 | +4,287 | 39.24% | Q4 2025 | Feb 12, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Added to | 15,133 | 231 | 0.0% | 0.0% | 35 | +3,428 | 29.29% | Q4 2025 | Feb 12, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | New | 15,027 | 230 | 0.0% | — | 36 | +15,027 | New | Q4 2025 | Feb 05, 2026 |
| Kingsview Wealth Management, LLC | History | Reduced | 14,830 | 227 | 0.0% | 0.0% | 37 | -2,500 | -14.43% | Q4 2025 | Feb 09, 2026 |
| MGB Wealth Management, LLC | History | Reduced | 14,146 | 216 | 0.06% | 0.07% | 38 | -1,762 | -11.08% | Q4 2025 | Feb 17, 2026 |
| 1607 Capital Partners, LLC | History | New | 12,600 | 193 | 0.01% | — | 39 | +12,600 | New | Q4 2025 | Feb 17, 2026 |
| High Net Worth Advisory Group LLC | History | New | 12,373 | 189 | 0.04% | — | 40 | +12,373 | New | Q4 2025 | Jan 23, 2026 |
| U.S. Capital Wealth Advisors, LLC | History | Reduced | 11,802 | 180 | 0.0% | 0.01% | 41 | -2,600 | -18.05% | Q4 2025 | Jan 23, 2026 |
| XTX Topco Ltd | History | New | 10,861 | 166 | 0.0% | — | 42 | +10,861 | New | Q4 2025 | Feb 17, 2026 |
| WEDBUSH SECURITIES INC | History | Reduced | 10,758 | 165 | 0.0% | 0.01% | 43 | -2,827 | -20.81% | Q4 2025 | Feb 12, 2026 |
| SouthState Bank Corp | History | No change | 8,425 | 129 | 0.01% | 0.01% | 44 | 0 | 0.0% | Q4 2025 | Feb 11, 2026 |
| Annis Gardner Whiting Capital Advisors, LLC | History | No change | 7,500 | 114 | 0.02% | 0.02% | 45 | 0 | 0.0% | Q4 2025 | Feb 09, 2026 |
| Larson Financial Group LLC | History | No change | 3,000 | 45 | 0.0% | 0.0% | 46 | 0 | 0.0% | Q4 2025 | Feb 06, 2026 |
| Geneos Wealth Management Inc. | History | No change | 3,000 | 45 | 0.0% | 0.0% | 47 | 0 | 0.0% | Q4 2025 | Jan 28, 2026 |
| Noble Wealth Management PBC | History | No change | 2,700 | 41 | 0.02% | 0.02% | 48 | 0 | 0.0% | Q4 2025 | Jan 05, 2026 |
| TSFG, LLC | History | No change | 1,734 | 27 | 0.0% | 0.0% | 49 | 0 | 0.0% | Q4 2025 | Feb 04, 2026 |
| HARBOUR INVESTMENTS, INC. | History | No change | 1,500 | 22 | 0.0% | 0.0% | 50 | 0 | 0.0% | Q4 2025 | Feb 09, 2026 |
| JPMORGAN CHASE & CO | History | Reduced | 550 | 8 | 0.0% | 0.0% | 51 | -1,649 | -74.99% | Q4 2025 | Feb 11, 2026 |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | History | Added to | 500 | 7 | 0.0% | 0.0% | 52 | +300 | 150.0% | Q4 2025 | Feb 09, 2026 |
| Kovitz Investment Group Partners, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -160,263 | -100.0% | Q3 2025 | Nov 10, 2025 |
| Creative Planning | History | Closed out | 0 | 0 | — | 0.0% | — | -13,900 | -100.0% | Q3 2025 | Nov 14, 2025 |
| Nordwand Advisors, LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -11,500 | -100.0% | Q3 2025 | Oct 29, 2025 |
| Walleye Capital LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -11,497 | -100.0% | Q3 2025 | Nov 14, 2025 |
| Morse Asset Management, Inc | History | Closed out | 0 | 0 | — | 0.0% | — | -1,310 | -100.0% | Q3 2025 | Nov 14, 2025 |
| NewEdge Advisors, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -150 | -100.0% | Q3 2025 | Nov 17, 2025 |
| CENTRAL TRUST Co | History | New | 1 | 0 | — | — | — | +1 | New | Q4 2025 | Feb 02, 2026 |