Guggenheim Active Allocation Fund - GUG
Detailed investor-level table based on 13F positions.
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 | 2,838,748 | 43,205 | 0.0% | 0.0% | 1 | +56,455 | 2.03% | Q1 2026 | May 15, 2026 |
| GUGGENHEIM CAPITAL LLC | History | No change | 950,000 | 14,459 | 0.11% | 0.1% | 2 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| BANK OF AMERICA CORP /DE/ | History | Added to | 914,964 | 13,925 | 0.0% | 0.0% | 3 | +29,929 | 3.38% | Q1 2026 | May 15, 2026 |
| Pathstone Holdings, LLC | History | Reduced | 888,872 | 13,528 | 0.05% | 0.06% | 4 | -87,055 | -8.92% | Q1 2026 | May 11, 2026 |
| COHEN & STEERS, INC. | History | Added to | 848,149 | 12,909 | 0.02% | 0.02% | 5 | +100,000 | 13.37% | Q1 2026 | May 15, 2026 |
| Advisors Asset Management, Inc. | History | Reduced | 804,347 | 12,242 | 0.2% | 0.22% | 6 | -31,597 | -3.78% | Q1 2026 | May 15, 2026 |
| Baird Financial Group, Inc. | History | Added to | 730,304 | 11,115 | 0.02% | 0.02% | 7 | +22,262 | 3.14% | Q1 2026 | May 14, 2026 |
| RAYMOND JAMES FINANCIAL INC | History | Added to | 708,954 | 10,790 | 0.0% | 0.0% | 8 | +60,822 | 9.38% | Q1 2026 | May 14, 2026 |
| ROYAL BANK OF CANADA | History | Added to | 500,014 | 7,610 | 0.0% | 0.0% | 9 | +15,296 | 3.16% | Q1 2026 | May 15, 2026 |
| WELLS FARGO & COMPANY/MN | History | Added to | 296,593 | 4,514 | 0.0% | 0.0% | 10 | +20,098 | 7.27% | Q1 2026 | May 11, 2026 |
| Steward Partners Investment Advisory, LLC | History | Added to | 150,120 | 2,284 | 0.01% | 0.01% | 11 | +12,741 | 9.27% | Q1 2026 | May 08, 2026 |
| Closed-End Fund Advisors, Inc. | History | Reduced | 106,688 | 1,623 | 1.65% | 1.0% | 12 | -3,708 | -3.36% | Q1 2026 | May 11, 2026 |
| Invesco Ltd. | History | Added to | 84,958 | 1,293 | 0.0% | 0.0% | 13 | +6,600 | 8.42% | Q1 2026 | May 12, 2026 |
| Focus Partners Wealth | History | Reduced | 75,699 | 1,152 | 0.0% | 0.0% | 14 | -66,994 | -46.95% | Q1 2026 | May 14, 2026 |
| OPPENHEIMER & CO INC | History | Reduced | 66,963 | 1,019 | 0.01% | 0.02% | 15 | -4,068 | -5.73% | Q1 2026 | Apr 23, 2026 |
| Ascentis Independent Advisors | History | Added to | 48,577 | 739 | 0.06% | 0.12% | 16 | +883 | 1.85% | Q1 2026 | Apr 28, 2026 |
| STIFEL FINANCIAL CORP | History | Reduced | 48,126 | 732 | 0.0% | 0.0% | 17 | -155 | -0.32% | Q1 2026 | May 12, 2026 |
| Cetera Investment Advisers | History | Added to | 43,694 | 665 | 0.0% | 0.0% | 18 | +16,361 | 59.86% | Q1 2026 | May 13, 2026 |
| ENVESTNET ASSET MANAGEMENT INC | History | Added to | 40,772 | 620 | 0.0% | 0.0% | 19 | +9,288 | 29.5% | Q1 2026 | May 04, 2026 |
| OSAIC HOLDINGS, INC. | History | Reduced | 39,722 | 604 | 0.0% | 0.0% | 20 | -5,818 | -12.78% | Q1 2026 | May 15, 2026 |
| LPL Financial LLC | History | Added to | 38,907 | 592 | 0.0% | 0.0% | 21 | +12,344 | 46.47% | Q1 2026 | May 06, 2026 |
| Concurrent Investment Advisors, LLC | History | Added to | 38,421 | 584 | 0.01% | 0.01% | 22 | +1,944 | 5.33% | Q1 2026 | Apr 20, 2026 |
| World Investment Advisors | History | Added to | 32,529 | 495 | 0.01% | 0.01% | 23 | +1,562 | 5.04% | Q1 2026 | Apr 27, 2026 |
| JOURNEY STRATEGIC WEALTH LLC | History | Added to | 31,939 | 486 | 0.01% | 0.01% | 24 | +4,000 | 14.32% | Q1 2026 | Apr 15, 2026 |
| Aviance Capital Partners, LLC | History | Added to | 31,667 | 481 | 0.06% | 0.06% | 25 | +47 | 0.15% | Q1 2026 | May 06, 2026 |
| Rockefeller Capital Management L.P. | History | Added to | 30,630 | 466 | 0.0% | 0.0% | 26 | +626 | 2.09% | Q1 2026 | May 14, 2026 |
| CITADEL ADVISORS LLC | History | New | 30,181 | 459 | 0.0% | — | 27 | +30,181 | New | Q1 2026 | May 15, 2026 |
| DAVENPORT & Co LLC | History | Reduced | 19,498 | 296 | 0.0% | 0.0% | 28 | -4,865 | -19.97% | Q1 2026 | Apr 15, 2026 |
| Independent Advisor Alliance | History | New | 18,590 | 282 | 0.0% | — | 30 | +18,590 | New | Q1 2026 | May 12, 2026 |
| UBS Group AG | History | Reduced | 18,543 | 282 | 0.0% | 0.0% | 29 | -632 | -3.3% | Q1 2026 | May 05, 2026 |
| J.W. COLE ADVISORS, INC. | History | Reduced | 17,270 | 262 | 0.01% | 0.01% | 31 | -21,745 | -55.73% | Q1 2026 | Apr 23, 2026 |
| Cambridge Investment Research Advisors, Inc. | History | Reduced | 15,018 | 229 | 0.0% | 0.0% | 32 | -9 | -0.06% | Q1 2026 | Apr 30, 2026 |
| MGB Wealth Management, LLC | History | No change | 14,146 | 216 | 0.06% | 0.06% | 33 | 0 | 0.0% | Q4 2025 | Feb 17, 2026 |
| High Net Worth Advisory Group LLC | History | Added to | 12,555 | 191 | 0.04% | 0.04% | 34 | +182 | 1.47% | Q1 2026 | Apr 17, 2026 |
| Kingsview Wealth Management, LLC | History | Reduced | 12,395 | 188 | 0.0% | 0.0% | 35 | -2,435 | -16.42% | Q1 2026 | May 12, 2026 |
| WEDBUSH SECURITIES INC | History | Added to | 10,815 | 165 | 0.0% | 0.0% | 36 | +57 | 0.53% | Q1 2026 | Apr 21, 2026 |
| Annis Gardner Whiting Capital Advisors, LLC | History | No change | 7,500 | 114 | 0.02% | 0.02% | 37 | 0 | 0.0% | Q1 2026 | May 06, 2026 |
| Larson Financial Group LLC | History | No change | 3,000 | 45 | 0.0% | 0.0% | 38 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| Geneos Wealth Management Inc. | History | No change | 3,000 | 45 | 0.0% | 0.0% | 39 | 0 | 0.0% | Q1 2026 | May 04, 2026 |
| Noble Wealth Management PBC | History | No change | 2,700 | 41 | 0.02% | 0.02% | 40 | 0 | 0.0% | Q1 2026 | Apr 02, 2026 |
| TSFG, LLC | History | No change | 1,734 | 26 | 0.0% | 0.0% | 41 | 0 | 0.0% | Q1 2026 | Apr 27, 2026 |
| HARBOUR INVESTMENTS, INC. | History | No change | 1,500 | 22 | 0.0% | 0.0% | 42 | 0 | 0.0% | Q1 2026 | May 15, 2026 |
| JPMORGAN CHASE & CO | History | No change | 550 | 8 | 0.0% | 0.0% | 43 | 0 | 0.0% | Q1 2026 | May 13, 2026 |
| Farther Finance Advisors, LLC | History | New | 357 | 5 | 0.0% | — | 44 | +357 | New | Q1 2026 | Apr 07, 2026 |
| HIGHLINE WEALTH PARTNERS LLC | History | New | 187 | 2 | 0.0% | — | 45 | +187 | New | Q1 2026 | Apr 06, 2026 |
| CORRADO ADVISORS, LLC | History | Closed out | 0 | 0 | — | 1.39% | — | -180,342 | -100.0% | Q1 2026 | Apr 30, 2026 |
| Kestra Advisory Services, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -104,026 | -100.0% | Q1 2026 | Apr 30, 2026 |
| Marex Group plc | History | Closed out | 0 | 0 | — | 0.0% | — | -27,847 | -100.0% | Q1 2026 | May 13, 2026 |
| JANE STREET GROUP, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -19,880 | -100.0% | Q1 2026 | May 12, 2026 |
| Orion Porfolio Solutions, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -15,212 | -100.0% | Q1 2026 | May 13, 2026 |
| COMMONWEALTH EQUITY SERVICES, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -15,133 | -100.0% | Q1 2026 | Apr 27, 2026 |
| 1607 Capital Partners, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -12,600 | -100.0% | Q1 2026 | May 15, 2026 |
| U.S. Capital Wealth Advisors, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -11,802 | -100.0% | Q1 2026 | Apr 07, 2026 |
| XTX Topco Ltd | History | Closed out | 0 | 0 | — | 0.0% | — | -10,861 | -100.0% | Q1 2026 | May 15, 2026 |
| SouthState Bank Corp | History | Closed out | 0 | 0 | — | 0.01% | — | -8,425 | -100.0% | Q1 2026 | May 05, 2026 |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -500 | -100.0% | Q1 2026 | May 11, 2026 |
| CENTRAL TRUST Co | History | Closed out | 0 | 0 | — | — | — | -1 | -100.0% | Q1 2026 | Apr 17, 2026 |