GUGGENHEIM ACTIVE ALLOC FD (GUG)
Institutional ownership reported to the SEC as of Q2 2026, across 19 quarters.
43
Reporting holders
$168.3M
Reported value
0.0%
Held as options
+3
Holder change
Options share is the part of reported value carried in derivative lines rather than shares. A high figure means institutions are expressing a view on this security without owning much of it.
Holders
| Filer | Value | Shares | Their book | Held | Change |
|---|---|---|---|---|---|
| MORGAN STANLEY | $45.8M | 2,865,899 | 0.00% | 19q | +1.0%+$433.9K |
| BANK OF AMERICA CORP /DE/ | $15.3M | 960,147 | 0.00% | 19q | +4.9%+$722.0K |
| GUGGENHEIM CAPITAL LLC | $15.2M | 950,000 | 0.10% | 15q | HELD |
| Atlas Wealth LLC | $13.6M | 848,495 | 1.93% | new | NEW |
| Advisors Asset Management, Inc. | $12.8M | 801,539 | 0.20% | 15q | HELD |
| RAYMOND JAMES FINANCIAL INC | $12.5M | 781,046 | 0.00% | 7q | +10.2%+$1.2M |
| Baird Financial Group, Inc. | $10.8M | 676,913 | 0.01% | 14q | -7.3%-$853.2K |
| WELLS FARGO & COMPANY/MN | $10.6M | 665,643 | 0.00% | 19q | +12.2%+$1.2M |
| ROYAL BANK OF CANADA | $8.0M | 498,064 | 0.00% | 19q | HELD |
| Pathstone Holdings, LLC | $5.9M | 371,088 | 0.02% | 11q | -58.3%-$8.3M |
| Steward Partners Investment Advisory, LLC | $2.8M | 174,918 | 0.01% | 10q | +16.5%+$396.3K |
| Sanctuary Advisors, LLC | $1.8M | 109,996 | 0.01% | new | NEW |
| Kestra Advisory Services, LLC | $1.6M | 100,518 | 0.01% | new | NEW |
| Invesco Ltd. | $1.3M | 84,145 | 0.00% | 7q | -1.0%-$13.0K |
| Closed-End Fund Advisors, Inc. | $1.3M | 80,586 | 1.26% | 3q | -24.5%-$417.1K |
| STIFEL FINANCIAL CORP | $783.9K | 49,054 | 0.00% | 18q | +1.9%+$14.8K |
| OPPENHEIMER & CO INC | $700.3K | 43,824 | 0.01% | 18q | -34.6%-$369.8K |
| Concurrent Investment Advisors, LLC | $651.0K | 40,738 | 0.01% | 10q | +6.0%+$37.0K |
| J.W. COLE ADVISORS, INC. | $626.3K | 39,190 | 0.01% | 15q | +126.9%+$350.3K |
| OSAIC HOLDINGS, INC. | $611.8K | 38,286 | 0.00% | 16q | -3.6%-$22.9K |
| LPL Financial LLC | $546.9K | 34,227 | 0.00% | 7q | -12.0%-$74.8K |
| Aviance Capital Partners, LLC | $526.0K | 32,915 | 0.05% | 12q | +3.9%+$19.9K |
| CITADEL ADVISORS LLC | $514.3K | 32,181 | 0.00% | 2q | +6.6%+$32.0K |
| HighTower Advisors, LLC | $510.4K | 31,939 | 0.00% | new | NEW |
| World Investment Advisors | $495.1K | 32,529 | 0.01% | 4q | HELD |
| Rockefeller Capital Management L.P. | $491.9K | 30,780 | 0.00% | 8q | HELD |
| Beacon Pointe Advisors, LLC | $468.9K | 29,342 | 0.00% | new | NEW |
| JANE STREET GROUP, LLC | $349.7K | 21,882 | 0.00% | new | NEW |
| DAVENPORT & Co LLC | $307.4K | 19,234 | 0.00% | 17q | -1.4%-$4.2K |
| UBS Group AG | $289.2K | 18,100 | 0.00% | 18q | -2.4%-$7.1K |
| Cetera Investment Advisers | $287.8K | 18,013 | 0.00% | 10q | -58.8%-$410.4K |
| Orion Porfolio Solutions, LLC | $256.6K | 16,059 | 0.00% | new | NEW |
| High Net Worth Advisory Group LLC | $203.5K | 12,735 | 0.04% | 3q | +1.4%+$2.9K |
| ENVESTNET ASSET MANAGEMENT INC | $172.2K | 10,778 | 0.00% | 10q | -73.6%-$479.3K |
| Larson Financial Group LLC | $47.9K | 3,000 | 0.00% | 5q | HELD |
| Geneos Wealth Management Inc. | $47.9K | 3,000 | 0.00% | 15q | HELD |
| Noble Wealth Management PBC | $43.1K | 2,700 | 0.02% | 6q | HELD |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | $33.6K | 2,101 | 0.00% | new | NEW |
| HARBOUR INVESTMENTS, INC. | $24.0K | 1,500 | 0.00% | 17q | HELD |
| Institute for Wealth Management, LLC. | $15.9K | 995 | 0.00% | new | NEW |
| COHEN & STEERS, INC. | $13.8K | 863,149 | 0.02% | 18q | +1.8% |
| JPMORGAN CHASE & CO | $8.8K | 550 | 0.00% | 8q | HELD |
| Farther Finance Advisors, LLC | $5.7K | 357 | 0.00% | 2q | HELD |
| HIGHLINE WEALTH PARTNERS LLC | $3.0K | 187 | 0.00% | 2q | HELD |
| Cambridge Investment Research Advisors, Inc. | $482 | 30,220 | 0.00% | 3q | +101.2% |
| WEDBUSH SECURITIES INC | $198 | 12,365 | 0.01% | 10q | +14.3% |
Quarter by quarter
Coverage begins with the quarter ending 2018-12-31. Earlier filings exist only as occasional late amendments, too sparse to describe a market, so they are not shown.
| Quarter | Holders | Value | Shares | New | Added | Trimmed | Options |
|---|---|---|---|---|---|---|---|
| Q2 2026 | 43 | $168.3M | 10,535,193 | 9 | 11 | 11 | 0.0% |
| Q1 2026 | 40 | $152.0M | 9,986,627 | 4 | 17 | 10 | 0.0% |
| Q4 2025 | 49 | $166.2M | 10,855,955 | 7 | 19 | 11 | 0.0% |
| Q3 2025 | 47 | $151.0M | 9,682,015 | 4 | 18 | 16 | 0.0% |
| Q2 2025 | 45 | $157.6M | 10,079,885 | 5 | 24 | 7 | 0.0% |
| Q1 2025 | 46 | $132.2M | 8,766,079 | 4 | 20 | 12 | 0.0% |
| Q4 2024 | 51 | $128.2M | 8,622,627 | 11 | 17 | 12 | 0.0% |
| Q3 2024 | 43 | $125.0M | 7,553,999 | 7 | 14 | 12 | 0.0% |
| Q2 2024 | 46 | $116.9M | 7,822,637 | 8 | 18 | 11 | 0.0% |
| Q1 2024 | 45 | $164.7M | 11,211,812 | 12 | 14 | 10 | 0.0% |
| Q4 2023 | 40 | $152.1M | 10,377,549 | 5 | 15 | 12 | 0.0% |
| Q3 2023 | 37 | $97.1M | 7,191,485 | 6 | 18 | 7 | 0.0% |
| Q2 2023 | 33 | $104.9M | 7,305,352 | 3 | 17 | 9 | 0.0% |
| Q1 2023 | 32 | $105.7M | 7,548,157 | 6 | 15 | 6 | 0.0% |
| Q4 2022 | 28 | $92.9M | 6,909,989 | 9 | 12 | 4 | 0.0% |
| Q3 2022 | 30 | $71.5M | 5,550,698 | 10 | 8 | 7 | 0.0% |
| Q2 2022 | 22 | $70.0M | 4,927,763 | 10 | 11 | 1 | 0.0% |
| Q1 2022 | 14 | $57.7M | 3,368,217 | 10 | 4 | 0 | 0.0% |
| Q4 2021 | 5 | $24.5M | 1,226,109 | 5 | 0 | 0 | 0.0% |