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Disclosery

GUG GUGGENHEIM ACTIVE ALLOC FD

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COMMON STOCK (fund), issuer CIK 1864208

50 managers (50 13F filers) reported a position in GUG shares at 2025-06-30, 10,313,862 shares in all. 5 filers opened a position and 7 filers sold out during the quarter.

Managers
50
13F filers
50
New
5
Added
27
Reduced
8
Sold out
7
Shares held by filers
10,313,862

Shares held by filers adds up every 13F filer's report, so a share reported by a parent and by its subsidiary counts twice (H9). Managers counts each filer group once.

13D and 13G filers

No 13D or 13G on this security in the data. Structured 13D/G data starts 2024-12-18.

Insider trades

No Form 4 transaction on this security in the data.

13F holders, Q2 2025

Filers in the available 13F reports with a share position at 2025-06-30, filer groups collapsed to one row (method), largest first. Options and principal amounts are left out. A group row states no % of portfolio, since each member reports its own portfolio: the members' percents are listed under it. A value about 1,000 times or 1/1,000 of the price other filers imply is shown as filed but neither ranks the row nor enters a sum.

HolderSharesValue% of portfolioChangeSource
MORGAN STANLEYin group MORGAN STANLEY2,581,005$40.4M<0.01%+109,20813F-HRTimelineGroup
GUGGENHEIM CAPITAL LLCin group GUGGENHEIM CAPITAL LLC950,000$14.9M0.12%013F-HRTimelineGroup
BANK OF AMERICA CORP /DE/in group BANK OF AMERICA CORP /DE/920,711$14.4M<0.01%+305,67713F-HRTimelineGroup
Advisors Asset Management, Inc.799,921$12.5M0.22%+90,12613F-HR/ATimeline
Baird Financial Group, Inc.in group Baird Financial Group, Inc.781,143$12.2M0.02%+15,01913F-HRTimelineGroup
Pathstone Holdings, LLCin group Pathstone Holdings, LLC770,869$12.1M0.05%+112,70013F-HRTimelineGroup
COHEN & STEERS, INC.in group COHEN & STEERS, INC.741,149$11.6M0.02%+5,00013F-HRTimelineGroup
RAYMOND JAMES FINANCIAL INCin group RAYMOND JAMES FINANCIAL INC650,002$10.2M<0.01%+57,43413F-HRTimelineGroup
ROYAL BANK OF CANADAin group ROYAL BANK OF CANADA515,370$8.06M<0.01%-2,53013F-HR/ATimelineGroup
WELLS FARGO & COMPANY/MNin group WELLS FARGO & COMPANY/MN255,921$4M<0.01%+5,02313F-HRTimelineGroup
NorthCoast Asset Management LLC185,191$2.9M0.01%-10,59513F-HRTimeline
CORRADO ADVISORS, LLC167,183$2.61M1.6%+4,95913F-HRTimeline
Kestra Advisory Services, LLCin group Kestra Advisory Services, LLC96,208$1.5M0.01%+5913F-HRTimelineGroup
OPPENHEIMER & CO INCin group OPPENHEIMER ASSET MANAGEMENT …90,955$1.42M0.02%+2,83513F-HRTimelineGroup
Steward Partners Investment Advisory, L…75,835$1.19M0.01%+45,14613F-HRTimeline
STIFEL FINANCIAL CORPin group STIFEL FINANCIAL CORP65,580$1.03M<0.01%+4,81313F-HRTimelineGroup
Invesco Ltd.in group Invesco Ltd.60,389$944K<0.01%+12,87213F-HRTimelineGroup
UBS Group AGin group UBS Group AG58,755$919K<0.01%+12,33413F-HRTimelineGroup
OSAIC HOLDINGS, INC.in group OSAIC HOLDINGS, INC.52,280$818K<0.01%+813F-HR/ATimelineGroup
Ascentis Independent Advisorsin group Ascentis Wealth Management, L…39,724$621K0.12%new13F-HRTimelineGroup
J.W. COLE ADVISORS, INC.38,406$601K0.01%+11,51513F-HRTimeline
ENVESTNET ASSET MANAGEMENT INCin group ENVESTNET ASSET MANAGEMENT INC32,501$508K<0.01%+3,90013F-HRTimelineGroup
Aviance Capital Partners, LLC28,793$450K0.06%+4,35913F-HRTimeline
HighTower Advisors, LLC28,645$448K<0.01%+4,54713F-HRTimeline
Concurrent Investment Advisors, LLCin group Concurrent Investment Advisor…27,942$437K0.01%+1,33313F-HRTimelineGroup
JOURNEY STRATEGIC WEALTH LLC27,539$431K0.01%-2,00013F-HRTimeline
U.S. Capital Wealth Advisors, LLC26,802$419K0.01%013F-HRTimeline
LPL Financial LLC24,820$388K<0.01%+23913F-HRTimeline
DAVENPORT & Co LLC24,006$375K<0.01%013F-HRTimeline
Laird Norton Wetherby Wealth Management…23,590$369K0.02%13F-HRTimeline
Cetera Investment Advisers21,746$340K<0.01%+2,31013F-HRTimeline
Rockefeller Capital Management L.P.in group Rockefeller Capital Managemen…21,645$339K<0.01%+49813F-HR/ATimelineGroup
Kingsview Wealth Management, LLC19,055$298K0.01%-55013F-HRTimeline
Walleye Capital LLCin group Walleye Capital LLC16,220$254K<0.01%-16,71213F-HRTimelineGroup
WEDBUSH SECURITIES INC15,142$237K0.01%+6813F-HRTimeline
COMMONWEALTH EQUITY SERVICES, LLC12,064$189K<0.01%+46413F-HRTimeline
Nordwand Advisors, LLC11,500$180K0.03%013F-HRTimeline
Orion Porfolio Solutions, LLC11,450$179K<0.01%new13F-HR/ATimeline
MGB Wealth Management, LLC10,921$171K0.06%-13,09813F-HRTimeline
SouthState Bank Corpin group SouthState Bank Corp8,425$132K0.01%013F-HRTimelineGroup
Annis Gardner Whiting Capital Advisors,…7,500$117K0.04%013F-HRTimeline
JPMORGAN CHASE & COin group JPMORGAN CHASE & CO5,199$81.3K<0.01%+4,64913F-HRTimelineGroup
Larson Financial Group LLC3,000$46.9K<0.01%new13F-HRTimeline
Geneos Wealth Management Inc.3,000$46.9K<0.01%-3,00013F-HRTimeline
TSFG, LLC1,734$27K<0.01%013F-HRTimeline
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COin group NORTHWESTERN MUTUAL INVESTMEN…1,518$23.7K<0.01%new13F-HRTimelineGroup
HARBOUR INVESTMENTS, INC.1,500$23.5K<0.01%013F-HRTimeline
Elequin Capital, LP808$12.6K<0.01%-3,60013F-HRTimeline
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC200$3.13K<0.01%new13F-HRTimeline
CONCOURSE FINANCIAL GROUP SECURITIES, I…0$0013F-HRTimelineValue filed as zero, left out of ratios. Amount filed as zero, left out of ratios.