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Disclosery

GUG GUGGENHEIM ACTIVE ALLOC FD

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COMMON STOCK (fund), issuer CIK 1864208

51 managers (51 13F filers) reported a position in GUG shares at 2025-09-30, 10,455,874 shares in all. 4 filers opened a position and 3 filers sold out during the quarter.

Managers
51
13F filers
51
New
4
Added
20
Reduced
16
Sold out
3
Shares held by filers
10,455,874

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, Q3 2025

Filers in the available 13F reports with a share position at 2025-09-30, 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 STANLEY2,778,263$43.3M<0.01%+197,25813F-HR/ATimelineGroup
GUGGENHEIM CAPITAL LLCin group GUGGENHEIM CAPITAL LLC950,000$14.8M0.11%013F-HRTimelineGroup
Pathstone Holdings, LLCin group Pathstone Holdings, LLC897,526$14M0.05%+126,65713F-HRTimelineGroup
Advisors Asset Management, Inc.895,873$14M0.24%+95,95213F-HR/ATimeline
COHEN & STEERS, INC.in group COHEN & STEERS, INC.748,149$11.7M0.02%+7,00013F-HRTimelineGroup
Baird Financial Group, Inc.in group Baird Financial Group, Inc.692,164$10.8M0.02%-88,97913F-HRTimelineGroup
BANK OF AMERICA CORP /DE/in group BANK OF AMERICA CORP /DE/678,199$10.6M<0.01%-242,51213F-HR/ATimelineGroup
RAYMOND JAMES FINANCIAL INCin group RAYMOND JAMES FINANCIAL INC676,297$10.6M<0.01%+26,29513F-HRTimelineGroup
ROYAL BANK OF CANADAin group ROYAL BANK OF CANADA531,688$8.29M<0.01%+16,31813F-HRTimelineGroup
WELLS FARGO & COMPANY/MNin group WELLS FARGO & COMPANY/MN275,772$4.3M<0.01%+19,85113F-HRTimelineGroup
CORRADO ADVISORS, LLC172,335$2.69M1.44%+5,15213F-HRTimeline
NorthCoast Asset Management LLC160,263$2.5M0.01%-24,92813F-HRTimeline
Steward Partners Investment Advisory, L…120,933$1.89M0.01%+45,09813F-HRTimeline
Kestra Advisory Services, LLCin group Kestra Advisory Services, LLC98,455$1.54M0.01%+2,24713F-HRTimelineGroup
OPPENHEIMER & CO INCin group OPPENHEIMER ASSET MANAGEMENT …89,495$1.4M0.02%-1,46013F-HRTimelineGroup
Invesco Ltd.in group Invesco Ltd.74,097$1.16M<0.01%+13,70813F-HRTimelineGroup
OSAIC HOLDINGS, INC.in group OSAIC HOLDINGS, INC.50,280$793K<0.01%-2,00013F-HRTimelineGroup
STIFEL FINANCIAL CORPin group STIFEL FINANCIAL CORP49,474$772K<0.01%-16,10613F-HRTimelineGroup
Ascentis Independent Advisorsin group Ascentis Wealth Management, L…45,330$707K0.12%+5,60613F-HRTimelineGroup
J.W. COLE ADVISORS, INC.39,399$615K0.01%+99313F-HRTimeline
Concurrent Investment Advisors, LLCin group Concurrent Investment Advisor…36,307$566K0.01%+8,36513F-HRTimelineGroup
Aviance Capital Partners, LLC30,452$475K0.06%+1,65913F-HRTimeline
World Investment Advisors30,156$470K0.01%new13F-HRTimeline
ENVESTNET ASSET MANAGEMENT INCin group ENVESTNET ASSET MANAGEMENT INC28,483$444K<0.01%-4,01813F-HRTimelineGroup
JOURNEY STRATEGIC WEALTH LLC27,539$430K0.01%013F-HRTimeline
LPL Financial LLC27,130$423K<0.01%+2,31013F-HRTimeline
DAVENPORT & Co LLC24,327$380K<0.01%+32113F-HRTimeline
Cetera Investment Advisers23,075$360K<0.01%+1,32913F-HRTimeline
Rockefeller Capital Management L.P.in group Rockefeller Capital Managemen…22,143$345K<0.01%+49813F-HRTimelineGroup
UBS Group AGin group UBS Group AG18,568$290K<0.01%-40,18713F-HRTimelineGroup
Kingsview Wealth Management, LLC17,330$270K<0.01%-1,72513F-HRTimeline
MGB Wealth Management, LLC15,908$248K0.07%+4,98713F-HRTimeline
U.S. Capital Wealth Advisors, LLC14,402$225K0.01%-12,40013F-HRTimeline
Creative Planningin group Creative Planning13,900$217K<0.01%new13F-HRTimelineGroup
WEDBUSH SECURITIES INC13,585$212K0.01%-1,55713F-HRTimeline
COMMONWEALTH EQUITY SERVICES, LLC11,705$183K<0.01%-35913F-HRTimeline
Nordwand Advisors, LLC11,500$179K0.03%013F-HRTimeline
Walleye Capital LLCin group Walleye Capital LLC11,497$179K<0.01%-4,72313F-HRTimelineGroup
Laird Norton Wetherby Wealth Management…11,232$175K0.01%-12,35813F-HRTimeline
Orion Porfolio Solutions, LLC10,925$170K<0.01%-52513F-HRTimeline
SouthState Bank Corpin group SouthState Bank Corp8,425$131K0.01%013F-HRTimelineGroup
Annis Gardner Whiting Capital Advisors,…7,500$117K0.02%013F-HRTimeline
Larson Financial Group LLC3,000$46.8K<0.01%013F-HRTimeline
Geneos Wealth Management Inc.3,000$46.8K<0.01%013F-HRTimeline
Noble Wealth Management PBC2,700$42.1K0.02%13F-HRTimeline
JPMORGAN CHASE & COin group JPMORGAN CHASE & CO2,199$34.3K<0.01%-3,00013F-HR/ATimelineGroup
TSFG, LLC1,734$27K<0.01%013F-HRTimeline
HARBOUR INVESTMENTS, INC.1,500$23.4K<0.01%013F-HRTimeline
Morse Asset Management, Inc1,310$20.4K<0.01%new13F-HRTimeline
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC200$3.12K<0.01%013F-HRTimeline
NewEdge Advisors, LLC150$2.34K<0.01%new13F-HRTimeline