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Disclosery

GUG GUGGENHEIM ACTIVE ALLOC FD

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COMMON STOCK (fund), issuer CIK 1864208

53 managers (53 13F filers) reported a position in GUG shares at 2025-12-31, 10,795,679 shares in all. 8 filers opened a position and 6 filers sold out during the quarter.

Managers
53
13F filers
53
New
8
Added
22
Reduced
13
Sold out
6
Shares held by filers
10,795,679

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, Q4 2025

Filers in the available 13F reports with a share position at 2025-12-31, 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 STANLEY2,782,293$42.7M<0.01%+4,03013F-HR/ATimelineGroup
Pathstone Holdings, LLCin group Pathstone Holdings, LLC975,927$15M0.06%+78,40113F-HRTimelineGroup
GUGGENHEIM CAPITAL LLCin group GUGGENHEIM CAPITAL LLC950,000$14.6M0.11%013F-HRTimelineGroup
BANK OF AMERICA CORP /DE/in group BANK OF AMERICA CORP /DE/885,035$13.6M<0.01%+206,83613F-HRTimelineGroup
Advisors Asset Management, Inc.836,829$12.8M0.22%-59,04413F-HR/ATimeline
COHEN & STEERS, INC.in group COHEN & STEERS, INC.748,149$11.5M0.02%013F-HRTimelineGroup
Baird Financial Group, Inc.in group Baird Financial Group, Inc.708,042$10.9M0.02%+15,87813F-HRTimelineGroup
RAYMOND JAMES FINANCIAL INCin group RAYMOND JAMES FINANCIAL INC648,132$9.94M<0.01%-28,16513F-HRTimelineGroup
ROYAL BANK OF CANADAin group ROYAL BANK OF CANADA484,718$7.43M<0.01%-46,97013F-HRTimelineGroup
WELLS FARGO & COMPANY/MNin group WELLS FARGO & COMPANY/MN276,495$4.24M<0.01%+72313F-HRTimelineGroup
CORRADO ADVISORS, LLC180,342$2.76M1.39%+8,00713F-HRTimeline
Focus Partners Wealthin group Focus Partners Wealth142,693$2.19M<0.01%new13F-HRTimelineGroup
Steward Partners Investment Advisory, L…137,379$2.11M0.01%+16,44613F-HRTimeline
Closed-End Fund Advisors, Inc.110,396$1.69M1%13F-HRTimeline
Kestra Advisory Services, LLCin group Kestra Advisory Services, LLC104,026$1.59M0.01%+5,57113F-HRTimelineGroup
Invesco Ltd.in group Invesco Ltd.78,358$1.2M<0.01%+4,26113F-HRTimelineGroup
OPPENHEIMER & CO INCin group OPPENHEIMER ASSET MANAGEMENT …71,031$1.09M0.02%-18,46413F-HRTimelineGroup
STIFEL FINANCIAL CORPin group STIFEL FINANCIAL CORP48,281$740K<0.01%-1,19313F-HRTimelineGroup
Ascentis Independent Advisorsin group Ascentis Wealth Management, L…47,694$731K0.12%+2,36413F-HRTimelineGroup
OSAIC HOLDINGS, INC.in group OSAIC HOLDINGS, INC.45,540$698K<0.01%-4,74013F-HRTimelineGroup
Concurrent Investment Advisors, LLCin group Concurrent Investment Advisor…36,477$559K0.01%+17013F-HRTimelineGroup
Aviance Capital Partners, LLC31,620$485K0.06%+1,16813F-HRTimeline
ENVESTNET ASSET MANAGEMENT INCin group ENVESTNET ASSET MANAGEMENT INC31,484$483K<0.01%+3,00113F-HRTimelineGroup
World Investment Advisors30,967$475K0.01%+81113F-HR/ATimeline
Rockefeller Capital Management L.P.in group Rockefeller Capital Managemen…30,004$460K<0.01%+7,86113F-HR/ATimelineGroup
JOURNEY STRATEGIC WEALTH LLC27,939$428K0.01%+40013F-HRTimeline
Marex Group Ltdin group Marex Group Ltd27,847$427K<0.01%new13F-HRTimelineGroup
Cetera Investment Advisers27,333$419K<0.01%+4,25813F-HRTimeline
LPL Financial LLC26,563$407K<0.01%-56713F-HRTimeline
DAVENPORT & Co LLC24,363$373K<0.01%+3613F-HRTimeline
J.W. COLE ADVISORS, INC.39,015$333K0.01%-38413F-HRTimeline
JANE STREET GROUP, LLCin group JANE STREET GROUP, LLC19,880$305K<0.01%new13F-HRTimelineGroup
UBS Group AGin group UBS Group AG19,175$294K<0.01%+60713F-HRTimelineGroup
Orion Porfolio Solutions, LLC15,212$233K<0.01%+4,28713F-HRTimeline
COMMONWEALTH EQUITY SERVICES, LLC15,133$232K<0.01%+3,42813F-HRTimeline
Cambridge Investment Research Advisors,…15,027$230K<0.01%new13F-HRTimeline
Kingsview Wealth Management, LLC14,830$227K<0.01%-2,50013F-HRTimeline
MGB Wealth Management, LLC14,146$217K0.06%-1,76213F-HRTimeline
1607 Capital Partners, LLC12,600$193K0.01%new13F-HRTimeline
High Net Worth Advisory Group LLC12,373$190K0.04%new13F-HRTimeline
U.S. Capital Wealth Advisors, LLC11,802$181K<0.01%-2,60013F-HRTimeline
XTX Topco Ltdin group XTX Topco Ltd10,861$166K<0.01%new13F-HRTimelineGroup
WEDBUSH SECURITIES INC10,758$165K<0.01%-2,82713F-HRTimeline
SouthState Bank Corpin group SouthState Bank Corp8,425$129K0.01%013F-HRTimelineGroup
Annis Gardner Whiting Capital Advisors,…7,500$115K0.02%013F-HRTimeline
Larson Financial Group LLC3,000$46K<0.01%013F-HRTimeline
Geneos Wealth Management Inc.3,000$46K<0.01%013F-HRTimeline
Noble Wealth Management PBC2,700$41.4K0.02%013F-HRTimeline
TSFG, LLC1,734$27K<0.01%013F-HRTimeline
HARBOUR INVESTMENTS, INC.1,500$23K<0.01%013F-HRTimeline
JPMORGAN CHASE & COin group JPMORGAN CHASE & CO550$8.43K<0.01%-1,64913F-HRTimelineGroup
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC500$7.67K<0.01%+30013F-HRTimeline
CENTRAL TRUST Co1$16<0.01%new13F-HRTimeline