Skip to content
Disclosery

GUG GUGGENHEIM ACTIVE ALLOC FD

Follow

COMMON STOCK (fund), issuer CIK 1864208

44 managers (44 13F filers) reported a position in GUG shares at 2026-03-31, 10,565,750 shares in all. 4 filers opened a position and 12 filers sold out during the quarter.

Managers
44
13F filers
44
New
4
Added
20
Reduced
12
Sold out
12
Shares held by filers
10,565,750

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, Q1 2026

Filers in the available 13F reports with a share position at 2026-03-31, 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 STANLEY2,838,748$43.2M<0.01%+56,45513F-HRTimelineGroup
GUGGENHEIM CAPITAL LLCin group GUGGENHEIM CAPITAL LLC950,000$14.5M0.12%013F-HRTimelineGroup
BANK OF AMERICA CORP /DE/in group BANK OF AMERICA CORP /DE/914,964$13.9M<0.01%+29,92913F-HRTimelineGroup
Pathstone Holdings, LLCin group Pathstone Holdings, LLC888,872$13.5M0.05%-87,05513F-HRTimelineGroup
COHEN & STEERS, INC.in group COHEN & STEERS, INC.848,149$12.9M0.02%+100,00013F-HRTimelineGroup
Advisors Asset Management, Inc.804,347$12.2M0.2%-32,48213F-HRTimeline
Baird Financial Group, Inc.in group Baird Financial Group, Inc.730,304$11.1M0.02%+22,26213F-HRTimelineGroup
RAYMOND JAMES FINANCIAL INCin group RAYMOND JAMES FINANCIAL INC708,954$10.8M<0.01%+60,82213F-HRTimelineGroup
ROYAL BANK OF CANADAin group ROYAL BANK OF CANADA500,014$7.61M<0.01%+15,29613F-HRTimelineGroup
WELLS FARGO & COMPANY/MNin group WELLS FARGO & COMPANY/MN296,593$4.51M<0.01%+20,09813F-HR/ATimelineGroup
Steward Partners Investment Advisory, L…150,120$2.28M0.01%+12,74113F-HRTimeline
Closed-End Fund Advisors, Inc.106,688$1.62M1.65%-3,70813F-HRTimeline
Invesco Ltd.in group Invesco Ltd.84,958$1.29M<0.01%+6,60013F-HRTimelineGroup
Focus Partners Wealthin group Focus Partners Wealth75,699$1.15M<0.01%-66,99413F-HRTimelineGroup
OPPENHEIMER & CO INCin group OPPENHEIMER ASSET MANAGEMENT …66,963$1.02M0.01%-4,06813F-HRTimelineGroup
Ascentis Independent Advisorsin group Ascentis Wealth Management, L…48,577$739K0.06%+88313F-HRTimelineGroup
STIFEL FINANCIAL CORPin group STIFEL FINANCIAL CORP48,126$732K<0.01%-15513F-HRTimelineGroup
Cetera Investment Advisers43,694$665K<0.01%+16,36113F-HRTimeline
ENVESTNET ASSET MANAGEMENT INCin group ENVESTNET ASSET MANAGEMENT INC40,772$621K<0.01%+9,28813F-HRTimelineGroup
OSAIC HOLDINGS, INC.in group OSAIC HOLDINGS, INC.39,722$605K<0.01%-5,81813F-HRTimelineGroup
LPL Financial LLC38,907$592K<0.01%+12,34413F-HRTimeline
Concurrent Investment Advisors, LLCin group Concurrent Investment Advisor…38,421$585K0.01%+1,94413F-HRTimelineGroup
World Investment Advisors32,529$495K0.01%+1,56213F-HRTimeline
JOURNEY STRATEGIC WEALTH LLC31,939$486K0.01%+4,00013F-HRTimeline
Aviance Capital Partners, LLC31,667$482K0.06%+4713F-HRTimeline
Rockefeller Capital Management L.P.in group Rockefeller Capital Managemen…30,630$466K<0.01%+62613F-HRTimelineGroup
CITADEL ADVISORS LLCin group CITADEL ADVISORS LLC30,181$459K<0.01%new13F-HRTimelineGroup
DAVENPORT & Co LLC19,498$297K<0.01%-4,86513F-HRTimeline
Independent Advisor Alliance18,590$283K<0.01%new13F-HRTimeline
UBS Group AGin group UBS Group AG18,543$282K<0.01%-63213F-HRTimelineGroup
J.W. COLE ADVISORS, INC.17,270$263K0.01%-21,74513F-HRTimeline
Cambridge Investment Research Advisors,…15,018$229K<0.01%-913F-HRTimeline
High Net Worth Advisory Group LLC12,555$191K0.04%+18213F-HRTimeline
Kingsview Wealth Management, LLC12,395$189K<0.01%-2,43513F-HRTimeline
WEDBUSH SECURITIES INC10,815$165K<0.01%+5713F-HRTimeline
Annis Gardner Whiting Capital Advisors,…7,500$114K0.02%013F-HRTimeline
Larson Financial Group LLC3,000$45.7K<0.01%013F-HRTimeline
Geneos Wealth Management Inc.3,000$45.7K<0.01%013F-HRTimeline
Noble Wealth Management PBC2,700$41.1K0.02%013F-HRTimeline
TSFG, LLC1,734$26K<0.01%013F-HRTimeline
HARBOUR INVESTMENTS, INC.1,500$22.8K<0.01%013F-HRTimeline
JPMORGAN CHASE & COin group JPMORGAN CHASE & CO550$8.23K<0.01%013F-HR/ATimelineGroup
Farther Finance Advisors, LLC357$5.47K<0.01%new13F-HRTimeline
HIGHLINE WEALTH PARTNERS LLC187$2.85K<0.01%new13F-HRTimeline