GUGGUGGENHEIM ACTIVE ALLOC FD
CUSIP 40170T106 · Yahoo Finance ↗ · Google Finance ↗
Guggenheim Active Alloc Fd (GUG) has 44 institutional holders in Filings Flow’s 13F database, together reporting 10.51M shares worth $147M as of Q1 2026. The largest reported holders are Morgan Stanley, Guggenheim Capital LLC, and Bank Of America Corp /De/.
Institutional Holders
44
Q1 2026
Reported Value
$147M
Ticker
GUG
Quarters Tracked
5
Ownership Trend
Institutional holders
Total reported value
Holders
Mixed quarters
| Manager | % of Portfolio | Value | Shares | Quarter |
|---|---|---|---|---|
| CORRADO ADVISORS, LLC$192M AUM | 1.39% | $3M | 180.3K | Q4 2025OLDER |
| Advisors Asset Management, Inc.$6.0B AUM | 0.20% | $12M | 804.3K | Q1 2026OLDER |
| GUGGENHEIM CAPITAL LLC$12.9B AUM | 0.11% | $14M | 950.0K | Q1 2026OLDER |
| MGB Wealth Management, LLC$350M AUM | 0.06% | $216,854 | 14.1K | Q4 2025OLDER |
| Aviance Capital Partners, LLC$854M AUM | 0.06% | $481,976 | 31.7K | Q1 2026OLDER |
| Ascentis Independent Advisors$1.3B AUM | 0.06% | $739,335 | 48.6K | Q1 2026OLDER |
| Pathstone Holdings, LLC$25.1B AUM | 0.05% | $14M | 888.9K | Q1 2026OLDER |
| High Net Worth Advisory Group LLC$429M AUM | 0.04% | $191,087 | 12.6K | Q1 2026OLDER |
| Nordwand Advisors, LLC$572M AUM | 0.03% | $179,400 | 11.5K | Q3 2025OLDER |
| Noble Wealth Management PBC$223M AUM | 0.02% | $43,146 | 2.7K | Q2 2026 |
| Annis Gardner Whiting Capital Advisors, LLC$625M AUM | 0.02% | $114,150 | 7.5K | Q1 2026OLDER |
| Baird Financial Group, Inc.$64.0B AUM | 0.02% | $11M | 730.3K | Q1 2026OLDER |
| 1607 Capital Partners, LLC$1.4B AUM | 0.01% | $193,158 | 12.6K | Q4 2025OLDER |
| OPPENHEIMER & CO INC$8.2B AUM | 0.01% | $1M | 67.0K | Q1 2026OLDER |
| JOURNEY STRATEGIC WEALTH LLC$4.0B AUM | 0.01% | $486,112 | 31.9K | Q1 2026OLDER |
| Steward Partners Investment Advisory, LLC$19.6B AUM | 0.01% | $2M | 150.1K | Q1 2026OLDER |
| NorthCoast Asset Management LLC$4.3B AUM | 0.01% | $3M | 160.3K | Q3 2025OLDER |
| J.W. COLE ADVISORS, INC.$3.0B AUM | 0.01% | $262,849 | 17.3K | Q1 2026OLDER |
| World Investment Advisors$6.2B AUM | 0.01% | $495,092 | 32.5K | Q1 2026OLDER |
| Laird Norton Wetherby Wealth Management, LLC$2.4B AUM | 0.01% | $175,220 | 11.2K | Q3 2025OLDER |
| Kestra Advisory Services, LLC$26.4B AUM | 0.01% | $2M | 104.0K | Q4 2025OLDER |
| Concurrent Investment Advisors, LLC$9.2B AUM | 0.01% | $584,766 | 38.4K | Q1 2026OLDER |
| SouthState Bank Corp$2.1B AUM | 0.01% | $129,155 | 8.4K | Q4 2025OLDER |
| U.S. Capital Wealth Advisors, LLC$4.0B AUM | 0.00% | $180,925 | 11.8K | Q4 2025OLDER |
| XTX Topco Ltd$5.8B AUM | 0.00% | $166,499 | 10.9K | Q4 2025OLDER |
| Morse Asset Management, Inc$481M AUM | 0.00% | $20,434 | 1.3K | Q3 2025OLDER |
| RAYMOND JAMES FINANCIAL INC$324.4B AUM | 0.00% | $11M | 709.0K | Q1 2026OLDER |
| Independent Advisor Alliance$9.3B AUM | 0.00% | $282,940 | 18.6K | Q1 2026OLDER |
| Marex Group Ltd$15.8B AUM | 0.00% | $426,895 | 27.8K | Q4 2025OLDER |
| Kingsview Wealth Management, LLC$7.3B AUM | 0.00% | $188,652 | 12.4K | Q1 2026OLDER |
| MORGAN STANLEY$1.67T AUM | 0.00% | $43M | 2.78M | Q1 2026OLDER |
| Orion Porfolio Solutions, LLC$11.7B AUM | 0.00% | $233,200 | 15.2K | Q4 2025OLDER |
| DAVENPORT & Co LLC$18.4B AUM | 0.00% | $296,765 | 19.5K | Q1 2026OLDER |
| Larson Financial Group LLC$3.1B AUM | 0.00% | $45,660 | 3.0K | Q1 2026OLDER |
| ROYAL BANK OF CANADA$570.1B AUM | 0.00% | $8M | 500.0K | Q1 2026OLDER |
| Focus Partners Wealth$89.9B AUM | 0.00% | $1M | 75.7K | Q1 2026OLDER |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC$696M AUM | 0.00% | $7,665 | 500 | Q4 2025OLDER |
| Geneos Wealth Management Inc.$4.3B AUM | 0.00% | $45,660 | 3.0K | Q1 2026OLDER |
| BANK OF AMERICA CORP /DE/$1.37T AUM | 0.00% | $14M | 915.0K | Q1 2026OLDER |
| OSAIC HOLDINGS, INC.$68.3B AUM | 0.00% | $604,584 | 39.7K | Q1 2026OLDER |
| WELLS FARGO & COMPANY/MN$530.3B AUM | 0.00% | $5M | 296.6K | Q2 2026 |
| Rockefeller Capital Management L.P.$56.4B AUM | 0.00% | $466,196 | 30.6K | Q1 2026OLDER |
| HIGHLINE WEALTH PARTNERS LLC$392M AUM | 0.00% | $2,846 | 187 | Q1 2026OLDER |
| Cetera Investment Advisers$94.0B AUM | 0.00% | $665,026 | 43.7K | Q1 2026OLDER |
| STIFEL FINANCIAL CORP$108.8B AUM | 0.00% | $732,481 | 48.1K | Q1 2026OLDER |
| Walleye Capital LLC$24.0B AUM | 0.00% | $179,353 | 11.5K | Q3 2025OLDER |
| HARBOUR INVESTMENTS, INC.$6.5B AUM | 0.00% | $22,830 | 1.5K | Q1 2026OLDER |
| COMMONWEALTH EQUITY SERVICES, LLC$71.6B AUM | 0.00% | $231,990 | 15.1K | Q4 2025OLDER |
| Invesco Ltd.$653.3B AUM | 0.00% | $1M | 85.0K | Q1 2026OLDER |
| ENVESTNET ASSET MANAGEMENT INC$373.6B AUM | 0.00% | $620,543 | 40.8K | Q1 2026OLDER |
| Creative Planning$147.4B AUM | 0.00% | $216,840 | 13.9K | Q3 2025OLDER |
| LPL Financial LLC$376.6B AUM | 0.00% | $592,166 | 38.9K | Q1 2026OLDER |
| CITADEL ADVISORS LLC$618.5B AUM | 0.00% | $459,355 | 30.2K | Q1 2026OLDER |
| Farther Finance Advisors, LLC$10.6B AUM | 0.00% | $5,469 | 357 | Q1 2026OLDER |
| JANE STREET GROUP, LLC$777.2B AUM | 0.00% | $304,760 | 19.9K | Q4 2025OLDER |
| UBS Group AG$666.3B AUM | 0.00% | $282,224 | 18.5K | Q1 2026OLDER |
| NewEdge Advisors, LLC$27.7B AUM | 0.00% | $2,340 | 150 | Q3 2025OLDER |
| JPMORGAN CHASE & CO$1.56T AUM | 0.00% | $8,228 | 550 | Q1 2026OLDER |
| CENTRAL TRUST Co$5.1B AUM | 0.00% | $16 | 1 | Q4 2025OLDER |
Holdings are reported up to 45 days after quarter end. Share counts are as filed and not adjusted for stock splits.