GUG · Guggenheim Active Allocation Fund · Fund Operations
Market Cap
$459.41M
Shares
32.98M
Volume · Oct 2
244.08K
Avg daily vol (3M)
115.51K
Operational details from a fund's annual SEC Form N-CEN — its registration type, reporting period and named service providers such as the adviser, custodian, transfer agent and auditor. Only registered investment companies — mutual funds, ETFs and closed-end funds — file N-CEN, so operating companies show no data.
| Filed | Period End | Type | File Number | Amendment | First Filing | Last Filing |
|---|---|---|---|---|---|---|
| 2026-08-14 | 2026-05-31 | N-2 | 811-23702 | Original | — | — |
| 2025-08-13 | 2025-05-31 | N-2 | 811-23702 | Original | — | — |
| 2024-08-14 | 2024-05-31 | N-2 | 811-23702 | Original | — | — |
| 2023-08-14 | 2023-05-31 | N-2 | 811-23702 | Original | — | — |
| 2022-08-15 | 2022-05-31 | N-2 | 811-23702 | Original | Yes | — |
Showing 1–5 of 5 filings
Service providers (latest report, filed 2026-08-14)
| Role | Firm | Country | Affiliated |
|---|---|---|---|
| Investment Adviser | Guggenheim Funds Investment Advisors, LLC | — | — |
| Sub-Adviser | Guggenheim Partners Investment Management, LLC | — | Yes |
| Custodian | The Bank of New York Mellon | — | — |
| Transfer Agent | Computershare Inc. | US | — |
| Administrator | The Bank of New York Mellon | US | — |
| Pricing Service | Bloomberg L.P. | — | — |
| Pricing Service | Intercontinental Exchange, Inc. | — | — |
| Pricing Service | LSEG Data & Analytics | GB | — |
| Pricing Service | S&P Global Market Intelligence | — | — |
| Shareholder Servicing Agent | Computershare Inc. | US | — |
| Independent Public Accountant | Ernst & Young LLP | US | — |