Rockefeller Capital Management L.P.

Position in GUG — Guggenheim Active Allocation Fund

CIK 1739439 NEW YORK, NY

Position in GUG

as of Jun 30, 2026 · filed Aug 13, 2026 Compact

Position Value

$491,864

+$25,676 QoQ

Shares Held

30,780

+0.5% QoQ

Ownership

0.093%

of shares outstanding

% of Portfolio

0.00%

of 13F equity value

Holder Rank

#27

of 46 holders

Holding Since

Mar 2022

11 quarters on record

Voting authority Sole 78% Shared 0% None 22%

Financial Services · as of Jun 30, 2026

Rockefeller Capital Management L.P. holds $1,201,278,278 across 321 Asset Management names. GUG ranks #139 (0.0% of the industry book) .

#	Ticker	Company	Shares	Value (USD)
1	BLK	BlackRock, Inc.	235,607	$226,550,264
2	BX	Blackstone Inc.	1,124,085	$132,271,080
3	HASI	HA Sustainable Infrastructure Capital, Inc.	1,688,146	$65,922,098
4	APO	Apollo Global Management, Inc.	448,214	$53,028,196
5	KKR	KKR & Co. Inc.	544,246	$49,950,894
6	ARCC	Ares Capital Corp	2,692,567	$49,893,265
7	AMP	Ameriprise Financial Inc	100,020	$45,885,173
8	GBDC	GOLUB CAPITAL BDC, Inc.	2,799,784	$36,061,217

11 filing rows on record

Report Date	Value (USD)	Shares	Change	Type	Discretion	Filed
2026-06-30	$491,864	30,780	+0.5%	Shares	Defined	2026-08-13
2026-03-31	$466,188	30,630	+2.1%	Shares	Defined	2026-05-14
2025-12-31	$459,961	30,004	+35.5%	Shares	Defined	2026-03-17
2025-09-30	$345,430	22,143	+2.3%	Shares	Defined	2025-11-14
2025-06-30	$338,527	21,645	+2.4%	Shares	Defined	2025-08-08
2025-03-31	$318,685	21,147	-9.5%	Shares	Defined	2025-05-14
2024-12-31	$347,452	23,366	-28.2%	Shares	Defined	2025-02-13
2024-09-30	$538,851	32,559	+334.1%	Shares	Defined	2024-11-14
2022-12-31	$100,875	7,500	0.0%	Shares	Defined	2023-03-06
2022-09-30	$96,675	7,500	+87.5%	Shares	Defined	2022-11-02
2022-03-31	$68,520	4,000	—	Shares	Defined	2022-05-13
No filing history on record for this holder in this stock.