GUG · Guggenheim Active Allocation Fund · Holdings

$13.88 -0.07 (-0.50%) At close · Oct 7

Market Cap

$457.76M

32.98M

Volume · Oct 7 111.27K Avg daily vol (3M) 118.28K

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP →

Some SEC filings for this period have not finished importing. Holder totals and changes may be incomplete; these filings remain queued for recovery.

The Sep 30, 2026 filing window is still open — showing the latest known positions. Funds that have not filed yet carry their prior-quarter positions; a fund that filed without this stock counts as sold out. Each fund's Change is measured against its own previous reported quarter, shown in the Reported column. Pick a completed quarter in the Quarter selector below to put every fund on one quarter and see the stock-wide activity breakdown.

Quarter:

Holders: 46

Total Value: $182,564,029

Total Shares: 11,424,717

Institutional Ownership Trend

20 quarters

Holder Concentration

Across 46 13F filers

Top Holder

25.1%

of institutional value

Top 5

56.8%

of institutional value

Top 10

86.7%

of institutional value

HHI

1,082

Broadly held

Showing 46 of 46

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

MORGAN STANLEY

$45,797,065

25.09%

2,865,899

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY SMITH BARNEY LLC	2,865,899	$45,797,065	100.0%	Defined

BANK OF AMERICA CORP /DE/

$15,343,149

8.40%

960,147

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.	960,147	$15,343,149	100.0%	Defined

GUGGENHEIM CAPITAL LLC

$15,181,000

8.32%

950,000

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Guggenheim Partners Investment Management, LLC joint	950,000	$15,181,000	100.0%	Defined

COHEN & STEERS, INC.

$13,793,121

7.56%

863,149

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Cohen & Steers Capital Management Inc	863,149	$13,793,121	100.0%	Sole

Atlas Wealth LLC

$13,558,950

7.43%

848,495

Advisors Asset Management, Inc.

$12,808,593

7.02%

801,539

RAYMOND JAMES FINANCIAL INC

$12,481,114

6.84%

781,046

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	509,423	$8,140,579	65.2%	Defined
Raymond James Financial Services Advisors, Inc.	250,289	$3,999,618	32.0%	Defined
RAYMOND JAMES TRUST N.A.	21,334	$340,917	2.7%	Defined

Baird Financial Group, Inc.

$10,817,069

5.93%

676,913

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Robert W. Baird & Co. Inc	676,913	$10,817,069	100.0%	Defined

WELLS FARGO & COMPANY/MN

$10,636,974

5.83%

665,643

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC	15,729	$251,349	2.4%	Defined
WELLS FARGO CLEARING SERVICES, LLC	649,914	$10,385,625	97.6%	Defined

ROYAL BANK OF CANADA

$7,959,062

4.36%

498,064

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RBC Capital Markets, LLC	498,064	$7,959,062	100.0%	Defined

Pathstone Holdings, LLC

$5,929,985

3.25%

371,088

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
ADVISOR PARTNERS II, LLC	368,718	$5,892,113	99.4%	Defined
Held directly	2,370	$37,872	0.6%	Sole

Steward Partners Investment Advisory, LLC

$2,795,189

1.53%

174,918

Sanctuary Advisors, LLC

$1,757,736

0.96%

109,996

Kestra Advisory Services, LLC

$1,606,277

0.88%

100,518

Invesco Ltd.

$1,344,637

0.74%

84,145

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Invesco Investment Advisers LLC	84,145	$1,344,637	100.0%	Defined

Closed-End Fund Advisors, Inc.

$1,287,764

0.71%

80,586

STIFEL FINANCIAL CORP

$783,882

0.43%

49,054

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
STIFEL NICOLAUS & CO INC \MO\	49,054	$783,882	100.0%	Defined

OPPENHEIMER & CO INC

$700,307

0.38%

43,824

Concurrent Investment Advisors, LLC

$650,993

0.36%

40,738

J.W. COLE ADVISORS, INC.

$626,256

0.34%

39,190

OSAIC HOLDINGS, INC.

$611,810

0.34%

38,286

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	38,286	$611,810	100.0%	Defined

LPL Financial LLC

$546,947

0.30%

34,227

Aviance Capital Partners, LLC

$525,981

0.29%

32,915

World Investment Advisors

$519,813

0.28%

32,529

CITADEL ADVISORS LLC

$514,252

0.28%

32,181

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	32,181	$514,252	100.0%	Defined

HighTower Advisors, LLC

$510,385

0.28%

31,939

Rockefeller Capital Management L.P.

$491,864

0.27%

30,780

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER FINANCIAL LLC	30,780	$491,864	100.0%	Defined

Beacon Pointe Advisors, LLC

$468,885

0.26%

29,342

JANE STREET GROUP, LLC

$349,673

0.19%

21,882

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	20,566	$328,644	94.0%	Defined
Jane Street Global Trading, LLC	1,316	$21,029	6.0%	Defined

DAVENPORT & Co LLC

$307,359

0.17%

19,234

UBS Group AG

$289,238

0.16%

18,100

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Financial Services Inc	18,100	$289,238	100.0%	Defined

Cetera Investment Advisers

$287,847

0.16%

18,013

Orion Porfolio Solutions, LLC

$256,622

0.14%

16,059

Cambridge Investment Research Advisors, Inc.

$241,457

0.13%

15,110

High Net Worth Advisory Group LLC

$203,505

0.11%

12,735

WEDBUSH SECURITIES INC

$197,592

0.11%

12,365

ENVESTNET ASSET MANAGEMENT INC

$172,232

0.09%

10,778

Geneos Wealth Management Inc.

$47,940

0.03%

3,000

Larson Financial Group LLC

$47,940

0.03%

3,000

NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO

$33,573

0.02%

2,101

HARBOUR INVESTMENTS, INC.

$23,970

0.01%

1,500

Noble Wealth Management PBC

$22,640

0.01%

1,600

Institute for Wealth Management, LLC.

$15,900

0.01%

995

JPMORGAN CHASE & CO

$8,789

0.00%

550

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
J.P. Morgan Securities LLC	550	$8,789	100.0%	Defined

Farther Finance Advisors, LLC

$5,704

0.00%

357

HIGHLINE WEALTH PARTNERS LLC

$2,988

0.00%

187

Key facts CIK 1864208 CUSIP 40170T106 13F (30d) 2 filings 2 filers Visit website