| Filer | Ownership | Change % | Holdings Value | Net Change | Nb Shares | Change % | Reporting Name | Report Period |
|---|---|---|---|---|---|---|---|---|
| MORGAN STANLEY | 8.4% | +16% | $43,332,058 | +$5,735,855 | 2,777,696 | +15% | Morgan Stanley | 30 Sep 2025 |
As of 31 Dec 2025, 53 institutional investors reported holding 10,794,793 shares of Guggenheim Active Allocation Fund - Common Shares (GUG). This represents 33% of the company’s total 33,067,810 outstanding shares.
The largest institutional shareholders of Guggenheim Active Allocation Fund - Common Shares (GUG) together control 32% of the company’s outstanding shares — a level of ownership often associated with strong institutional conviction and long‑term capital commitment.
| Institution | Ownership % | Shares Held | Share Change % | Portfolio % | Holdings Value |
|---|---|---|---|---|---|
| MORGAN STANLEY | 8.4% | 2,782,292 | +0.15% | 0% | $42,652,537 |
| Pathstone Holdings, LLC | 3% | 975,927 | +8.7% | 0.06% | $14,960,958 |
| GUGGENHEIM CAPITAL LLC | 2.9% | 950,000 | 0% | 0.11% | $14,563,500 |
| BANK OF AMERICA CORP /DE/ | 2.7% | 885,035 | +30% | 0% | $13,567,580 |
| Advisors Asset Management, Inc. | 2.5% | 835,944 | -6.6% | 0.22% | $12,815,022 |
| COHEN & STEERS, INC. | 2.3% | 748,149 | 0% | 0.02% | $11,469,000 |
| Baird Financial Group, Inc. | 2.1% | 708,042 | +2.3% | 0.02% | $10,854,284 |
| RAYMOND JAMES FINANCIAL INC | 2% | 648,132 | -4.2% | 0% | $9,935,873 |
| ROYAL BANK OF CANADA | 1.5% | 484,718 | -8.8% | 0% | $7,430,000 |
| WELLS FARGO & COMPANY/MN | 0.84% | 276,495 | +0.26% | 0% | $4,238,673 |
| CORRADO ADVISORS, LLC | 0.55% | 180,342 | +4.6% | 1.4% | $2,764,638 |
| Focus Partners Wealth | 0.43% | 142,693 | 0% | $2,187,485 | |
| Steward Partners Investment Advisory, LLC | 0.42% | 137,379 | +14% | 0.01% | $2,106,027 |
| Closed-End Fund Advisors, Inc. | 0.33% | 110,396 | 0% | 1% | $1,692,371 |
| Kestra Advisory Services, LLC | 0.31% | 104,026 | +5.7% | 0.01% | $1,594,720 |
| Invesco Ltd. | 0.24% | 78,358 | +5.8% | 0% | $1,201,228 |
| OPPENHEIMER & CO INC | 0.21% | 71,031 | -21% | 0.02% | $1,088,905 |
| STIFEL FINANCIAL CORP | 0.15% | 48,281 | -2.4% | 0% | $740,164 |
| Golden State Equity Partners | 0.14% | 47,694 | +5.2% | 0.12% | $731,141 |
| OSAIC HOLDINGS, INC. | 0.14% | 45,540 | -9.4% | 0% | $698,113 |
| J.W. COLE ADVISORS, INC. | 0.12% | 39,015 | -0.97% | 0.01% | $333,350 |
| Concurrent Investment Advisors, LLC | 0.11% | 36,477 | +0.47% | 0.01% | $559,196 |
| Aviance Capital Partners, LLC | 0.1% | 31,620 | +3.8% | 0.06% | $484,730 |
| ENVESTNET ASSET MANAGEMENT INC | 0.1% | 31,484 | +11% | 0% | $482,653 |
| World Investment Advisors | 0.09% | 30,967 | +2.7% | 0.01% | $474,725 |
| Period | Reported Shares, Excl. Options | Value, Excl. Options | Value Change | Price (Median) | Investors |
|---|---|---|---|---|---|
| 2025 Q4 | 10,794,793 | $165,218,721 | +$3,637,676 | $15.33 | 53 |
| 2025 Q3 | 10,454,989 | $163,106,520 | +$2,202,974 | $15.60 | 51 |
| 2025 Q2 | 10,312,968 | $161,295,435 | +$11,928,145 | $15.64 | 49 |
| 2025 Q1 | 9,526,260 | $143,609,096 | +$6,149,113 | $15.07 | 51 |
| 2024 Q4 | 9,310,438 | $138,450,521 | +$9,350,790 | $14.87 | 57 |
| 2024 Q3 | 8,396,579 | $141,118,847 | -$689,046 | $16.55 | 49 |
| 2024 Q2 | 8,432,107 | $125,959,246 | +$2,805,528 | $14.93 | 51 |
| 2024 Q1 | 8,261,176 | $121,300,978 | -$22,423,244 | $14.71 | 50 |
| 2023 Q4 | 9,786,841 | $143,467,071 | +$18,066,769 | $14.66 | 44 |
| 2023 Q3 | 8,421,426 | $113,690,255 | -$1,805,683 | $13.50 | 41 |
| 2023 Q2 | 8,525,955 | $122,382,368 | +$3,231,961 | $14.36 | 37 |
| 2023 Q1 | 8,301,926 | $116,298,281 | +$4,571,324 | $14.04 | 36 |
| 2022 Q4 | 7,977,928 | $248,647,424 | +$28,591,219 | $13.45 | 34 |
| 2022 Q3 | 5,550,698 | $71,511,000 | +$8,181,798 | $12.89 | 30 |
| 2022 Q2 | 4,927,646 | $69,972,000 | +$22,100,307 | $14.20 | 22 |
| 2022 Q1 | 3,368,217 | $57,712,000 | +$36,637,755 | $17.13 | 14 |
| 2021 Q4 | 1,226,109 | $24,473,000 | +$24,473,000 | $19.96 | 5 |