Latest Period
Q2 2026
Security Snapshot
Guggenheim Active Allocation Fund - Common Shares (GUG) Institutional Ownership
CUSIP: 40170T106
13F Institutional Holders and Ownership History from Q4 2021 to Q2 2026
Institutions Reporting
46
Shares (Excl. Options)
11,425,816
Price
$15.98
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- Security type / class
- Equity / Common Shares
- Symbol
- GUG on NYSE
- All holders as of 30 Jun 2026
- Q2 2026
- Total 13F shares
- 11,425,816
- Total 13F value
- $182,559,601
- Portfolio coverage rank
- 0%
- Share change
- +892,005
- Value change
- +$14,379,701
- Number of holders
- 46
- Shares outstanding
- 33,067,810
- SEC-reported price per share
- $15.37
- Insider filing price
- $15.37
Latest holder snapshot
5 signals
Issuer context
Names, identifiers, and filing context for this profile.
3 identity fields
13F Shares, Excluding Options vs Price
13F Value, Excluding Options
Total Investors
Key facts
- GUG - Guggenheim Active Allocation Fund - Common Shares is tracked under CUSIP 40170T106.
- 46 institutions reported positions in Q2 2026.
- 1 significant owner is listed from Schedule 13D/13G reporting.
Change
- Holder count moved from 44 to 46 between Q1 2026 and Q2 2026.
- SEC-reported value moved from $160,811,023 to $182,559,601.
Research use
- You can quickly see who holds this security, then open quarter and manager detail pages for full evidence.
- 13F and Schedule 13D/13G sections are kept together so you can cross-check institutional and beneficial ownership context.
Evidence
Source: SEC Form 13F
Open SEC evidence
Latest holder context comes from 46 institutions filings for Q2 2026.
Security key
40170T106
Latest holder period
Q2 2026
13F holders
46
13D/G owners
1
CIK / CUSIP context first
Open Q2 2026 holders
GUG full holder history
Guggenheim Active Allocation Fund SEC filings
Guggenheim Active Allocation Fund insider transactions
Broader feeds
Recent Quarterly Holder Reports
Open recent reporting periods for CUSIP 40170T106:
13D/G owners
Significant owners
Large-stake holder rows connected to Schedule 13D/G evidence.
Rows
1
Security
GUG
| 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 30 Jun 2026, 46 institutional investors reported holding 11,425,816 shares of Guggenheim Active Allocation Fund - Common Shares (GUG). This represents 35% of the company’s total 33,067,810 outstanding shares.
13F concentration
Top 25 institutional shareholders
Largest 13F positions for this security by reported shares and value.
Top holder share
34%
| Institution | Ownership % | Shares Held | Share Change % | Portfolio % | Holdings Value |
|---|---|---|---|---|---|
| MORGAN STANLEY | 8.7% | 2,865,898 | +0.96% | 0% | $45,797,056 |
| BANK OF AMERICA CORP /DE/ | 2.9% | 960,147 | +4.9% | 0% | $15,343,151 |
| GUGGENHEIM CAPITAL LLC | 2.9% | 950,000 | 0% | 0.1% | $15,181,000 |
| COHEN & STEERS, INC. | 2.6% | 863,149 | +1.8% | 0.02% | $13,793,000 |
| Atlas Wealth LLC | 2.6% | 848,495 | 1.9% | $13,558,950 | |
| Advisors Asset Management, Inc. | 2.4% | 801,539 | -0.35% | 0.2% | $12,808,593 |
| RAYMOND JAMES FINANCIAL INC | 2.4% | 781,046 | +10% | 0% | $12,481,110 |
| Baird Financial Group, Inc. | 2% | 676,913 | -7.3% | 0.01% | $10,817,070 |
| WELLS FARGO & COMPANY/MN | 2% | 665,643 | +124% | 0% | $10,636,981 |
| ROYAL BANK OF CANADA | 1.5% | 498,064 | -0.39% | 0% | $7,959,000 |
| Pathstone Holdings, LLC | 1.1% | 371,088 | -58% | 0.02% | $5,929,983 |
| Steward Partners Investment Advisory, LLC | 0.53% | 174,918 | +17% | 0.01% | $2,795,194 |
| Sanctuary Advisors, LLC | 0.33% | 109,996 | 0.01% | $1,757,736 | |
| Kestra Advisory Services, LLC | 0.3% | 100,518 | 0.01% | $1,606,285 | |
| Invesco Ltd. | 0.25% | 84,145 | -0.96% | 0% | $1,344,637 |
| Closed-End Fund Advisors, Inc. | 0.24% | 80,586 | -24% | 1.3% | $1,287,764 |
| STIFEL FINANCIAL CORP | 0.15% | 49,054 | +1.9% | 0% | $783,886 |
| OPPENHEIMER & CO INC | 0.13% | 43,824 | -35% | 0.01% | $700,308 |
| Concurrent Investment Advisors, LLC | 0.12% | 40,738 | +6% | 0.01% | $650,991 |
| J.W. COLE ADVISORS, INC. | 0.12% | 39,190 | +127% | 0.01% | $626,253 |
| OSAIC HOLDINGS, INC. | 0.12% | 38,286 | -3.6% | 0% | $611,821 |
| LPL Financial LLC | 0.1% | 34,227 | -12% | 0% | $546,942 |
| Aviance Capital Partners, LLC | 0.1% | 32,915 | +3.9% | 0.05% | $525,980 |
| World Investment Advisors | 0.1% | 32,529 | 0% | 0.01% | $495,092 |
| CITADEL ADVISORS LLC | 0.1% | 32,181 | +6.6% | 0% | $514,252 |
Quarter history
Institutional holders across reporting periods
Holder count, reported shares/value, and median price by quarter.
Periods
19
Latest
Q2 2026
Rows shown
1-19 of 19
| Period | 13F Shares, Excl. Options | Value, Excl. Options | Value Change | Price (Median) | Investors |
|---|---|---|---|---|---|
| 2026 Q2 | 11,425,816 | $182,559,601 | +$14,379,701 | $15.98 | 46 |
| 2026 Q1 | 10,565,750 | $160,811,023 | -$3,315,414 | $15.22 | 44 |
| 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 |