What does CUSIP 40170T106 represent in this 13F holders report?

CUSIP 40170T106 is the security identifier for GUG - Guggenheim Active Allocation Fund - Common Shares used to aggregate holder disclosures.

How many institutions held GUG - Guggenheim Active Allocation Fund - Common Shares in Q1 2023?

36 institutional investors reported GUG - Guggenheim Active Allocation Fund - Common Shares for Q1 2023. Use the holders table for investor-level position and value details.

Guggenheim Active Allocation Fund - Common Shares (GUG)

CUSIP: 40170T106

Q1 2023 13F Holders as of 31 Mar 2023

Security type / class: Equity / Common Shares
Total 13F shares: 8,301,926
Total 13F value: $116,298,281
Share change: +323,998
SEC-reported price per share: $14.04
Number of holders: 36
Value change: +$4,571,324
Number of buys: 23
Number of sells: 13
Shares outstanding: 33,067,810

Security key

40170T106

Report period

Q1 2023

Institutions

Top holders

GUG full security history Ownership snapshot Full 13F holder table Newer quarter: Q3 2025 Guggenheim Active Allocation Fund SEC filings

Broader feeds

Latest 13F filings Latest 13D/G filings Investors directory

Reporting periods

Holder history for CUSIP 40170T106

Newer quarter: Q3 2025

Recent filing periods:

Q3 2026 Q2 2026 Q1 2026 Q4 2025 Q3 2025

Ownership snapshot

Top reported holders of GUG - Guggenheim Active Allocation Fund - Common Shares (13F + 13D/G + 3/4/5)

Grouped by holder across the latest SEC ownership disclosures. Start with comparable ownership when available, then verify the linked 13F, 13D/G, or 3/4/5 evidence.

Comparable stake leader

Arete Wealth Advisors, LLC

Disclosed value leader

Arete Wealth Advisors, LLC

Comparable rows

0/15

Latest evidence

31 Dec 2022

13F Highest disclosed value: $141,487,960 15 rows are not safely comparable across share classes. Showing 1-6 of 15 holder rows.

Quick read

Arete Wealth Advisors, LLC has the largest disclosed position value at $141.49M.

0 of 15 rows have a safely comparable ownership percentage. Use this as a filing-backed starting point, then open the detailed table for source links, reporting role, position value, share count, and filing date.

Open SEC evidence Opens Arete Wealth Advisors, LLC's linked filing trail.

Disclosed position value Top 5

Arete Wealth Advisors, LLC $141.49M

MORGAN STANLEY $31.07M

BANK OF AMERICA CORP /DE/ $11.3M

RIVERNORTH CAPITAL MANAGEMENT, LLC $9.99M

Saba Capital Management, L.P. $9.43M

Value bars compare disclosed positions; verify each figure against the linked filing evidence.

Detailed SEC evidence table Showing 1-6 of 15 holder rows

Holder	Evidence	Ownership %	Position	12M Net Δ	As of
Arete Wealth Advisors, LLC	13F Company 13F	— denominator unverified	$141,487,960 10,520 shares	—	31 Dec 2022
MORGAN STANLEY	13F Company 13F	— denominator unverified	$31,066,583 2,309,783 shares	—	31 Dec 2022
BANK OF AMERICA CORP /DE/	13F Company 13F	— denominator unverified	$11,303,717 840,425 shares	—	31 Dec 2022
RIVERNORTH CAPITAL MANAGEMENT, LLC	13F Company 13F	— denominator unverified	$9,994,668 743,098 shares	—	31 Dec 2022
Saba Capital Management, L.P.	13F Company 13F	— denominator unverified	$9,434,772 701,470 shares	—	31 Dec 2022
COHEN & STEERS, INC.	13F Company 13F	— denominator unverified	$7,910,000 588,128 shares	—	31 Dec 2022

How to read this table

Rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.

13F holder rows

Institutional holders as of Q1 2023

Investor-level positions for this CUSIP, loaded as an interactive table.

Institutions

8,301,926

Rows available

Investor	Option	Weight %	Change %	SEC-reported value	* Price	Shares	Share Change	Activity	Report Period

^* SEC-reported price is the security price as of the portfolio date and can indicate the last known price at which the security was still held. The marker flags a reported price that did not pass the local price check.

Compare Q1 2023 vs Q2 2026 Across Filers

Q2 2026 holders

Q1 2023 holders

Holder diff

-10

Investor	Q2 2026 Shares	Q1 2023 Shares	Share Diff	Share Chg %	Q2 2026 value	Q1 2023 value	Value change	Value Chg %

Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).

Quarterly Holders Trend

Quarterly Value Trend

Quarterly Shares Trend