DaveManuel.com · Institutional Ownership · Who Owns It
GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK (GUG)
Institutional ownership reported to the SEC as of Q2 2026, across 20 quarters.
47
Reporting holders
$182.8M
Reported value
0.0%
Calls
0.0%
Puts
+2
Holder change
Calls and puts are the parts of reported value carried in derivative lines rather than shares, and they point in opposite directions: a manager holding calls is positioned for the security, one holding puts against it - or hedging shares they already own, which is why index funds carry so many. Most sites add the two together and report one figure, which averages away the only interesting part.
Holders
| Filer | Value | Shares | Their book | Held | Change |
|---|---|---|---|---|---|
| MORGAN STANLEY | $45.8M | 2,865,899 | 0.00% | 19q | +1.0%+$433.9K |
| BANK OF AMERICA CORP /DE/ | $15.3M | 960,147 | 0.00% | 19q | +4.9%+$722.0K |
| GUGGENHEIM CAPITAL LLC | $15.2M | 950,000 | 0.10% | 15q | HELD |
| COHEN & STEERS, INC. | $13.8M | 863,149 | 0.02% | 18q | +1.8%+$239.7K |
| Atlas Wealth LLC | $13.6M | 848,495 | 1.93% | new | NEW |
| Advisors Asset Management, Inc. | $12.8M | 801,539 | 0.20% | 15q | HELD |
| RAYMOND JAMES FINANCIAL INC | $12.5M | 781,046 | 0.00% | 7q | +10.2%+$1.2M |
| Baird Financial Group, Inc. | $10.8M | 676,913 | 0.01% | 14q | -7.3%-$853.2K |
| WELLS FARGO & COMPANY/MN | $10.6M | 665,643 | 0.00% | 19q | +124.4%+$5.9M |
| ROYAL BANK OF CANADA | $8.0M | 498,064 | 0.00% | 19q | HELD |
| Pathstone Holdings, LLC | $5.9M | 371,088 | 0.02% | 11q | -58.3%-$8.3M |
| Steward Partners Investment Advisory, LLC | $2.8M | 174,918 | 0.01% | 10q | +16.5%+$396.3K |
| Sanctuary Advisors, LLC | $1.8M | 109,996 | 0.01% | new | NEW |
| Kestra Advisory Services, LLC | $1.6M | 100,518 | 0.01% | new | NEW |
| Invesco Ltd. | $1.3M | 84,145 | 0.00% | 7q | -1.0%-$13.0K |
| Closed-End Fund Advisors, Inc. | $1.3M | 80,586 | 1.26% | 3q | -24.5%-$417.1K |
| STIFEL FINANCIAL CORP | $783.9K | 49,054 | 0.00% | 18q | +1.9%+$14.8K |
| OPPENHEIMER & CO INC | $700.3K | 43,824 | 0.01% | 18q | -34.6%-$369.8K |
| Concurrent Investment Advisors, LLC | $651.0K | 40,738 | 0.01% | 10q | +6.0%+$37.0K |
| J.W. COLE ADVISORS, INC. | $626.3K | 39,190 | 0.01% | 15q | +126.9%+$350.3K |
| OSAIC HOLDINGS, INC. | $611.8K | 38,286 | 0.00% | 16q | -3.6%-$22.9K |
| LPL Financial LLC | $546.9K | 34,227 | 0.00% | 7q | -12.0%-$74.8K |
| Aviance Capital Partners, LLC | $526.0K | 32,915 | 0.05% | 12q | +3.9%+$19.9K |
| CITADEL ADVISORS LLC | $514.3K | 32,181 | 0.00% | 2q | +6.6%+$32.0K |
| HighTower Advisors, LLC | $510.4K | 31,939 | 0.00% | new | NEW |
| World Investment Advisors | $495.1K | 32,529 | 0.01% | 4q | HELD |
| Rockefeller Capital Management L.P. | $491.9K | 30,780 | 0.00% | 8q | HELD |
| Cambridge Investment Research Advisors, Inc. | $482.0K | 30,220 | 0.00% | 3q | +101.2%+$242.5K |
| Beacon Pointe Advisors, LLC | $468.9K | 29,342 | 0.00% | new | NEW |
| JANE STREET GROUP, LLC | $349.7K | 21,882 | 0.00% | new | NEW |
| DAVENPORT & Co LLC | $307.4K | 19,234 | 0.00% | 17q | -1.4%-$4.2K |
| UBS Group AG | $289.2K | 18,100 | 0.00% | 18q | -2.4%-$7.1K |
| Cetera Investment Advisers | $287.8K | 18,013 | 0.00% | 10q | -58.8%-$410.4K |
| Orion Porfolio Solutions, LLC | $256.6K | 16,059 | 0.00% | new | NEW |
| High Net Worth Advisory Group LLC | $203.5K | 12,735 | 0.04% | 3q | +1.4%+$2.9K |
| WEDBUSH SECURITIES INC | $198.0K | 12,365 | 0.01% | 10q | +14.3%+$24.8K |
| ENVESTNET ASSET MANAGEMENT INC | $172.2K | 10,778 | 0.00% | 10q | -73.6%-$479.3K |
| Larson Financial Group LLC | $47.9K | 3,000 | 0.00% | 5q | HELD |
| Geneos Wealth Management Inc. | $47.9K | 3,000 | 0.00% | 15q | HELD |
| Noble Wealth Management PBC | $43.1K | 2,700 | 0.02% | 6q | HELD |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | $33.6K | 2,101 | 0.00% | new | NEW |
| HARBOUR INVESTMENTS, INC. | $24.0K | 1,500 | 0.00% | 17q | HELD |
| Institute for Wealth Management, LLC. | $15.9K | 995 | 0.00% | new | NEW |
| BFC Planning, Inc. | $10.6K | 663 | 0.00% | 7q | -60.1%-$16.0K |
| JPMORGAN CHASE & CO | $8.8K | 550 | 0.00% | 8q | HELD |
| Farther Finance Advisors, LLC | $5.7K | 357 | 0.00% | 2q | HELD |
| HIGHLINE WEALTH PARTNERS LLC | $3.0K | 187 | 0.00% | 2q | HELD |
Quarter by quarter
Coverage begins with the quarter ending 2018-12-31. Earlier filings exist only as occasional late amendments, too sparse to describe a market, so they are not shown.
| Quarter | Holders | Value | Shares | New | Added | Trimmed | Options |
|---|---|---|---|---|---|---|---|
| Q3 2026 | 10 | $2.3M | 159,824 | 1 | 2 | 4 | 0.0% |
| Q2 2026 | 47 | $182.8M | 11,441,590 | 9 | 14 | 12 | 0.0% |
| Q1 2026 | 45 | $160.8M | 10,567,413 | 4 | 19 | 10 | 0.0% |
| Q4 2025 | 54 | $165.3M | 10,797,342 | 8 | 18 | 13 | 0.0% |
| Q3 2025 | 52 | $163.2M | 10,459,736 | 4 | 19 | 18 | 0.0% |
| Q2 2025 | 50 | $169.7M | 10,852,522 | 5 | 27 | 7 | 0.0% |
| Q1 2025 | 52 | $143.7M | 9,532,721 | 6 | 23 | 13 | 0.0% |
| Q4 2024 | 58 | $136.6M | 9,186,063 | 12 | 21 | 13 | 0.0% |
| Q3 2024 | 49 | $141.2M | 8,401,182 | 8 | 16 | 14 | 0.0% |
| Q2 2024 | 51 | $126.0M | 8,432,909 | 8 | 22 | 12 | 0.0% |
| Q1 2024 | 50 | $178.9M | 12,176,808 | 14 | 16 | 11 | 0.0% |
| Q4 2023 | 44 | $170.6M | 11,635,355 | 6 | 17 | 12 | 0.0% |
| Q3 2023 | 41 | $113.7M | 8,421,426 | 7 | 19 | 9 | 0.0% |
| Q2 2023 | 37 | $122.4M | 8,527,205 | 3 | 20 | 10 | 0.0% |
| Q1 2023 | 36 | $120.0M | 8,562,738 | 7 | 16 | 8 | 0.0% |
| Q4 2022 | 34 | $248.6M | 18,487,408 | 9 | 15 | 5 | 0.0% |
| Q3 2022 | 30 | $71.5M | 5,550,698 | 10 | 8 | 7 | 0.0% |
| Q2 2022 | 22 | $70.0M | 4,927,763 | 10 | 11 | 1 | 0.0% |
| Q1 2022 | 14 | $57.7M | 3,368,217 | 10 | 4 | 0 | 0.0% |
| Q4 2021 | 5 | $24.5M | 1,226,109 | 5 | 0 | 0 | 0.0% |