GUGNYSEFiscal year ends May 31
Guggenheim Active Allocation Fund
$13.75+0.06 (+0.44%)
Close on Oct 19, 2026
- Market cap
- –
- P/E (TTM)
- –
- Dividend yield
- –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
11M
Shares held, 13F filers
Institutional holders
46
9 new, 6 sold out
Net institutional buying
1M
In Q2 2026
Insider trades, 12 months
1 buys · 1 sales
Net sold $42.56K
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| Morgan Stanley | 2,777,696 | 8.40% | 13G (passive) amendment | Sep 30, 2025 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of GUG | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Morgan Stanley | 2,865,899 | – | $45.80M | +27,151 | 0.00% |
| Bank Of America Corp /De/ | 960,147 | – | $15.34M | +45,183 | 0.00% |
| Guggenheim Capital LLC | 950,000 | – | $15.18M | – | 0.10% |
| Cohen & Steers, Inc. | 863,149 | – | $13.79K | +15,000 | 0.02% |
| Atlas Wealth LLC | 848,495 | – | $13.56M | New | 1.93% |
| Advisors Asset Management, Inc. | 801,539 | – | $12.81M | −2,808 | 0.20% |
| Raymond James Financial Inc | 781,046 | – | $12.48M | +72,092 | 0.00% |
| Baird Financial Group, Inc. | 676,913 | – | $10.82M | −53,391 | 0.01% |
| Wells Fargo & Company/Mn | 665,643 | – | $10.64M | +369,050 | 0.00% |
| Royal Bank of Canada | 498,064 | – | $7.96M | −1,950 | 0.00% |
| Pathstone Holdings, LLC | 371,088 | – | $5.93M | −517,784 | 0.02% |
| Steward Partners Investment Advisory, LLC | 174,918 | – | $2.80M | +24,798 | 0.01% |
| Sanctuary Advisors, LLC | 109,996 | – | $1.76M | New | 0.00% |
| Kestra Advisory Services, LLC | 100,518 | – | $1.61M | New | 0.01% |
| Invesco Ltd. | 84,145 | – | $1.34M | −813 | 0.00% |
| Closed-End Fund Advisors, Inc. | 80,586 | – | $1.29M | −26,102 | 1.26% |
| Stifel Financial Corp | 49,054 | – | $783.89K | +928 | 0.00% |
| Oppenheimer & Co Inc | 43,824 | – | $700.31K | −23,139 | 0.01% |
| Concurrent Investment Advisors, LLC | 40,738 | – | $650.99K | +2,317 | 0.01% |
| J.W. Cole Advisors, Inc. | 39,190 | – | $626.25K | +21,920 | 0.01% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|
| Q2 2026 | 46 | 11M | 9 / 15 | 13 / 6 | 2M | 1M |
| Q1 2026 | 44 | 11M | 4 / 20 | 12 / 12 | 0M | 1M |
| Q4 2025 | 53 | 11M | 9 / 22 | 13 / 6 | 1M | 0M |
| Q3 2025 | 51 | 10M | 5 / 18 | 18 / 3 | 1M | 1M |
| Q2 2025 | 49 | 11M | 6 / 28 | 7 / 7 | 1M | 0M |
| Q1 2025 | 51 | 10M | 6 / 24 | 14 / 11 | 1M | 1M |
| Q4 2024 | 57 | 9M | 14 / 21 | 13 / 3 | 2M | 0M |
| Q3 2024 | 49 | 8M | 8 / 17 | 14 / 10 | 1M | 1M |
| Q2 2024 | 51 | 8M | 8 / 23 | 12 / 7 | 1M | 5M |
| Q1 2024 | 50 | 12M | 14 / 18 | 12 / 8 | 3M | 2M |
| Q4 2023 | 44 | 12M | 8 / 17 | 13 / 4 | 4M | 0M |
| Q3 2023 | 41 | 8M | 7 / 20 | 9 / 3 | 1M | 1M |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | Latest filing |
|---|---|---|---|
| Elisabeth Miller | Chief Compliance Officer | – | Dec 5, 2024 |
| Randall C. Barnes | Director | 62,322 | Mar 9, 2026 |
| Ronald Nyberg | Director | 2,426 | Dec 19, 2025 |
| Ronald E. Toupin Jr | Director | 13,617 | Apr 1, 2025 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| Randall C. Barnes Director | Mar 6, 2026 | Sale | −3,000 | $15.85 | $47.55K | 62,322 |
| Ronald Nyberg Director | Dec 18, 2025 | Buy | +321 | $15.53 | $4.99K | 2,426 |
| Ronald Nyberg Director | May 5, 2025 | Buy | +1,305 | $15.15 | $19.77K | 2,105 |
| Ronald E. Toupin Jr Director | Apr 1, 2025 | Buy | +1,500 | $15.10 | $22.65K | 13,617 |
| Randall C. Barnes Director | Oct 3, 2024 | Sale | −500 | $16.45 | $8.23K | 65,322 |
| Angela Brock-Kyle Director | Sep 3, 2024 | Buy | +2 | $15.93 | $32 | 3,356 |
| Angela Brock-Kyle Director | Sep 3, 2024 | Buy | +0.43 | $15.99 | $7 | 3,356 |
| Angela Brock-Kyle Director | Sep 3, 2024 | Buy | +907 | $15.94 | $14.46K | 3,354 |
| Ronald E. Toupin Jr Director | Apr 1, 2024 | Buy | +194 | $14.65 | $2.84K | 11,046 |
| Randall C. Barnes Director | Jan 30, 2024 | Buy | +385 | $14.50 | $5.58K | 65,822 |
| Ronald E. Toupin Jr Director | Dec 29, 2023 | Buy | +200 | $14.67 | $2.93K | 10,592 |
| Randall C. Barnes Director | Dec 13, 2023 | Buy | +5,880 | $13.92 | $81.85K | 65,437 |
| Randall C. Barnes Director | Dec 8, 2023 | Buy | +2,000 | $14.07 | $28.14K | 59,557 |
| Randall C. Barnes Director | Dec 7, 2023 | Buy | +7,725 | $14.12 | $109.08K | 57,557 |
| Randall C. Barnes Director | Dec 6, 2023 | Buy | +14,705 | $14.01 | $206.02K | 49,832 |
| Randall C. Barnes Director | Dec 5, 2023 | Buy | +6,000 | $13.92 | $83.52K | 35,127 |
| Randall C. Barnes Director | Nov 30, 2023 | Buy | +1,000 | $13.85 | $13.85K | 29,127 |
| Ronald E. Toupin Jr Director | Nov 30, 2023 | Buy | +200 | $13.73 | $2.75K | 10,306 |
| Randall C. Barnes Director | Oct 31, 2023 | Buy | +1,000 | $12.99 | $12.99K | 28,127 |
| Ronald E. Toupin Jr Director | Oct 31, 2023 | Buy | +220 | $13.04 | $2.87K | 10,020 |
| Angela Brock-Kyle Director | Oct 23, 2023 | Buy | +775 | $12.90 | $10.00K | 2,244 |
| Randall C. Barnes Director | Sep 29, 2023 | Buy | +1,784 | $13.58 | $24.23K | 27,127 |
| Ronald E. Toupin Jr Director | Sep 29, 2023 | Buy | +215 | $13.54 | $2.91K | 9,711 |
| Randall C. Barnes Director | Sep 5, 2023 | Buy | +1,390 | $13.98 | $19.43K | 25,343 |
| Randall C. Barnes Director | Sep 1, 2023 | Buy | +333 | $14.10 | $4.70K | 23,953 |
| Ronald E. Toupin Jr Director | Sep 1, 2023 | Buy | +202 | $14.10 | $2.85K | 9,414 |
| Randall C. Barnes Director | Aug 1, 2023 | Buy | +1,729 | $14.16 | $24.48K | 23,620 |
| Ronald E. Toupin Jr Director | Jul 31, 2023 | Buy | +202 | $14.23 | $2.87K | 9,134 |
| Ronald E. Toupin Jr Director | Jul 5, 2023 | Buy | +202 | $14.30 | $2.89K | 8,858 |
| Randall C. Barnes Director | Jul 1, 2023 | Buy | +1,645 | $14.36 | $23.62K | 21,891 |
| Randall C. Barnes Director | Jun 7, 2023 | Buy | +310 | $13.80 | $4.28K | 20,246 |
| Randall C. Barnes Director | Jun 1, 2023 | Buy | +1,400 | $13.75 | $19.25K | 19,936 |
| Ronald E. Toupin Jr Director | Jun 1, 2023 | Buy | +215 | $13.90 | $2.99K | 8,584 |
| Randall C. Barnes Director | May 1, 2023 | Buy | +1,146 | $14.11 | $16.17K | 18,536 |
| Randall C. Barnes Director | Apr 28, 2023 | Buy | +500 | $14.08 | $7.04K | 17,390 |
| Ronald E. Toupin Jr Director | Apr 28, 2023 | Buy | +200 | $14.03 | $2.81K | 8,297 |
| Ronald E. Toupin Jr Director | Apr 6, 2023 | Buy | +250 | $14.18 | $3.55K | 8,029 |
| Ronald E. Toupin Jr Director | Mar 13, 2023 | Buy | +245 | $13.98 | $3.43K | 7,711 |
| Randall C. Barnes Director | Mar 10, 2023 | Buy | +1,610 | $14.27 | $22.97K | 16,890 |
| Ronald E. Toupin Jr Director | Feb 3, 2023 | Buy | +189 | $15.07 | $2.85K | 7,405 |
| Randall C. Barnes Director | Feb 1, 2023 | Buy | +1,540 | $14.85 | $22.87K | 15,280 |
| Ronald E. Toupin Jr Director | Dec 30, 2022 | Buy | +1 | $13.45 | $13 | 7,157 |
| Ronald E. Toupin Jr Director | Dec 30, 2022 | Buy | +248 | $13.45 | $3.34K | 7,156 |
| Ronald E. Toupin Jr Director | Dec 30, 2022 | Buy | +0.02 | $0.30 | $0 | 7,157 |
| Randall C. Barnes Director | Dec 30, 2022 | Buy | +1,645 | $13.49 | $22.19K | 13,740 |
| Randall C. Barnes Director | Dec 21, 2022 | Buy | +2,400 | $13.73 | $32.95K | 12,095 |
| Randall C. Barnes Director | Dec 20, 2022 | Buy | +2,030 | $13.87 | $28.16K | 9,695 |
| Angela Brock-Kyle Director | Dec 2, 2022 | Buy | +0.1 | $14.21 | $1 | 1,353 |
| Angela Brock-Kyle Director | Dec 2, 2022 | Buy | +2 | $14.19 | $28 | 1,353 |
| Angela Brock-Kyle Director | Dec 2, 2022 | Buy | +351 | $14.16 | $4.97K | 1,351 |
| Angela Brock-Kyle Director | Dec 2, 2022 | Buy | +353.1 | $14.16 | $5.00K | 1,353 |
| Randall C. Barnes Director | Nov 30, 2022 | Buy | +1,560 | $13.80 | $21.53K | 7,665 |
| Randall C. Barnes Director | Nov 28, 2022 | Buy | +2,860 | $14.01 | $40.07K | 6,105 |
| Ronald Nyberg Director | Nov 1, 2022 | Buy | +800 | $13.57 | $10.86K | 800 |
| Randall C. Barnes Director | Nov 1, 2022 | Buy | +1,565 | $13.60 | $21.28K | 3,245 |
| Randall C. Barnes Director | Oct 25, 2022 | Buy | +270 | $13.05 | $3.52K | 1,680 |
| Ronald E. Toupin Jr Director | Oct 12, 2022 | Buy | +145 | $13.67 | $1.98K | 5,729 |
| Ronald E. Toupin Jr Director | Oct 12, 2022 | Buy | +1,000 | $13.68 | $13.68K | 6,729 |
| Ronald E. Toupin Jr Director | Oct 12, 2022 | Buy | +0.74 | $13.69 | $10 | 6,730 |
| Ronald E. Toupin Jr Director | Sep 29, 2022 | Buy | +1,000 | $12.90 | $12.90K | 5,553 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.