DOSSIER · 13F Holders · Q1 2026
GUG

GUGGENHEIM ACTIVE ALLOC FD

45 institutions still hold GUGGENHEIM ACTIVE ALLOC FD as of Q1 2026. Tracked across SEC 13F-HR filings, with insider and 13D/G activity surfaced alongside.

CUSIP 40170T106·45 13F holders·last filed Mar 31, 2026
Market cap
13F value held
$156M
visible holders
Holders
45
filers reporting
Concentration
27.67%
MORGAN STANLEY #1
top holder share
AI Holders Summary · Q1 2026

45 institutions reported GUG in Q1 2026. MORGAN STANLEY leads at 27.7% of the visible book.

Top holders

Sorted by position value. Source: SEC EDGAR 13F-HR filings.

#HolderValueShares% port.Quarter
01
MORGAN STANLEY
CIK 0000895421
$43M2.8M0.00%Q1 2026
02
GUGGENHEIM CAPITAL LLC
CIK 0001283072
$14M950K0.11%Q1 2026
03
BANK OF AMERICA CORP /DE/
CIK 0000070858
$14M915K0.00%Q1 2026
04
Pathstone Holdings, LLC
CIK 0002011612
$14M889K0.05%Q1 2026
05
COHEN & STEERS, INC.
CIK 0001284812
$13M848K0.02%Q1 2026
06
Advisors Asset Management, Inc.
CIK 0001297376
$12M804K0.20%Q1 2026
07
Baird Financial Group, Inc.
CIK 0001648711
$11M730K0.02%Q1 2026
08
RAYMOND JAMES FINANCIAL INC
CIK 0000720005
$11M709K0.00%Q1 2026
09
ROYAL BANK OF CANADA
CIK 0001000275
$8M500K0.00%Q1 2026
10
WELLS FARGO & COMPANY/MN
CIK 0000072971
$5M297K0.00%Q1 2026
11
Steward Partners Investment Advisory, LLC
CIK 0001723397
$2M150K0.01%Q1 2026
12
Focus Partners Wealth
CIK 0001542153
$2M143K0.00%Q4 2025
13
Closed-End Fund Advisors, Inc.
CIK 0002103520
$2M107K1.65%Q1 2026
14
Invesco Ltd.
CIK 0000914208
$1M85K0.00%Q1 2026
15
OPPENHEIMER & CO INC
CIK 0000822581
$1M71K0.02%Q4 2025
16
Golden State Equity Partners
CIK 0001845003
$739K49K0.06%Q1 2026
17
STIFEL FINANCIAL CORP
CIK 0000720672
$732K48K0.00%Q1 2026
18
Cetera Investment Advisers
CIK 0001666741
$665K44K0.00%Q1 2026
19
ENVESTNET ASSET MANAGEMENT INC
CIK 0001407543
$621K41K0.00%Q1 2026
20
OSAIC HOLDINGS, INC.
CIK 0001677044
$605K40K0.00%Q1 2026
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Insiders at GUGGENHEIM ACTIVE ALLOC FD
Barnes Randall CNyberg RonaldToupin Ronald E JrBrock-Kyle Angela