Guggenheim Active Allocation Fund Major Shareholders & Ownership History
| Major Shareholder Name | Reporting Date | Shares Held | Market Value | Change in Shares | Ownership |
|---|---|---|---|---|---|
| MORGAN STANLEY | 05/15/2026 | 2.84 M | $43.21 M | 2.03% | 8.38% |
| GUGGENHEIM CAPITAL LLC | 05/15/2026 | 950.00 K | $14.46 M | 0.00% | 2.80% |
| BANK OF AMERICA CORP /DE/ | 05/18/2026 | 914.96 K | $13.93 M | 3.38% | 2.70% |
| PATHSTONE HOLDINGS, LLC | 05/11/2026 | 888.87 K | $13.53 M | -8.92% | 2.62% |
| COHEN & STEERS, INC. | 05/15/2026 | 848.15 K | $12.91 M | 13.37% | 2.50% |
| ADVISORS ASSET MANAGEMENT, INC. | 05/15/2026 | 804.35 K | $12.24 M | -3.78% | 2.37% |
| BAIRD FINANCIAL GROUP, INC. | 05/14/2026 | 730.30 K | $11.12 M | 3.14% | 2.16% |
| RAYMOND JAMES FINANCIAL INC | 05/14/2026 | 708.95 K | $10.79 M | 9.38% | 2.09% |
| ROYAL BANK OF CANADA | 05/15/2026 | 500.01 K | $7.61 M | 3.16% | 1.48% |
| WELLS FARGO & COMPANY/MN | 05/11/2026 | 296.59 K | $4.51 M | 7.27% | 0.88% |
| STEWARD PARTNERS INVESTMENT ADVISORY, LLC | 05/08/2026 | 150.12 K | $2.28 M | 9.27% | 0.44% |
| 05/11/2026 | 106.69 K | $1.62 M | -3.36% | 0.31% | |
| INVESCO LTD. | 05/12/2026 | 84.96 K | $1.29 M | 8.42% | 0.25% |
| COLONY GROUP, LLC | 05/15/2026 | 75.70 K | $1.15 M | -46.95% | 0.22% |
| OPPENHEIMER & CO INC | 04/24/2026 | 66.96 K | $1.02 M | -5.73% | 0.20% |
| GOLDEN STATE EQUITY PARTNERS | 04/28/2026 | 48.58 K | $739.34 K | 1.85% | 0.14% |
| STIFEL FINANCIAL CORP | 05/12/2026 | 48.13 K | $732.48 K | -0.32% | 0.14% |
| CETERA INVESTMENT ADVISERS | 05/13/2026 | 43.69 K | $665.03 K | 59.86% | 0.13% |
| ENVESTNET ASSET MANAGEMENT INC | 05/04/2026 | 40.77 K | $620.54 K | 29.50% | 0.12% |
| ADVISOR GROUP HOLDINGS, INC. | 05/15/2026 | 39.72 K | $604.58 K | -12.78% | 0.12% |
| LPL FINANCIAL LLC | 05/06/2026 | 38.91 K | $592.17 K | 46.47% | 0.11% |
| CONCURRENT INVESTMENT ADVISORS, LLC | 04/21/2026 | 38.42 K | $584.77 K | 5.33% | 0.11% |
| PENSIONMARK FINANCIAL GROUP, LLC | 04/27/2026 | 32.53 K | $495.09 K | 5.04% | 0.10% |
| JOURNEY STRATEGIC WEALTH LLC | 04/15/2026 | 31.94 K | $486.11 K | 14.32% | 0.09% |
| AVIANCE CAPITAL PARTNERS, LLC | 05/06/2026 | 31.67 K | $481.98 K | 0.15% | 0.09% |
| ROCKEFELLER CAPITAL MANAGEMENT L.P. | 05/14/2026 | 30.63 K | $466.20 K | 2.09% | 0.09% |
| CITADEL ADVISORS LLC | 05/15/2026 | 30.18 K | $459.36 K | 100.00% | 0.09% |
| DAVENPORT & CO LLC | 04/15/2026 | 19.50 K | $296.77 K | -19.97% | 0.06% |
| INDEPENDENT ADVISOR ALLIANCE | 05/12/2026 | 18.59 K | $282.94 K | 100.00% | 0.05% |
| UBS GROUP AG | 05/05/2026 | 18.54 K | $282.22 K | -3.30% | 0.05% |
| J.W. COLE ADVISORS, INC. | 04/23/2026 | 17.27 K | $262.85 K | -55.74% | 0.05% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 04/30/2026 | 15.02 K | $229.00 K | -0.06% | 0.04% |
| HIGH NET WORTH ADVISORY GROUP LLC | 04/17/2026 | 12.56 K | $191.09 K | 1.47% | 0.04% |
| KINGSVIEW WEALTH MANAGEMENT, LLC | 05/12/2026 | 12.40 K | $188.65 K | -16.42% | 0.04% |
| WEDBUSH SECURITIES INC | 04/21/2026 | 10.82 K | $165.00 K | 0.53% | 0.03% |
| ANNIS GARDNER WHITING CAPITAL ADVISORS, LLC | 05/06/2026 | 7.50 K | $114.15 K | 0.00% | 0.02% |
| LARSON FINANCIAL GROUP LLC | 05/15/2026 | 3.00 K | $45.66 K | 0.00% | 0.01% |
| GENEOS WEALTH MANAGEMENT INC. | 05/05/2026 | 3.00 K | $45.66 K | 0.00% | 0.01% |
| NOBLE WEALTH MANAGEMENT PBC | 04/02/2026 | 2.70 K | $41.09 K | 0.00% | 0.01% |
| TSFG, LLC | 04/27/2026 | 1.73 K | $26.00 K | 0.00% | 0.01% |
| HARBOUR INVESTMENTS, INC. | 05/15/2026 | 1.50 K | $22.83 K | 0.00% | 0.00% |
| JPMORGAN CHASE & CO | 05/13/2026 | 550 | $8.23 K | 0.00% | 0.00% |
| FARTHER FINANCE ADVISORS, LLC | 04/07/2026 | 357 | $5.47 K | 100.00% | 0.00% |
| HIGHLINE WEALTH PARTNERS LLC | 04/06/2026 | 187 | $2.85 K | 100.00% | 0.00% |
| CENTRAL TRUST CO | 04/17/2026 | 0 | $0 | -100.00% | 0.00% |
| COMMONWEALTH EQUITY SERVICES, LLC | 04/27/2026 | 0 | $0 | -100.00% | 0.00% |
| SOUTHSTATE CORP | 05/05/2026 | 0 | $0 | -100.00% | 0.00% |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | 05/11/2026 | 0 | $0 | -100.00% | 0.00% |
| BRINKER CAPITAL INVESTMENTS, LLC | 05/13/2026 | 0 | $0 | -100.00% | 0.00% |
| 1607 CAPITAL PARTNERS, LLC | 05/15/2026 | 0 | $0 | -100.00% | 0.00% |
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Guggenheim Active Allocation Fund institutional Ownership - FAQ's
During the previous two years, 64 institutional investors and hedge funds held shares of Guggenheim Active Allocation Fund. The most heavily invested institutionals were:
MORGAN STANLEY: 2.84 M
GUGGENHEIM CAPITAL LLC: 950,000
BANK OF AMERICA CORP /DE/: 914,964
Pathstone Holdings, LLC: 888,872
COHEN & STEERS, INC.: 848,149
Advisors Asset Management, Inc.: 804,347
31.18% of Guggenheim Active Allocation Fund stock is owned by institutional investors.
Institutional investors have bought a total of 11.01 M shares in the last 24 months. This purchase volume represents approximately $172.78 M in transactions.