Guggenheim Active Allocation Fund Major Shareholders & Ownership History
| Major Shareholder Name | Reporting Date | Shares Held | Market Value | Change in Shares | Ownership |
|---|---|---|---|---|---|
| MORGAN STANLEY | 11/14/2025 | 2.78 M | $43.34 M | 7.64% | 8.20% |
| GUGGENHEIM CAPITAL LLC | 11/13/2025 | 950.00 K | $14.82 M | 0.00% | 2.80% |
| PATHSTONE HOLDINGS, LLC | 11/13/2025 | 897.53 K | $14.00 M | 16.43% | 2.65% |
| ADVISORS ASSET MANAGEMENT, INC. | 11/06/2025 | 894.99 K | $13.96 M | 12.01% | 2.64% |
| COHEN & STEERS, INC. | 11/14/2025 | 748.15 K | $11.67 M | 0.94% | 2.21% |
| BAIRD FINANCIAL GROUP, INC. | 11/13/2025 | 692.16 K | $10.80 M | -11.39% | 2.04% |
| BANK OF AMERICA CORP /DE/ | 02/03/2026 | 678.20 K | $10.58 M | -26.34% | 2.00% |
| RAYMOND JAMES FINANCIAL INC | 11/14/2025 | 676.30 K | $10.55 M | 4.05% | 2.00% |
| ROYAL BANK OF CANADA | 11/14/2025 | 531.69 K | $8.29 M | 3.17% | 1.57% |
| WELLS FARGO & COMPANY/MN | 11/13/2025 | 275.77 K | $4.30 M | 7.76% | 0.81% |
| CORRADO ADVISORS, LLC | 11/03/2025 | 172.34 K | $2.69 M | 3.08% | 0.51% |
| KOVITZ INVESTMENT GROUP PARTNERS, LLC | 11/10/2025 | 160.26 K | $2.50 M | -13.46% | 0.47% |
| STEWARD PARTNERS INVESTMENT ADVISORY, LLC | 11/12/2025 | 120.93 K | $1.89 M | 59.47% | 0.36% |
| KESTRA ADVISORY SERVICES, LLC | 11/14/2025 | 98.46 K | $1.54 M | 2.34% | 0.29% |
| OPPENHEIMER & CO INC | 11/06/2025 | 89.50 K | $1.40 M | -1.61% | 0.26% |
| INVESCO LTD. | 11/13/2025 | 74.10 K | $1.16 M | 22.70% | 0.22% |
| ADVISOR GROUP HOLDINGS, INC. | 11/14/2025 | 50.28 K | $793.11 K | -3.83% | 0.15% |
| STIFEL FINANCIAL CORP | 11/12/2025 | 49.47 K | $771.80 K | -24.56% | 0.15% |
| GOLDEN STATE EQUITY PARTNERS | 10/21/2025 | 45.33 K | $707.14 K | 14.11% | 0.13% |
| J.W. COLE ADVISORS, INC. | 11/05/2025 | 39.40 K | $614.63 K | 2.59% | 0.12% |
| CONCURRENT INVESTMENT ADVISORS, LLC | 10/27/2025 | 36.31 K | $566.39 K | 29.94% | 0.11% |
| AVIANCE CAPITAL PARTNERS, LLC | 10/29/2025 | 30.45 K | $475.05 K | 5.76% | 0.09% |
| PENSIONMARK FINANCIAL GROUP, LLC | 10/15/2025 | 30.16 K | $470.43 K | 100.00% | 0.09% |
| ENVESTNET ASSET MANAGEMENT INC | 11/05/2025 | 28.48 K | $444.33 K | -12.36% | 0.08% |
| JOURNEY STRATEGIC WEALTH LLC | 11/12/2025 | 27.54 K | $429.61 K | 0.00% | 0.08% |
| LPL FINANCIAL LLC | 11/12/2025 | 27.13 K | $423.23 K | 9.31% | 0.08% |
| DAVENPORT & CO LLC | 10/15/2025 | 24.33 K | $379.51 K | 1.34% | 0.07% |
| CETERA INVESTMENT ADVISERS | 11/14/2025 | 23.08 K | $359.97 K | 6.11% | 0.07% |
| ROCKEFELLER CAPITAL MANAGEMENT L.P. | 11/14/2025 | 22.14 K | $345.44 K | 2.30% | 0.07% |
| UBS GROUP AG | 11/13/2025 | 18.57 K | $289.66 K | -68.40% | 0.05% |
| KINGSVIEW WEALTH MANAGEMENT, LLC | 11/12/2025 | 17.33 K | $270.35 K | -9.05% | 0.05% |
| MGB WEALTH MANAGEMENT, LLC | 11/12/2025 | 15.91 K | $248.12 K | 45.66% | 0.05% |
| U.S. CAPITAL WEALTH ADVISORS, LLC | 10/09/2025 | 14.40 K | $224.67 K | -46.27% | 0.04% |
| CREATIVE PLANNING | 11/14/2025 | 13.90 K | $216.84 K | 100.00% | 0.04% |
| WEDBUSH SECURITIES INC | 11/06/2025 | 13.59 K | $212.00 K | -10.28% | 0.04% |
| COMMONWEALTH EQUITY SERVICES, LLC | 10/22/2025 | 11.71 K | $183.00 K | -2.98% | 0.03% |
| NORDWAND ADVISORS, LLC | 10/29/2025 | 11.50 K | $179.40 K | 0.00% | 0.03% |
| WALLEYE CAPITAL LLC | 11/14/2025 | 11.50 K | $179.35 K | -29.12% | 0.03% |
| WETHERBY ASSET MANAGEMENT INC | 11/14/2025 | 11.23 K | $175.22 K | -52.39% | 0.03% |
| BRINKER CAPITAL INVESTMENTS, LLC | 11/12/2025 | 10.93 K | $170.43 K | -4.59% | 0.03% |
| SOUTHSTATE CORP | 11/05/2025 | 8.43 K | $131.43 K | 0.00% | 0.02% |
| ANNIS GARDNER WHITING CAPITAL ADVISORS, LLC | 11/03/2025 | 7.50 K | $117.00 K | 0.00% | 0.02% |
| LARSON FINANCIAL GROUP LLC | 11/14/2025 | 3.00 K | $46.80 K | 0.00% | 0.01% |
| GENEOS WEALTH MANAGEMENT INC. | 10/22/2025 | 3.00 K | $46.80 K | 0.00% | 0.01% |
| NOBLE WEALTH MANAGEMENT PBC | 01/05/2026 | 2.70 K | $42.12 K | 100.00% | 0.01% |
| JPMORGAN CHASE & CO | 11/26/2025 | 2.20 K | $34.30 K | -57.70% | 0.01% |
| TSFG, LLC | 11/04/2025 | 1.73 K | $27.00 K | 0.00% | 0.01% |
| HARBOUR INVESTMENTS, INC. | 11/12/2025 | 1.50 K | $23.40 K | 0.00% | 0.00% |
| MORSE ASSET MANAGEMENT, INC | 11/14/2025 | 1.31 K | $20.43 K | 100.00% | 0.00% |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | 10/22/2025 | 200 | $3.12 K | 0.00% | 0.00% |
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Guggenheim Active Allocation Fund institutional Ownership - FAQ's
During the previous two years, 49 institutional investors and hedge funds held shares of Guggenheim Active Allocation Fund. The most heavily invested institutionals were:
Noble Wealth Management PBC: 2,700
CENTRAL TRUST Co: 1
Nordwand Advisors, LLC: 0
Morse Asset Management, Inc: 0
MORGAN STANLEY: 2.78 M
GUGGENHEIM CAPITAL LLC: 950,000
30.85% of Guggenheim Active Allocation Fund stock is owned by institutional investors.
Institutional investors have bought a total of 10.67 M shares in the last 24 months. This purchase volume represents approximately $172.58 M in transactions.