Rockefeller Capital Management’s Guggenheim Active Allocation Fund GUG Stock Holding History

Rockefeller Capital Management’s Portfolio GUG Stock Details GUG Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2026 Q1	$466K	Buy	30,630 +626	+2%	+$9.81K	﹤0.01%	2013
2025 Q4	$460K	Buy	30,004 +7,861	+36%	+$122K	﹤0.01%	1952
2025 Q3	$345K	Buy	22,143 +498	+2%	+$7.77K	﹤0.01%	1947
2025 Q2	$339K	Buy	21,645 +498	+2%	+$7.48K	﹤0.01%	1637
2025 Q1	$319K	Sell	21,147 -2,219	-9%	-$34.2K	﹤0.01%	1587
2024 Q4	$347K	Sell	23,366 -9,193	-28%	-$144K	﹤0.01%	1571
2024 Q3	$539K	Buy	+32,559	New	+$512K	﹤0.01%	1408
2023 Q1	–	Sell	-7,500	Closed	-$100K	–	2786
2022 Q4	$100K	Hold	7,500	–	–	﹤0.01%	2024
2022 Q3	$96K	Buy	+7,500	New	+$110K	﹤0.01%	2015
2022 Q2	–	Sell	-4,000	Closed	-$68K	–	4221
2022 Q1	$68K	Buy	+4,000	New	+$73.1K	﹤0.01%	2157

Other funds holding GUG

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

Guggenheim Capital Chicago, Illinois $12.9B AUM 27.3% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

Pathstone Holdings Englewood, New Jersey $25.1B AUM 22.95% 1-Year Est. Return

Cohen & Steers New York $57.6B AUM 8.03% 1-Year Est. Return

AAM

Advisors Asset Management Monument, Colorado $6.01B AUM 24.74% 1-Year Est. Return

Baird Financial Group Milwaukee, Wisconsin $64B AUM 22.64% 1-Year Est. Return

Raymond James Financial St Petersburg, Florida $324B AUM 22.36% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

Rockefeller Capital Management's GUG Position: Q1 2026 in Review

Rockefeller Capital Management increased its Guggenheim Active Allocation Fund (GUG) stake by 2.1% in Q1 2026, buying an estimated $9.81K and bringing the position to 30,630 shares worth $466K. The position accounts for ﹤0.01% of the portfolio, ranked #2013.

Rockefeller Capital Management first reported a position in GUG in Q1 2022 and has held it in 10 quarters since. The position peaked at $539K in Q3 2024. 44 funds tracked by Wall St. Rank hold GUG as of Q1 2026.

Rockefeller Capital Management held 30,630 shares of Guggenheim Active Allocation Fund worth $466K as of Q1 2026.
Rockefeller Capital Management bought 626 Guggenheim Active Allocation Fund shares in Q1 2026, an estimated $9.81K.
Guggenheim Active Allocation Fund made up ﹤0.01% of Rockefeller Capital Management's portfolio in Q1 2026, its #2013 holding.
Rockefeller Capital Management first reported a position in Guggenheim Active Allocation Fund in Q1 2022 and has held it in 10 quarters since.
Rockefeller Capital Management's Guggenheim Active Allocation Fund position peaked at $539K in Q3 2024.
44 funds tracked by Wall St. Rank held Guggenheim Active Allocation Fund as of Q1 2026.

Based on Rockefeller Capital Management's 13F filing for Q1 2026, filed 14 May 2026.