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GUG

Guggenheim Active Allocation Fund
GUG

36 hedge funds and large institutions have $116M invested in Guggenheim Active Allocation Fund in 2023 Q1 according to their latest regulatory filings, with 7 funds opening new positions, 16 increasing their positions, 8 reducing their positions, and 5 closing their positions.

New
Increased
Maintained
Reduced
Closed

100% more repeat investments, than reductions

Existing positions increased: 16 | Existing positions reduced: 8

40% more first-time investments, than exits

New positions opened: 7 | Existing positions closed: 5

6% more funds holding

Funds holding: 34 → 36 (+2)

0.99% more ownership

Funds ownership: 24.36% → 25.35% (+0.99%)

53% less capital invested

Capital invested by funds: $249M → $116M (-$132M)

Holders
36
Holders Change
+2
Holders Change %
+5.88%
% of All Funds
0.57%
Holding in Top 10
1
Holding in Top 10 Change
+1
Holding in Top 10 Change %
% of All Funds
0.02%
New
7
Increased
16
Reduced
8
Closed
5
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
Baird Financial Group
Baird Financial Group
Wisconsin
+$2.04M
2
NA
Nordwand Advisors
Pennsylvania
+$1.94M
3
Cohen & Steers
Cohen & Steers
New York
+$1.62M
4
Bank of America
Bank of America
North Carolina
+$1.13M
5
RCM
Rivernorth Capital Management
Florida
+$821K

Top Sellers

Rank Fund Capital Flow
1
Morgan Stanley
Morgan Stanley
New York
-$2.41M
2
PCM
Penserra Capital Management
California
-$2.07M
3
WAM
Weiss Asset Management
Massachusetts
-$609K
4
SCM
Saba Capital Management
New York
-$521K
5
LSC
Logan Stone Capital
Illinois
-$267K
Name Holding Trade Value Shares
Change 		Change in
Stake
Stifel Financial
26
Stifel Financial
Missouri
$257K +$76.9K +5,396 +42%
IA
27
IFG Advisory
Georgia
$211K – – –
Envestnet Asset Management
28
Envestnet Asset Management
Illinois
$191K +$193K +13,580 New
JSW
29
Journey Strategic Wealth
New Jersey
$189K +$2.63K +185 +1%
RJFSA
30
Raymond James Financial Services Advisors
Florida
$182K +$185K +12,992 New
UBS Group
31
UBS Group
Switzerland
$158K -$6.07K -426 -4%
KWM
32
Kingsview Wealth Management
Oregon
$148K +$150K +10,545 New
Osaic Holdings
33
Osaic Holdings
Arizona
$89.2K +$49.1K +3,450 +119%
GWM
34
Geneos Wealth Management
Colorado
$21.1K – – –
HI
35
Harbour Investments
Wisconsin
$21.1K – – –
Bessemer Group
36
Bessemer Group
New Jersey
$11K +$11.3K +794 New
WAM
37
Weiss Asset Management
Massachusetts
– -$609K -45,315 Closed
Millennium Management
38
Millennium Management
New York
– -$147K -10,904 Closed
LPL Financial
39
LPL Financial
California
– -$143K -10,600 Closed
Rockefeller Capital Management
40
Rockefeller Capital Management
New York
– -$100K -7,500 Closed
CSPIA
41
Cary Street Partners Investment Advisory
Virginia
– -$3.36K -250 Closed
1
2

GUG Hedge Fund Activity: Q1 2023 in Review

36 of the 6,276 institutional investors tracked by Wall St. Rank reported a position in Guggenheim Active Allocation Fund (GUG) for Q1 2023, worth a combined $116M — down 53% from $249M a quarter earlier.

Buyers outnumbered sellers: 7 funds opened new GUG positions and 5 closed out — a net gain of 2 holders — while 16 added to existing stakes and 8 trimmed.

The largest buyer was Baird Financial Group, opening a new position worth an estimated $2.04M. The largest seller was Morgan Stanley, cutting an estimated $2.41M.

  • 36 institutional investors held Guggenheim Active Allocation Fund (GUG) as of Q1 2023, up from 34 in Q4 2022.
  • Funds reported $116M of Guggenheim Active Allocation Fund stock for Q1 2023, down 53% quarter-over-quarter.
  • 7 funds opened new Guggenheim Active Allocation Fund positions in Q1 2023 and 5 closed out, a net change of +2 holders.
  • The largest Guggenheim Active Allocation Fund buyer in Q1 2023 was Baird Financial Group, an estimated $2.04M added.
  • The largest Guggenheim Active Allocation Fund seller in Q1 2023 was Morgan Stanley, an estimated $2.41M sold.

Based on aggregated 13F filings for Q1 2023.