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GUG

Guggenheim Active Allocation Fund
GUG

41 hedge funds and large institutions have $114M invested in Guggenheim Active Allocation Fund in 2023 Q3 according to their latest regulatory filings, with 7 funds opening new positions, 20 increasing their positions, 8 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed

150% more repeat investments, than reductions

Existing positions increased: 20 | Existing positions reduced: 8

133% more first-time investments, than exits

New positions opened: 7 | Existing positions closed: 3

11% more funds holding

Funds holding: 37 → 41 (+4)

0.32% less ownership

Funds ownership: 26.03% → 25.71% (-0.32%)

7% less capital invested

Capital invested by funds: $122M → $114M (-$8.69M)

100% less funds holding in top 10

Funds holding in top 10: 1 → 0 (-1)

Holders
41
Holders Change
+4
Holders Change %
+10.81%
% of All Funds
0.65%
Holding in Top 10
–
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-100%
% of All Funds
–
New
7
Increased
20
Reduced
8
Closed
3
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

Rank Fund Capital Flow
1
GC
Guggenheim Capital
Illinois
+$4.42M
2
SCM
Saba Capital Management
New York
+$3.3M
3
MC
Meteora Capital
Florida
+$1.4M
4
Osaic Holdings
Osaic Holdings
Arizona
+$1.09M
5
BFM
Boothbay Fund Management
New York
+$1.08M

Top Sellers

Rank Fund Capital Flow
1
NA
Nordwand Advisors
Pennsylvania
-$8.12M
2
RCM
Rivernorth Capital Management
Florida
-$6.96M
3
LSC
Logan Stone Capital
Illinois
-$1.4M
4
RVPG
Relative Value Partners Group
-$493K
5
HighTower Advisors
HighTower Advisors
Illinois
-$270K
Name Holding Trade Value Shares
Change 		Change in
Stake
Stifel Financial
26
Stifel Financial
Missouri
$354K +$90K +6,421 +32%
DC
27
Davenport & Co
Virginia
$336K +$70 +5 +0%
ACP
28
Aviance Capital Partners
Florida
$336K +$348K +24,866 New
JWCA
29
J.W. Cole Advisors
Florida
$302K -$75.6K -5,398 -19%
PI
30
PineBridge Investments
New York
$295K +$306K +21,838 New
AWA
31
Arete Wealth Advisors
Illinois
$282K +$4.41K +315 +2%
API
32
Advisor Partners II
California
$250K +$259K +18,516 New
KWM
33
Kingsview Wealth Management
Oregon
$242K +$29.2K +2,081 +13%
RJFSA
34
Raymond James Financial Services Advisors
Florida
$239K +$45.5K +3,250 +22%
WS
35
Wedbush Securities
California
$162K +$168K +12,007 New
Comerica Bank
36
Comerica Bank
Texas
$151K +$157K +11,200 New
UBS Group
37
UBS Group
Switzerland
$104K -$28.3K -2,021 -21%
GWM
38
Geneos Wealth Management
Colorado
$20.3K – – –
HI
39
Harbour Investments
Wisconsin
$20.3K – – –
IA
40
IFP Advisors
Florida
$16.9K – – –
Bessemer Group
41
Bessemer Group
New Jersey
$10K -$4.72K -337 -32%
RCM
42
Rivernorth Capital Management
Florida
– -$6.96M -487,592 Closed
ACIM
43
Azimuth Capital Investment Management
Michigan
– -$215K -15,000 Closed
Northwestern Mutual Wealth Management
44
Northwestern Mutual Wealth Management
Wisconsin
– -$8.62K -600 Closed
1
2

GUG Hedge Fund Activity: Q3 2023 in Review

41 of the 6,302 institutional investors tracked by Wall St. Rank reported a position in Guggenheim Active Allocation Fund (GUG) for Q3 2023, worth a combined $114M — down 7.1% from $122M a quarter earlier.

Buyers outnumbered sellers: 7 funds opened new GUG positions and 3 closed out — a net gain of 4 holders — while 20 added to existing stakes and 8 trimmed.

The largest buyer was Guggenheim Capital, adding an estimated $4.42M. The largest seller was Nordwand Advisors, cutting an estimated $8.12M.

  • 41 institutional investors held Guggenheim Active Allocation Fund (GUG) as of Q3 2023, up from 37 in Q2 2023.
  • Funds reported $114M of Guggenheim Active Allocation Fund stock for Q3 2023, down 7.1% quarter-over-quarter.
  • 7 funds opened new Guggenheim Active Allocation Fund positions in Q3 2023 and 3 closed out, a net change of +4 holders.
  • The largest Guggenheim Active Allocation Fund buyer in Q3 2023 was Guggenheim Capital, an estimated $4.42M added.
  • The largest Guggenheim Active Allocation Fund seller in Q3 2023 was Nordwand Advisors, an estimated $8.12M sold.

Based on aggregated 13F filings for Q3 2023.