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GUG on NYSE

Guggenheim Active Allocation Fund

Guggenheim Active Allocation Fund is a fund registered in the United States, based in Chicago, active since 2021.2

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Last updated Oct 21, 2026.

Overview

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  • TickerGUG on NYSE2
  • HeadquartersChicago, United States2
  • Incorporated inDE3
  • Business address227 W. Monroe Street, Chicago, Il 606063
  • Legal formFUND2
  • Kind of organizationFund2
  • LEI549300WVFF2XZ68PVT942
  • StatusActive2
  • LEI statusIssued and current2
  • Registered addressC/O THE CORPORATION TRUST COMPANY, 19801 Wilmington, United States2
  • Registered withSecurities and Exchange Commission, 00018642082

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Corporate structure

Guggenheim Active Allocation Fund sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of Guggenheim Active Allocation Fund

  • Morgan Stanley Filed SCHEDULE 13G/A on Guggenheim Active Allocation Fund, latest Nov 7, 2025 (4 filings since Feb 9, 2023)
  • Guggenheim Active Allocation Fund Chicago, Illinois, United States

Built from parent and subsidiary links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

Leadership

Who has led Guggenheim Active Allocation Fund, and when. Pick a name to see everywhere that person has worked.

Chief executive

  1. Brian E. Binder2021

President

  1. Brian E. Binder2021
2025
Board members and other officers (14)

Timeline

  1. Dec 15, 20258-K Entered a material agreement; Ended a material agreement19
  2. Apr 29, 20228-K Other events20
  3. Nov 24, 2021New chief executive Brian E. Binder becomes CEO4
  4. May 20, 2021Founded Guggenheim Active Allocation Fund is founded2

Filings

149 filings to the SEC since October 2021: 2 major events, 89 insider forms, 4 large holders, 54 other. The latest 20:

  1. Aug 24, 2026N-PX EDGAR
  2. Aug 14, 2026N-CEN EDGAR
  3. Aug 7, 2026N-CSR GUG EDGAR
  4. Jul 22, 2026NPORT-P EDGAR
  5. Apr 29, 2026NPORT-P EDGAR
  6. Mar 9, 20264 EDGAR
  7. Feb 3, 2026N-CSRS GUG EDGAR
  8. Jan 28, 2026NPORT-P EDGAR
  9. Dec 19, 20254 EDGAR
  10. Dec 15, 20258-K GUG EDGAR
  11. Nov 7, 2025SCHEDULE 13G/A EDGAR
  12. Oct 28, 2025NPORT-P EDGAR
  13. Aug 26, 2025N-PX EDGAR
  14. Aug 13, 2025N-CEN EDGAR
  15. Aug 4, 2025N-CSR NCSR EDGAR
  16. Jul 29, 2025NPORT-P EDGAR
  17. May 8, 20254 EDGAR
  18. Apr 25, 2025NPORT-P EDGAR
  19. Apr 1, 20254 EDGAR
  20. Feb 5, 2025N-CSRS GUG EDGAR

The 149 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

63 open-market trades by officers, directors and large owners since October 2021: 61 buys and 2 sales. Grants, option exercises and gifts are left out.

DateWhoTradeSharesPriceValueFiling
Mar 6, 2026Barnes Randall CDirectorSale3,000$15.85$47.5KForm 4
Dec 18, 2025NYBERG RONALDDirectorBuy321$15.53$5.0KForm 4
May 5, 2025NYBERG RONALDDirectorBuy1,305$15.15$19.8KForm 4
Apr 1, 2025TOUPIN RONALD E JRDirectorBuy1,500$15.10$22.6KForm 4
Oct 3, 2024Barnes Randall CDirectorSale500$16.45$8.2KForm 4
Sep 3, 2024Brock-Kyle AngelaDirectorBuy909$15.94$14.5KForm 4
Apr 1, 2024TOUPIN RONALD E JRDirectorBuy194$14.65$2.8KForm 4
Jan 30, 2024Barnes Randall CDirectorBuy385$14.50$5.6KForm 4
Dec 29, 2023TOUPIN RONALD E JRDirectorBuy200$14.67$2.9KForm 4
Dec 13, 2023Barnes Randall CDirectorBuy5,880$13.92$81.8KForm 4
Dec 8, 2023Barnes Randall CDirectorBuy2,000$14.07$28.1KForm 4
Dec 7, 2023Barnes Randall CDirectorBuy7,725$14.12$109.1KForm 4
Dec 6, 2023Barnes Randall CDirectorBuy14,705$14.01$206.0KForm 4
Dec 5, 2023Barnes Randall CDirectorBuy6,000$13.92$83.5KForm 4
Nov 30, 2023TOUPIN RONALD E JRDirectorBuy200$13.73$2.7KForm 4
Nov 30, 2023Barnes Randall CDirectorBuy1,000$13.85$13.8KForm 4
Oct 31, 2023Barnes Randall CDirectorBuy1,000$12.99$13.0KForm 4
Oct 31, 2023TOUPIN RONALD E JRDirectorBuy220$13.04$2.9KForm 4
Oct 23, 2023Brock-Kyle AngelaDirectorBuy775$12.90$10.0KForm 4
Sep 29, 2023TOUPIN RONALD E JRDirectorBuy215$13.54$2.9KForm 4

All 63 trades can be filtered by person here when JavaScript is on.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 46. Change is in shares since the quarter before.

FundSharesValueShare of the fundChange
Morgan Stanley2,865,899$45.8M0.0%+27,151
Bank Of America Corp /de/960,147$15.3M0.0%+45,183
Guggenheim Capital LLC950,000$15.2M0.1%No change
Atlas Wealth LLC848,495$13.6M1.9%New
Advisors Asset Management, Inc.801,539$12.8M0.2%−2,808
Raymond James Financial Inc781,046$12.5M0.0%+72,092
Baird Financial Group, Inc.676,913$10.8M0.0%−53,391
Wells Fargo & Company/mn665,643$10.6M0.0%+369,050
Royal Bank Of Canada498,064$8.0M0.0%−1,950
Pathstone Holdings, LLC371,088$5.9M0.0%−517,784
Steward Partners Investment Advisory, LLC174,918$2.8M0.0%+24,798
Sanctuary Advisors, LLC109,996$1.8M0.0%New
Kestra Advisory Services, LLC100,518$1.6M0.0%New
Invesco Ltd.84,145$1.3M0.0%−813
Closed-End Fund Advisors, Inc.80,586$1.3M1.3%−26,102
Stifel Financial Corp49,054$783.9K0.0%+928
Oppenheimer & Co Inc43,824$700.3K0.0%−23,139
Concurrent Investment Advisors, LLC40,738$651.0K0.0%+2,317
J.w. Cole Advisors, Inc.39,190$626.3K0.0%+21,920
Osaic Holdings, Inc.38,286$611.8K0.0%−1,436
LPL Financial LLC34,227$546.9K0.0%−4,680
Aviance Capital Partners, LLC32,915$526.0K0.1%+1,248
Citadel Advisors LLC32,181$514.3K0.0%+2,000
HighTower Advisors, LLC31,939$510.4K0.0%New
World Investment Advisors32,529$495.1K0.0%No change

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How Guggenheim Active Allocation Fund is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

  • Name on EDGARGuggenheim Active Allocation Fund1
  • CIK0001864208
  • Incorporated inDelaware1
  • Fiscal year endsMay 311
  • Business address227 W. Monroe Street, Chicago, IL 606061
  • Phone800-345-79991
  • On EDGAR sinceJun 1, 20211
  • Filings167 in all: 4 (62), 3 (26), NPORT-P (19), 40-17G (6), DEF 14A (5), N-CEN (5), N-CSR (5), N-CSRS (5)1
    All 29 form types

    N-PX (5), CORRESP (3), N-2/A (3), 40-APP (2), 40-APP/A (2), 8-K (2), NPORT-P/A (2), SCHEDULE 13G/A (2), 4/A (1), 424B1 (1), 8-A12B (1), APP WD (1), CERT (1), EFFECT (1), N-2 (1), N-2MEF (1), N-8A (1), N-CSR/A (1), SC 13G (1), SC 13G/A (1), UPLOAD (1)

  • Latest filingsProxy statement (DEF 14A) Feb 26, 2026
    Latest 8-K (8-K) Dec 15, 2025

Sources

The numbers on this page point here. Each one links to the record it came from.

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    SEC EDGAROther events
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