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Guggenheim Active Allocation (GUG)

Q2 2026 vs Q3 2026

Comparing institutional holders between quarters

Quarters

Q3 2026Q2 2026Q1 2026Q4 2025Q3 2025
CompareDetailedHistoricalFundsOptionsShort Interest13D/13GPeersTargetingTrading SummaryProfile
Kestra Advisory Services, LLC
INCREASED
Shares112,018 from 100,518
Change+11,500 (+11%)
Value$1.6M (-$21.2K)
Filed 2026-11-02
Closed-End Fund Advisors, Inc.
DECREASED
Shares70,309 from 80,586
Change-10,277 (-13%)
Value$994.9K (-$292.9K)
Filed 2026-11-04
Ascentis Independent Advisors
NEW
Shares57,560
Change+57,560
Value$814.5K
Filed 2026-11-03
Concurrent Investment Advisors, LLC
INCREASED
Shares40,968 from 40,738
Change+230 (+1%)
Value$579.7K (-$71.3K)
Filed 2026-10-16
LPL Financial LLC
INCREASED
Shares40,336 from 34,227
Change+6,109 (+18%)
Value$570.7K (+$23.8K)
Filed 2026-11-06
Oppenheimer & Co Inc
DECREASED
Shares39,315 from 43,824
Change-4,509 (-10%)
Value$556.3K (-$144.0K)
Filed 2026-10-26
J.W. Cole Advisors, Inc.
DECREASED
Shares38,036 from 39,190
Change-1,154 (-3%)
Value$538.2K (-$88.0K)
Filed 2026-11-05
Aviance Capital Partners, LLC
DECREASED
Shares32,514 from 32,915
Change-401 (-1%)
Value$460.1K (-$65.9K)
Filed 2026-10-29
HighTower Advisors, LLC
DECREASED
Shares31,139 from 31,939
Change-800 (-2%)
Value$440.6K (-$69.8K)
Filed 2026-11-10
Cambridge Investment Research Advisors, Inc.
INCREASED
Shares25,177 from 15,110
Change+10,067 (+67%)
Value$356.0K (+$115.0K)
Filed 2026-11-02
Davenport & Co LLC
DECREASED
Shares18,357 from 19,234
Change-877 (-5%)
Value$259.8K (-$47.6K)
Filed 2026-10-14
High Net Worth Advisory Group LLC
INCREASED
Shares12,934 from 12,735
Change+199 (+2%)
Value$183.0K (-$20.5K)
Filed 2026-10-26
Wedbush Securities Inc
INCREASED
Shares12,392 from 12,365
Change+27 (+0%)
Value$175.0K (-$23.0K)
Filed 2026-10-22
Larson Financial Group LLC
UNCHANGED
Shares3,000 from 3,000
Change0 (0%)
Value$42.5K (-$5.5K)
Filed 2026-11-05
Geneos Wealth Management Inc.
UNCHANGED
Shares3,000 from 3,000
Change0 (0%)
Value$42.5K (-$5.5K)
Filed 2026-11-09
Noble Wealth Management PBC
DECREASED
Shares1,600 from 2,700
Change-1,100 (-41%)
Value$22.6K (-$20.5K)
Filed 2026-10-01
Harbour Investments, Inc.
UNCHANGED
Shares1,500 from 1,500
Change0 (0%)
Value$21.2K (-$2.7K)
Filed 2026-11-09
Blue Bell Private Wealth Management, LLC
NEW
Shares1,200
Change+1,200
Value$17.0K
Filed 2026-10-29
Farther Finance Advisors, LLC
UNCHANGED
Shares357 from 357
Change0 (0%)
Value$5.1K (-$653)
Filed 2026-10-08
Highline Wealth Partners LLC
UNCHANGED
Shares187 from 187
Change0 (0%)
Value$2.6K (-$342)
Filed 2026-10-19
Institute for Wealth Management, Llc.
CLOSED
Shares0 from 995
Change-995 (-100%)
Value$0 (-$15.9K)
Filed 2026-11-06
Morgan Stanley
N/A
Shares— from 2,865,899
Change-2,865,899 (-100%)
Value—
Bank of America Corp
N/A
Shares— from 960,147
Change-960,147 (-100%)
Value—
Guggenheim Capital LLC
N/A
Shares— from 950,000
Change-950,000 (-100%)
Value—
Cohen & Steers, Inc.
N/A
Shares— from 863,149
Change-863,149 (-100%)
Value—
Atlas Wealth LLC
N/A
Shares— from 848,495
Change-848,495 (-100%)
Value—
Advisors Asset Management, Inc.
N/A
Shares— from 801,539
Change-801,539 (-100%)
Value—
Raymond James Financial Inc
N/A
Shares— from 781,046
Change-781,046 (-100%)
Value—
Baird Financial Group, Inc.
N/A
Shares— from 676,913
Change-676,913 (-100%)
Value—
Wells Fargo & Company
N/A
Shares— from 665,643
Change-665,643 (-100%)
Value—
Royal Bank of Canada
N/A
Shares— from 498,064
Change-498,064 (-100%)
Value—
Pathstone Holdings, LLC
N/A
Shares— from 371,088
Change-371,088 (-100%)
Value—
Steward Partners Investment Advisory, LLC
N/A
Shares— from 174,918
Change-174,918 (-100%)
Value—
Sanctuary Advisors, LLC
N/A
Shares— from 109,996
Change-109,996 (-100%)
Value—
Invesco Ltd.
N/A
Shares— from 84,145
Change-84,145 (-100%)
Value—
Stifel Financial Corp
N/A
Shares— from 49,054
Change-49,054 (-100%)
Value—
Osaic Holdings, Inc.
N/A
Shares— from 38,286
Change-38,286 (-100%)
Value—
World Investment Advisors
N/A
Shares— from 32,529
Change-32,529 (-100%)
Value—
Citadel Advisors LLC
N/A
Shares— from 32,181
Change-32,181 (-100%)
Value—
Rockefeller Capital Management L.P.
N/A
Shares— from 30,780
Change-30,780 (-100%)
Value—
Beacon Pointe Advisors, LLC
N/A
Shares— from 29,342
Change-29,342 (-100%)
Value—
Jane Street Group, LLC
N/A
Shares— from 21,882
Change-21,882 (-100%)
Value—
UBS Group AG
N/A
Shares— from 18,100
Change-18,100 (-100%)
Value—
Cetera Investment Advisers
N/A
Shares— from 18,013
Change-18,013 (-100%)
Value—
Orion Porfolio Solutions, LLC
N/A
Shares— from 16,059
Change-16,059 (-100%)
Value—
Envestnet Asset Management Inc
N/A
Shares— from 10,778
Change-10,778 (-100%)
Value—
Northwestern Mutual Wealth Management Co
N/A
Shares— from 2,101
Change-2,101 (-100%)
Value—
Berthel, Fisher & Company Financial Services, Inc.
N/A
Shares— from 663
Change-663 (-100%)
Value—
BFC Planning, Inc.
N/A
Shares— from 663
Change-663 (-100%)
Value—
JPMorgan Chase & Co
N/A
Shares— from 550
Change-550 (-100%)
Value—
Status
Kestra Advisory Services, LLC
INCREASED112,018100,518+11,500+11%$1.6M$1.6M-$21.2K2026-11-02
Closed-End Fund Advisors, Inc.
DECREASED70,30980,586-10,277-13%$1.3M$994.9K-$292.9K2026-11-04
Ascentis Independent Advisors
NEW57,560—+57,560——$814.5K—2026-11-03
Concurrent Investment Advisors, LLC
INCREASED40,96840,738+230+1%$651.0K$579.7K-$71.3K2026-10-16
LPL Financial LLC
INCREASED40,33634,227+6,109+18%$546.9K$570.7K+$23.8K2026-11-06
Oppenheimer & Co Inc
DECREASED39,31543,824-4,509-10%$700.3K$556.3K-$144.0K2026-10-26
J.W. Cole Advisors, Inc.
DECREASED38,03639,190-1,154-3%$626.3K$538.2K-$88.0K2026-11-05
Aviance Capital Partners, LLC
DECREASED32,51432,915-401-1%$526.0K$460.1K-$65.9K2026-10-29
HighTower Advisors, LLC
DECREASED31,13931,939-800-2%$510.4K$440.6K-$69.8K2026-11-10
Cambridge Investment Research Advisors, Inc.
INCREASED25,17715,110+10,067+67%$241.0K$356.0K+$115.0K2026-11-02
Davenport & Co LLC
DECREASED18,35719,234-877-5%$307.4K$259.8K-$47.6K2026-10-14
High Net Worth Advisory Group LLC
INCREASED12,93412,735+199+2%$203.5K$183.0K-$20.5K2026-10-26
Wedbush Securities Inc
INCREASED12,39212,365+27+0%$198.0K$175.0K-$23.0K2026-10-22
Larson Financial Group LLC
UNCHANGED3,0003,00000%$47.9K$42.5K-$5.5K2026-11-05
Geneos Wealth Management Inc.
UNCHANGED3,0003,00000%$47.9K$42.5K-$5.5K2026-11-09
Noble Wealth Management PBC
DECREASED1,6002,700-1,100-41%$43.1K$22.6K-$20.5K2026-10-01
Harbour Investments, Inc.
UNCHANGED1,5001,50000%$24.0K$21.2K-$2.7K2026-11-09
Blue Bell Private Wealth Management, LLC
NEW1,200—+1,200——$17.0K—2026-10-29
Farther Finance Advisors, LLC
UNCHANGED35735700%$5.7K$5.1K-$6532026-10-08
Highline Wealth Partners LLC
UNCHANGED18718700%$3.0K$2.6K-$3422026-10-19
Institute for Wealth Management, Llc.
CLOSED0995-995-100%$15.9K$0-$15.9K2026-11-06
Morgan Stanley
N/A—2,865,899-2,865,899-100%$45.8M———
Bank of America Corp
N/A—960,147-960,147-100%$15.3M———
Guggenheim Capital LLC
N/A—950,000-950,000-100%$15.2M———
Cohen & Steers, Inc.
N/A—863,149-863,149-100%$13.8M———
Atlas Wealth LLC
N/A—848,495-848,495-100%$13.6M———
Advisors Asset Management, Inc.
N/A—801,539-801,539-100%$12.8M———
Raymond James Financial Inc
N/A—781,046-781,046-100%$12.5M———
Baird Financial Group, Inc.
N/A—676,913-676,913-100%$10.8M———
Wells Fargo & Company
N/A—665,643-665,643-100%$10.6M———
Royal Bank of Canada
N/A—498,064-498,064-100%$8.0M———
Pathstone Holdings, LLC
N/A—371,088-371,088-100%$5.9M———
Steward Partners Investment Advisory, LLC
N/A—174,918-174,918-100%$2.8M———
Sanctuary Advisors, LLC
N/A—109,996-109,996-100%$1.8M———
Invesco Ltd.
N/A—84,145-84,145-100%$1.3M———
Stifel Financial Corp
N/A—49,054-49,054-100%$783.9K———
Osaic Holdings, Inc.
N/A—38,286-38,286-100%$611.8K———
World Investment Advisors
N/A—32,529-32,529-100%$495.1K———
Citadel Advisors LLC
N/A—32,181-32,181-100%$514.3K———
Rockefeller Capital Management L.P.
N/A—30,780-30,780-100%$491.9K———
Beacon Pointe Advisors, LLC
N/A—29,342-29,342-100%$468.9K———
Jane Street Group, LLC
N/A—21,882-21,882-100%$349.7K———
UBS Group AG
N/A—18,100-18,100-100%$289.2K———
Cetera Investment Advisers
N/A—18,013-18,013-100%$287.8K———
Orion Porfolio Solutions, LLC
N/A—16,059-16,059-100%$256.6K———
Envestnet Asset Management Inc
N/A—10,778-10,778-100%$172.2K———
Northwestern Mutual Wealth Management Co
N/A—2,101-2,101-100%$33.6K———
Berthel, Fisher & Company Financial Services, Inc.
N/A—663-663-100%$10.6K———
BFC Planning, Inc.
N/A—663-663-100%$10.6K———
JPMorgan Chase & Co
N/A—550-550-100%$8.8K———
Showing 50 of 50 institutions