Stock Analysis
Data Source: SEC EDGAR 13F
Updated Hourly

Guggenheim Active Alloc Fd (GUG)

43 + Investors. Track Smart Money conviction in GUG. See who's accumulating, reducing, or initiating positions.

Current Price
-- USD
Analyst Target
-- (0 analysts)
Upside
0.00%
Net Flow Q/Q
↓ -10
Streak
1Q ▼
Buyers last Q
48%

Smart Money Signals — GUG

Based on 43 hedge funds · latest filing: 2026 Q1 · updated quarterly

📉

Selling streak — 1 quarter in a row

last 6Q
For 1 consecutive quarter, more hedge funds reduced or closed their GUG positions than added to them. Sustained institutional selling is a meaningful warning sign — these are professionals with deep research teams collectively deciding to exit.
📊

High ownership — 80% of 3.0Y peak

80% of all-time peak
43 funds currently hold this stock — 80% of the 3.0-year high of 54 funds (reached 2024 Q4). Ownership is elevated but not yet at maximum concentration. Room to grow, but watch if the trend reverses.
📉

Outflows — 17% fewer funds vs a year ago

fund count last 6Q
9 fewer hedge funds hold GUG compared to a year ago (-17% decline). When institutions consistently reduce their exposure, it's worth exploring the underlying fundamental reasons driving them away.
🟠

More sellers than buyers — 48% buying

24 buying26 selling
Last quarter: 26 funds reduced or exited vs 24 that bought or added. When more than half of active funds are selling, it's a caution flag — especially if the stock price hasn't moved down yet.
⚠️

Fewer new buyers each quarter (-6 vs last Q)

new funds entering per quarter
Funds opening this position for the first time: 6 → 4 → 10 → 4. Each quarter fewer new institutions are entering. This usually means most funds that wanted in are already in — the stock is well-known but the pool of potential new buyers is shrinking.
🔒

58% of holders stayed for 2+ years

■ 58% conviction (2yr+) ■ 21% medium ■ 21% new
25 out of 43 hedge funds have held GUG for over 2 years without selling. Long-term investors are generally harder to shake out during market stress, creating a stable ownership base that limits the risk of sudden capitulation.
➡️

Steady discovery — ~4 new funds/quarter

7 → 6 → 4 → 10 → 4 new funds/Q
New funds entering each quarter: 6 → 4 → 10 → 4. Consistent flow of new institutional buyers without clear acceleration or slowdown.
🏛️

Veteran-anchored — 56% veterans vs 26% newcomers

■ 56% veterans ■ 19% 1-2yr ■ 26% new
Entry-cohort mix of 43 holders: 24 (56%) are 2+ year veterans, 8 entered 1–2 years ago, and 11 (26%) joined within the past year. A veteran-weighted cap table skews toward institutional memory over fresh momentum.
🏆

Elite ownership — 49% AUM from top-100 funds

49% from top-100 AUM funds
9 of 43 holders are among the 100 largest funds by AUM, controlling 49% of total institutional value in GUG. When the biggest players dominate the cap table, it signifies deep institutional support — since mega-funds deploy the most rigorous due diligence and capital.
2.6
out of 10
Low Exit Risk
Exit risk score 2.6/10 — low institutional crowding. Ownership is below peak levels, holder base is relatively sticky, and buying momentum is positive.

Methodology note: these Smart Money cards use consecutive 13F disclosure snapshots, not trade-by-trade execution data. "Buying", "selling", "new holders", and "trimmed" refer to quarter-over-quarter changes in reported holders, aggregate shares, or disclosed position values between filings. They are useful for ownership regime analysis and crowding, but they do not imply exact trade timing on the filing date.

Institutional Sentiment Summary — GUG

In 2026 Q1, 24 hedge funds were net buyers of GUG (4 opened a new position, 20 added to an existing one), while 26 reduced or exited (12 trimmed, 14 sold completely) — a 48% buyer ratio, indicating roughly balanced activity. 49% of total institutional value in GUG is held by top-100 AUM funds, reflecting elite-tier ownership quality. Net fund flow last quarter: -10 funds (more exits than new entries). Total institutional holders: 43.

Hedge Fund Ownership: GUG

How many hedge funds hold GUG — quarterly history vs. share price
Quarterly hedge fund ownership of GUG vs. share price

Market Analysis: GUG

Analyst Price Targets

Avg. Price Target
--

Analyst Recommendations

Stock Performance

Real-time

Company Profile: GUG

-- --

Institutional ownership data sourced from SEC EDGAR Form 13F-HR filings.

Is It Too Late to Buy Guggenheim Active Alloc Fd (GUG) Based on Hedge Fund 13F Filings?

Signal Freshness measures how much GUG has moved relative to its sector benchmark (XLF) since the 2026 Q1 13F filing. A stock that has barely outrun its sector is still a relatively fresh entry point — the fund's thesis has not yet been priced in by the broader market.

Since Quarter End March 31, 2026 · 75d ago
GUG
+6.3%
XLF
+8.0%

GUG outperformed XLF by -1.7% since March 31, 2026.

Since 13F Filing Date May 15, 2026 · 30d ago
GUG
+3.4%
XLF
+4.4%

Since the filing became public, GUG outperformed XLF by -1.0% .

Interpretation: The stock is tracking its sector benchmark closely. The signal remains fresh and the entry point is still near the fund's implied reference. Learn more →

Smart Money Signal ?
Limited Smart Money Interest

No strong consensus or elite conviction detected among institutional holders.

2 top-rated funds 0 high-conviction
Consensus
2.1
/ 10
breadth
×
Elite
0.5
/ 10
conviction
Hedge Fund Positioning: GUG
43 + Investors

Track Smart Money conviction in GUG. See who's accumulating, reducing, or initiating positions.

Metric All 13F Filers (2026 Q1) Prior (2025 Q4) Change
Funds Holding 43 53 -18.87%
13F Shares 11M 11M -2.13%
Total Value $147M $165M -10.73%
New Positions 4 10 -6
Increased Positions 20 22 -2
Closed Positions 14 7 +7
Reduced Positions 12 13 -1
Total Calls 0 0 -
Total Puts 0 0 -
PUT/CALL Ratio 0.0 0.0 Bullish

Statistics: GUG

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Short % of Float --

Financial Highlights

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Institutional Holders (2026 Q1)

43 + investors

Explore institutional interest and hedge fund ownership dynamics. Analyze portfolio weights, new positions, and conviction trends in GUG. Verified SEC 13F-HR filings.

QUARTER:
Top 25 GUG holders by conviction (% of portfolio weight) — 2026 Q1 · Source: SEC Form 13F
# Investor % of Portfolio Shares Mkt Value
1 Closed-End Fund Advisors, Inc. 1.65% 106,688 $1.6M
2 Advisors Asset Management, Inc. 0.20% 804,347 $12.2M
3 Guggenheim Capital LLC 0.11% 950,000 $14.5M
4 Aviance Capital Partners, LLC 0.06% 31,667 $482K
5 Ascentis Independent Advisors 0.06% 48,577 $739K
6 Pathstone Holdings, LLC 0.05% 888,872 $13.5M
7 High Net Worth Advisory Group LLC 0.04% 12,555 $191K
8 Noble Wealth Management PBC 0.02% 2,700 $41K
9 Annis Gardner Whiting Capital Advisors, LLC 0.02% 7,500 $114K
10 Baird Financial Group, Inc. 0.02% 730,304 $11.1M
11 Oppenheimer & Co Inc 0.01% 66,963 $1.0M
12 Journey Strategic Wealth LLC 0.01% 31,939 $486K
13 Steward Partners Investment Advisory, LLC 0.01% 150,120 $2.3M
14 J.W. Cole Advisors, INC. 0.01% 17,270 $263K
15 World Investment Advisors 0.01% 32,529 $495K
16 Concurrent Investment Advisors, LLC 0.01% 38,421 $585K
17 Raymond James Financial Inc 0.00% 708,954 $10.8M
18 Independent Advisor Alliance 0.00% 18,590 $283K
19 Morgan Stanley 0.00% 2,838,748 $43.2M
20 Kingsview Wealth Management, LLC 0.00% 12,395 $189K
21 DAVENPORT & Co LLC 0.00% 19,498 $297K
22 Larson Financial Group LLC 0.00% 3,000 $46K
23 Royal Bank of Canada 0.00% 500,014 $7.6M
24 Focus Partners Wealth 0.00% 75,699 $1.2M
25 Geneos Wealth Management Inc. 0.00% 3,000 $46K
Investor Ownership
History 		% of Portfolio Prev % Rank Conviction Avg Buy Price 13F Score™ 3Y / 7Y Sell Timing Shares Mkt Value Change Change % Source Quarter Filed

Frequently Asked Questions — Guggenheim Active Alloc Fd (GUG)

What does the Smart Money Trend signal show for GUG?

Selling streak — 1 quarter in a row: For 1 consecutive quarter, more hedge funds reduced or closed their GUG positions than added to them. Sustained institutional selling is a meaningful warning sign — these are professionals with deep research teams collectively deciding to exit.

What is the institutional breadth score for GUG?

More sellers than buyers — 48% buying: Last quarter: 26 funds reduced or exited vs 24 that bought or added. When more than half of active funds are selling, it's a caution flag — especially if the stock price hasn't moved down yet.

What is the fund quality score for GUG holders?

Elite ownership — 49% AUM from top-100 funds: 9 of 43 holders are among the 100 largest funds by AUM, controlling 49% of total institutional value in GUG. When the biggest players dominate the cap table, it signifies deep institutional support — since mega-funds deploy the most rigorous due diligence and capital.

How long have hedge funds held GUG?

58% of holders stayed for 2+ years: 25 out of 43 hedge funds have held GUG for over 2 years without selling. Long-term investors are generally harder to shake out during market stress, creating a stable ownership base that limits the risk of sudden capitulation.

Is it too late to buy Guggenheim Active Alloc Fd (GUG) following the 2026 Q1 hedge fund 13F filings?

As of today, GUG has moved +3.4% since the 2026 Q1 13F filing date (May 15, 2026), compared to +4.4% for the XLF sector ETF — an outperformance of -1.0%. Since the quarter end (March 31, 2026), GUG has gained +6.3% vs +8.0% for XLF. The stock is tracking its sector benchmark closely. The signal remains fresh and the entry point is still near the fund's implied reference.

Where does this institutional ownership data come from?

All holdings data is sourced from SEC Form 13F filings, which institutional investment managers with over $100 million in assets are required to submit quarterly. Data is parsed directly from SEC EDGAR.

Disclaimer: The information on this page is for informational purposes only and does not constitute investment advice, a recommendation, or an offer to buy or sell any security. Institutional holdings data is sourced from SEC Form 13F filings and reflects positions as of the filing date. Past performance of any fund or portfolio is not indicative of future results. 13Foresight is not a registered investment adviser. Always conduct your own due diligence before making investment decisions.

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