Guggenheim Active Allocation Fund (GUG)
The Guggenheim Active Allocation Fund, a closed-end investment management firm, was established on May 20, 2021, and is based in Chicago, Illinois.
Industry: Asset Management
Guggenheim Active Allocation Fund
NYSE:GUGFinancial Services · Asset Management
+0.58%$13.83
AH Close$13.83+0.00%vs close
AH Close$13.83+0.00%vs close
Mkt Cap$456.11M
Float32.89M
O/S32.98M
Inst Own34.6%
SI0.1%
Div Yield10.30%
Dilution
Historical Data
| Date | Open | High | Low | Close | Volume |
|---|---|---|---|---|---|
Key Metrics
Market Cap$456.11M
Enterprise Value--
P/E Ratio--
Est. Net Cash/Share--
Institutional Ownership34.63%
based on 32.98M shares outstanding
SectorFinancial Services
IndustryAsset Management
ExchangeNYSE
Country
US
USIPO Date-
Shares Outstanding32.98M
Float32.89M
Company Overview
The Guggenheim Active Allocation Fund, a closed-end investment management firm, was established on May 20, 2021, and is based in Chicago, Illinois.
Leadership
Amy J. Lee
Vice President and Chief Legal Officer
Brian E. Binder
President and Chief Executive Officer
Elisabeth Miller
Chief Compliance Officer
Glenn McWhinnie
Assistant Treasurer
Employees
--
Country
US
Sector
Financial Services
Website
guggenheiminvestments.com
Analyst Coverage
No analyst coverage for this companyNo ratings, price targets, or covering firms on file.
Insider Trades
| Insider | Title | Type | Shares | Value | Date |
|---|---|---|---|---|---|
 Barnes Randall C | Director | Sale | 3.0K | $47.5K | Mar 6, 2026 |
 NYBERG RONALD | Director | Purchase | 321 | $5.0K | Dec 18, 2025 |
| NYBERG RONALD | Director | Purchase | 1.3K | $19.8K | May 5, 2025 |
 TOUPIN RONALD E JR | Director | Purchase | 1.5K | $22.6K | Apr 1, 2025 |
| Barnes Randall C | Director | Sale | 500 | $8.2K | Oct 3, 2024 |
 Brock-Kyle Angela | Director | Purchase | 2 | $31.864 | Sep 3, 2024 |
Shareholders
34.6%
Institutional
(46)
0.2%
Insiderⓘ
(4)
0.0%
5%+ Owners
(0)
65.1%
Unattributed (incl. retail)ⓘ
Institutional34.6%
Insider0.2%
Unattributed (incl. retail)65.1%
Top Shareholders
| Name | Shares | % | Source |
|---|---|---|---|
MORGAN STANLEY | 2.9M | 8.7% | 13F |
Morgan Stanley · also on 13F· may incl. warrants· filed Nov 2025 | 2.8M | 8.4% | 13G |
BANK OF AMERICA CORP /DE/ | 960.1K | 2.9% | 13F |
GUGGENHEIM CAPITAL LLC | 950.0K | 2.9% | 13F |
COHEN & STEERS, INC. | 863.1K | 2.6% | 13F |
Atlas Wealth LLC | 848.5K | 2.6% | 13F |
Advisors Asset Management, Inc. | 801.5K | 2.4% | 13F |
RAYMOND JAMES FINANCIAL INC | 781.0K | 2.4% | 13F |
Baird Financial Group, Inc. | 676.9K | 2.1% | 13F |
WELLS FARGO & COMPANY/MN | 665.6K | 2.0% | 13F |
Sources: 13F, Form 4, 13D/13GO/S: 33.0M · checked 26 Oct 2026 · market-data provider
Insiders & Institutional Holders
Insiders
- Barnes Randall CDirector
- NYBERG RONALDDirector
- TOUPIN RONALD E JRDirector
- Brock-Kyle AngelaDirector
Key Metrics
Market Cap$456.11M
Enterprise Value--
P/E Ratio--
Est. Net Cash/Share--
Institutional Ownership34.63%
based on 32.98M shares outstanding
SectorFinancial Services
IndustryAsset Management
ExchangeNYSE
CountryUS
USIPO Date-
Shares Outstanding32.98M
Float32.89M
52-Week Range
$13.55$16.46
$13.83(10th percentile)
Volume
Average Daily Volume130.46K
85.66K today vs 130.46K avg(-34%)
30d Avg
130.46K
60d Avg
121.13K
90d Avg
117.65K
Earnings
Dividend History
TTM Yield
10.30%
Paid monthly
Annual (LTM)
$1.43
Latest
$0.1187
Oct 15, 26
5Y Growth
--
Compliance Status
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