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Upturn AI Summary - About
Guggenheim Active Allocation Fund(GUG)
Advisory History & Simulated Performance *
*as per simulation (see disclosures)- ALL
- 1Y
- 1M
- 1W
- BUY Advisory
- SELL Advisory (Profit)
- SELL Advisory (Loss)
- Profit
- Loss
- PASS (Skip)
Stock price based on last close Advisory Performance History (Simulated)
Upturn Advisory & Investor View for GUG
09/25/2026: GUG (1-star) is currently NOT-A-BUY. Pass it for now.
Guggenheim Active Allocation Fund (GUG) is a closed-end investment company that provides exposure to a dynamic, actively managed portfolio of fixed-income and equity securities. Its primary strength lies in the institutional credit research capabilities of the Guggenheim investment platform, which aids in navigating diverse market segments. The fund offers investors a pathway to regular monthly income, making it a potential fit for dividend-focused portfolios. However, risks include sensitivity to interest rate fluctuations, the impact of leverage on portfolio volatility, and the tendency of closed-end funds to trade at a discount to NAV. Investors should monitor distribution consistency and the manager's ability to execute sector rotations effectively.
How to Read the Upturn Advisory
The Upturn Star Rating and the current BUY, SELL, or PASS advisory are generated by Upturn’s AI advisory engine based on proprietary signal analysis, price behavior, advisory history, and historical signal performance.
Company fundamentals, valuation, risks, and news provide supporting context about the business.
Investor Fit
| Investor style | Fit | Why |
|---|---|---|
| Growth investor | Weak fit | The fund is primarily focused on income and total return rather than aggressive capital appreciation. |
| Momentum investor | Mixed fit | Momentum may be relevant during specific market rotations but is secondary to the fund's income mandate. |
| Value investor | Strong fit | Value investors may find opportunity when the fund trades at a significant discount to its NAV. |
| Dividend investor | Strong fit | The fund is specifically designed to provide regular income distributions to its shareholders. |
| Low-risk investor | Weak fit | The use of leverage and exposure to credit-sensitive assets introduces volatility not suitable for low-risk profiles. |
Risk Profile
| Risk factor | Level | Why it matters |
|---|---|---|
| Price volatility | Medium / high | The market price of the fund can fluctuate significantly from its net asset value. |
| Valuation risk | Medium | The risk of purchasing shares at a premium or failing to realize value at a discount affects total return. |
| Competition risk (Fixed-income closed-end funds) | Medium | Competition from alternative income products like ETFs may pressure the fund's premium/discount status. |
| Business quality | Medium | Performance relies heavily on the active management decisions of the Guggenheim investment team. |
| Dividend income | Medium | Distributions are not guaranteed and depend on the income generated by the underlying portfolio. |
| Execution risk | Medium | Failure of the active allocation strategy to correctly time market cycles could lead to underperformance. |
Price Behavior
Rolling Over
The price momentum is slowing down and beginning to turn downward.
Very Smooth
The stock has followed a highly orderly price path with minimal short-term disruption.
Analysis of Past Performance
Type Stock | Historic Profit 20.09% | Avg. Invested days 70 | Today’s Advisory PASS |
Upturn Advisory Rating  | Upturn Advisory Performance  3.0 | Stock Returns Performance  3.0 |
| Profits based on simulation | Last Close 09/25/2026 |
Upturn Scorecard
Upturn Star Rating 
Company Fundamentals
Financial Health Rating
Growth Momentum Score
Ownership
Unit Economics (Per $1K Revenue)
Economic Dimensions
Quantitative Style Profile
Style Classification
Quality Focused
Key Highlights
Company Size Small-Cap Stock | Market Capitalization 454.80M USD | Price to earnings Ratio 8.36 | 1Y Target Price - |
Price to earnings Ratio 8.36 | 1Y Target Price - | ||
Volume (30-day avg) 121.8K shares | Beta - | 52 Weeks Range 13.75 - 16.20 | Updated Date 09/25/2026 |
52 Weeks Range 13.75 - 16.20 | Updated Date 09/25/2026 | ||
Dividends yield (FY) - | Basic EPS (TTM) 1.65 |
How Company Makes Money
| Business area | What it includes | Retail investor read |
|---|---|---|
| Investment Management | Management of a diversified portfolio of debt and equity securities to generate interest and capital gains. | The fund earns money through the interest and dividends paid by its investments, which it then passes to you after deducting management fees. |
Valuation
Trailing PE 8.36 | Forward PE - | Enterprise Value - | Price to Sales(TTM) 8.34 |
Enterprise Value - | Price to Sales(TTM) 8.34 | ||
Enterprise Value to Revenue 11.53 | Enterprise Value to EBITDA - | Shares Outstanding 32.98M | Shares Floating - |
Shares Outstanding 32.98M | Shares Floating - | ||
Percent Insiders - | Percent Institutions 34.82 |
Upturn AI Summary
AI Summarization is directionally correct and might not be accurate.
Summarized information shown could be a few years old and not current.
Fundamental Rating based on AI could be based on old data.
AI-generated summaries may have inaccuracies (hallucinations). Please verify the information before taking action.
Financial Metrics
🧭 Investment Snapshot
Total Revenue (Scale)
Total money earned from selling products or services before any costs. It is needed to understand the scale of the business and its ability to generate income.
Net Income (Profit)
Final profit after all expenses, interest, and taxes are deducted. It is needed to determine the overall profitability available to shareholders.
Free Cash Flow (Cash Strength)
Cash remaining after operating activities and capital expenditures, showing cash available for growth. It is needed to evaluate the company’s ability to invest, pay dividends, or reduce debt.
📈 Growth & Strength
Operating Income (Core Profit)
Profit from core operations after deducting all operating expenses. It is needed to measure how efficiently the company runs its primary business activities.
EBITDA (Cash Earnings)
Earnings before interest, taxes, depreciation, and amortization, indicating operating cash potential. It is needed to compare operating performance across companies without accounting or financing differences.
Gross Profit (Unit Profitability)
Revenue minus cost of revenue, showing profit after direct production costs. It is needed to evaluate core business profitability before overhead expenses.
🛡️ Financial Safety
Cash (Liquidity Buffer)
Total cash and cash equivalents on hand. It is needed to evaluate immediate liquidity and financial flexibility.
Total Debt (Leverage Risk)
Total debt including both short-term and long-term components. It is needed to assess the company’s leverage and financial risk.
Net Working Capital (Short-Term Health)
Current assets minus current liabilities, indicating short-term liquidity strength. It is needed to assess whether the company can meet its short-term obligations.
🧱 Balance Sheet Strength
Stockholder Equity (Net Worth)
Total equity value held by shareholders. It is needed to understand the net worth of the company from the owners’ perspective.
Total Assets (Asset Base)
The full value of everything the company owns, including cash, inventory, equipment, and investments. It is needed to understand the resource base used to generate revenue.
Income Before Tax (Pre-Tax Earnings)
Income before provision for income taxes. It is needed to analyze profitability independent of tax structures.
⚙️ Cost & Drag Factors
Cost of Revenue (Production Cost)
Direct costs required to produce and deliver the products or services sold. It is needed to assess efficiency in production and service delivery.
Total Operating Expenses (Operating Cost)
Indirect costs of running the business such as salaries, marketing, and administration. It is needed to understand how much it costs to sustain ongoing business operations.
Income Tax Expense (Tax Drag)
Amount of taxes paid or payable to the government. It is needed to evaluate the impact of taxation on overall profitability.
About Guggenheim Active Allocation Fund
Exchange NYSE | Headquarters Chicago, IL, United States | ||
IPO Launch date 2021-11-24 | CEO - | ||
Sector Financial Services | Industry Asset Management | Full time employees - | Website |
Full time employees - | Website | ||
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