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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
11/06/2026: GUG (1-star) is currently NOT-A-BUY. Pass it for now.
Guggenheim Active Allocation Fund is a closed-end fund designed to generate income and capital appreciation through an actively managed portfolio of global fixed income and debt instruments. The fund's primary strength lies in its management team's ability to tactically allocate capital across credit markets to seek yield. While it offers a potential opportunity for income-oriented investors, it carries risks associated with interest rate sensitivity and the inherent volatility of share pricing relative to net asset value. Potential investors should monitor credit spread trends and interest rate policy closely. The fund may best suit income-focused investors who understand the risks of closed-end fund structures and seek to diversify their fixed income holdings.
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 capital preservation rather than high-growth equity appreciation. |
| Momentum investor | Mixed fit | Momentum investors may find opportunities during specific credit cycle turnarounds, though this is not a core strategy. |
| Value investor | Strong fit | Value investors may be attracted to the fund when it trades at a significant discount to its net asset value. |
| Dividend investor | Strong fit | The fund is designed specifically to provide consistent income distributions to shareholders. |
| Low-risk investor | Weak fit | The fund involves credit and interest rate risk which can lead to share price volatility. |
Risk Profile
| Risk factor | Level | Why it matters |
|---|---|---|
| Price volatility | Medium / high | As a closed-end fund, the share price can fluctuate independently of the underlying NAV due to market sentiment. |
| Valuation risk | Medium | The fund may trade at a premium or discount to its NAV, creating valuation divergence. |
| Competition risk (Fixed Income CEFs) | Medium | Significant competition from large incumbents impacts investor flows and fund liquidity. |
| Business quality | Medium | Performance relies heavily on the active management expertise and credit selection of the Guggenheim team. |
| Dividend income | Medium | Distributions are not guaranteed and depend on the income generated by the underlying portfolio. |
| Execution risk | Medium | The complexity of the fund's tactical mandate creates operational and investment execution risks. |
Analysis of Past Performance
Type Stock | Historic Profit 21.15% | 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 11/06/2026 |
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 462.71M USD | Price to earnings Ratio 8.5 | 1Y Target Price - |
Price to earnings Ratio 8.5 | 1Y Target Price - | ||
Volume (30-day avg) 119.2K shares | Beta - | 52 Weeks Range 13.52 - 16.06 | Updated Date 11/06/2026 |
52 Weeks Range 13.52 - 16.06 | Updated Date 11/06/2026 | ||
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 credit portfolio. | The fund earns money by generating interest and gains from the debt investments it holds, which are then passed to shareholders after expenses. |
Valuation
Trailing PE 8.5 | Forward PE - | Enterprise Value - | Price to Sales(TTM) 8.42 |
Enterprise Value - | Price to Sales(TTM) 8.42 | ||
Enterprise Value to Revenue 11.6 | Enterprise Value to EBITDA - | Shares Outstanding 32.98M | Shares Floating - |
Shares Outstanding 32.98M | Shares Floating - | ||
Percent Insiders - | Percent Institutions 35.09 |
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.
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