GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Latest filing: Oct 01, 2024 (200 days ago)
View on IAPD
Adviser Website

AUM

$5,881,943,581
0% change vs. 1 year ago
-12% change vs. 3 years ago
2% change vs. 5 years ago
-12% change vs. 10 years ago

Employee Count

232
0% change vs. 1 year ago
-8% change vs. 3 years ago
-23% change vs. 5 years ago
-46% change vs. 10 years ago

Main Office

CHICAGO, IL
227 WEST MONROE STREET, CHICAGO, IL, UNITED STATES, 60606

Client AUM

Discretion AUM
Discretionary $5.9
Non-Discretionary $0.0
Total $5.9
Client AUM
Retail $0.0
Pooled $5.9
Institutional $0.0
Total $5.9
Retail Accounts AUM
Individual 0 $0.0
Average Individual AUM $0
HNW 0 $0.0
Average HNW AUM $0
Retail Total 0 $0.0
Average Retail AUM $0

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $0.0
Retail SMA AUM $0.0
Institutional SMA AUM $0.0
Asset Class % AUM
Equity Exch 0% $0.0
Equity Non-Exch 0% $0.0
Govt Agency 0% $0.0
Municipal 0% $0.0
Sovereign 0% $0.0
IG Credit 0% $0.0
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 0% $0.0
Other Pools 0% $0.0
Cash 0% $0.0
Other 0% $0.0
Total 0% $0.0

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC $208.8 137432
SECURITY INVESTORS, LLC $11.3 105477
GUGGENHEIM CORPORATE FUNDING, LLC $8.0 300895
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC $3.3 129288
GUGGENHEIM INVESTMENT ADVISORS, LLC $0.9 108263
GS GAMMA ADVISORS, LLC $0.2 135424
GUGGENHEIM SECURITIES EUROPE LIMITED $0.0 broker-dealer -
GUGGENHEIM PARTNERS EUROPE LIMITED $0.0 -
GUGGENHEIM ENERGY LLC $0.0 -
GIM GP, LTD. $0.0 -
GUGGENHEIM PARTNERS ADVISORS, LLC $0.0 283238
GUGGENHEIM PARTNERS JAPAN, LTD. $0.0 broker-dealer -
GUGGENHEIM SECURITIES INTERNATIONAL, LTD $0.0 broker-dealer -
GUGGENHEIM PARTNERS MIDDLE EAST LIMITED $0.0 broker-dealer -
GUGGENHEIM INVESTMENT ADVISORS (EUROPE) LIMITED $0.0 -
GUGGENHEIM SECURITIES, LLC $0.0 broker-dealer, municipal advisor 40638
GUGGENHEIM INVESTOR SERVICES, LLC $0.0 broker-dealer 30096
GUGGENHEIM SECURITIES RESEARCH SERVICES, LLC $0.0 -
GUGGENHEIM REAL ESTATE (CA), INC. $0.0 -

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

23 active

Name Title
COGLIANDRO, DOMINICK NMN CHIEF OPERATING OFFICER, UNIT INVESTMENT TRUST BUSINESS
JACQUES, JULIE ANN TREASURER, CHIEF FINANCIAL OFFICER
LEE, AMY JO GENERAL COUNSEL, SECRETARY, AND SENIOR MANAGING DIRECTOR
METZGER, DENNIS RYAN CHIEF COMPLIANCE OFFICER
MILLER, ELISABETH ANN SENIOR MANAGING DIRECTOR
PARISI, CHRISTOPHER VITO HEAD OF DISTRIBUTION, SENIOR MANAGING DIRECTOR
DILORENZO, DINA MARIE PRESIDENT OF THE BROKER DEALER, GUGGENHEIM FUNDS DISTRIBUTORS, LLC

ADVDB.CO • SOURCE: SEC

Representatives

No representatives found with matching CRD

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2025-03-06 $5.9 $0.0 0% 232 0 0%
2024-04-02 $5.9 $0.0 0% 232 0 0%
2023-04-04 $5.6 $0.3 5% 227 5 2%
2022-04-01 $6.7 -$0.8 -12% 252 -20 -8%
2021-04-05 $5.5 $0.4 7% 242 -10 -4%
2020-04-01 $5.8 $0.1 2% 300 -68 -23%
2019-04-01 $4.7 $1.2 25% 300 -68 -23%
2018-04-02 $5.8 $0.1 1% 324 -92 -28%
2017-04-01 $5.6 $0.3 5% 328 -96 -29%
2016-04-01 $5.6 $0.3 5% 447 -215 -48%
2015-04-01 $6.7 -$0.8 -12% 428 -196 -46%
2014-04-01 $5.5 $0.4 8% 404 -172 -43%
2013-04-01 $3.9 $1.9 49% 151 81 54%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
IL, IL-10/22/2002, NY-03/31/2015
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT (RIC)
OTHER ACTIVITIES
BROKER DEALER

ADVDB.CO • SOURCE: SEC FORM ADV