GUGGENHEIM INVESTMENT ADVISORS, LLC
Latest filing: Mar 28, 2024 (387 days ago)
AUM
$876,486,420
0% change vs. 1 year ago
100% change vs. 3 years ago
-55% change vs. 5 years ago
24% change vs. 10 years ago
Employee Count
11
0% change vs. 1 year ago
10% change vs. 3 years ago
-21% change vs. 5 years ago
-35% change vs. 10 years ago
Main Office
NEW YORK, NY
330 MADISON AVENUE, NEW YORK, NY, UNITED STATES, 10017
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.7 |
| Non-Discretionary | $0.2 |
| Total | $0.9 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $0.0 |
| Institutional | $0.9 |
| Total | $0.9 |
| 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 | $0.9 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.9 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 5% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 1% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 61% | $0.5 |
| Investment Companies | 5% | $0.0 |
| Other Pools | 8% | $0.1 |
| Cash | 1% | $0.0 |
| Other | 19% | $0.2 |
| Total | 100% | $0.9 |
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 DISTRIBUTORS, LLC | $5.9 | broker-dealer | 39805 |
| GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC | $3.3 | 129288 | |
| GS GAMMA ADVISORS, LLC | $0.2 | 135424 | |
| GUGGENHEIM SECURITIES, LLC | $0.0 | broker-dealer, municipal advisor | 40638 |
| GUGGENHEIM REAL ESTATE (CA), INC. | $0.0 | - | |
| GUGGENHEIM INVESTOR SERVICES, LLC | $0.0 | broker-dealer | 30096 |
| GUGGENHEIM INVESTMENT ADVISORS (EUROPE) LIMITED | $0.0 | - | |
| GUGGENHEIM PARTNERS EUROPE LIMITED | $0.0 | - | |
| GUGGENHEIM PARTNERS JAPAN, LTD. | $0.0 | broker-dealer | - |
| GUGGENHEIM ENERGY LLC | $0.0 | - | |
| GUGGENHEIM SECURITIES INTERNATIONAL, LTD. | $0.0 | broker-dealer | - |
| GIM GP, LTD. | $0.0 | - | |
| GUGGENHEIM PARTNERS ADVISORS, LLC | $0.0 | 283238 | |
| GUGGENHEIM PARTNERS MIDDLE EAST LIMITED | $0.0 | broker-dealer | - |
| GUGGENHEIM SECURITIES EUROPE LIMITED | $0.0 | broker-dealer | - |
| GUGGENHEIM SECURITIES RESEARCH SERVICES, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
Representatives
3 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| JAIRO CIPOLLA | NEW YORK | NY | S65|2010-04-22 | ||||||
| DINA DILORENZO | NEW YORK | NY | S63|1995-12-11|S65|1999-08-10 | ||||||
| SUZANNE STONE | NEW YORK | NY | S66|2013-11-11 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $0.9 | $0.0 | 0% | 11 | 0 | 0% |
| 2024-04-02 | $0.9 | $0.0 | 0% | 11 | 0 | 0% |
| 2023-04-04 | $0.4 | $0.5 | 124% | 10 | 1 | 10% |
| 2022-04-01 | $0.4 | $0.4 | 100% | 10 | 1 | 10% |
| 2021-04-05 | $2.3 | -$1.4 | -62% | 12 | -1 | -8% |
| 2020-04-01 | $1.9 | -$1.1 | -55% | 14 | -3 | -21% |
| 2019-04-01 | $9.0 | -$8.2 | -90% | 14 | -3 | -21% |
| 2018-04-02 | $9.0 | -$8.1 | -90% | 12 | -1 | -8% |
| 2017-04-01 | $8.9 | -$8.0 | -90% | 16 | -5 | -31% |
| 2016-04-01 | $0.7 | $0.1 | 18% | 22 | -11 | -50% |
| 2015-04-01 | $0.7 | $0.2 | 24% | 17 | -6 | -35% |
| 2014-04-01 | $0.5 | $0.3 | 62% | 28 | -17 | -61% |
| 2013-04-01 | $0.5 | $0.3 | 65% | 39 | -28 | -72% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, CT-03/28/2024, FL-03/28/2024, IL-04/09/2007, NY-03/31/2021 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV