GUGGENHEIM INVESTMENTS

Latest filing: Jan 30, 2025 (79 days ago)
View on IAPD
Adviser Website

AUM

$3,307,434,836
0% change vs. 1 year ago
-10% change vs. 3 years ago
27% change vs. 5 years ago
-78% change vs. 10 years ago

Employee Count

6
0% change vs. 1 year ago
-25% change vs. 3 years ago
-25% change vs. 5 years ago
-40% change vs. 10 years ago

Main Office

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

Client AUM

Discretion AUM
Discretionary $3.3
Non-Discretionary $0.0
Total $3.3
Client AUM
Retail $0.0
Pooled $3.3
Institutional $0.0
Total $3.3
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 DISTRIBUTORS, LLC $5.9 broker-dealer 39805
GUGGENHEIM INVESTMENT ADVISORS, LLC $0.9 108263
GS GAMMA ADVISORS, LLC $0.2 135424
GUGGENHEIM REAL ESTATE (CA), INC. $0.0 -
GUGGENHEIM INVESTOR SERVICES, LLC $0.0 broker-dealer 30096
GUGGENHEIM INVESTMENT ADVISORS (EUROPE) LTD $0.0 -
GUGGENHEIM ENERGY LLC $0.0 -
GUGGENHEIM PARTNERS JAPAN, LTD. $0.0 broker-dealer -
GUGGENHEIM SECURITIES INTERNATIONAL, LTD. $0.0 broker-dealer -
GUGGENHEIM PARTNERS EUROPE LIMITED $0.0 -
GUGGENHEIM PARTNERS ADVISORS, LLC $0.0 283238
GUGGENHEIM SECURITIES, LLC $0.0 broker-dealer, municipal advisor 40638
TRANSPARENT VALUE PRIVATE LIMITED $0.0 -
GUGGENHEIM PARTNERS MIDDLE EAST LIMITED $0.0 broker-dealer -
GUGGENHEIM SECURITIES RESEARCH SERVICES, LLC $0.0 -
GUGGENHEIM SECURITIES EUROPE LIMITED $0.0 broker-dealer -
GIM GP, LTD. $0.0 -

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

Control Persons

21 active

Name Title
LEE, AMY, JO GENERAL COUNSEL, SECRETARY, AND SR. MANAGING DIRECTOR
SHARAFF, FARHAN, NMN CHIEF INVESTMENT OFFICER, EQUITIES
BEIER, DUSTAN, ROY CHIEF FINANCIAL OFFICER AND TREASURER
MISANTONE, MARGAUX, MARIE CHIEF COMPLIANCE OFFICER
BINDER, BRIAN, EDWARD PRESIDENT, MUTUAL FUNDS BOARDS, AND SR. MANAGING DIRECTOR
CATALUCCI, JOANNA, MARIE SR. MANAGING DIRECTOR

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 $3.3 $0.0 0% 6 0 0%
2024-04-02 $3.3 $0.0 0% 6 0 0%
2023-04-04 $3.2 $0.1 5% 6 0 0%
2022-04-01 $3.7 -$0.4 -10% 8 -2 -25%
2021-04-05 $2.8 $0.5 18% 7 -1 -14%
2020-04-01 $2.6 $0.7 27% 8 -2 -25%
2019-04-01 $2.5 $0.8 30% 8 -2 -25%
2018-04-02 $16.4 -$13.1 -80% 18 -12 -67%
2017-04-01 $15.0 -$11.7 -78% 9 -3 -33%
2016-04-01 $13.9 -$10.6 -76% 11 -5 -45%
2015-04-01 $15.2 -$11.9 -78% 10 -4 -40%
2014-04-01 $14.0 -$10.7 -76% 5 1 20%
2013-04-01 $7.0 -$3.7 -52% 28 -22 -79%

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

Other

STATE REGISTRATIONS
IL, CA-11/17/2003, IL-11/24/2003, MD-03/31/2015, NY-11/17/2003
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT (RIC)
MANAGER SELECTION
OTHER ACTIVITIES
COMMODITY TRADING ADVISOR

ADVDB.CO • SOURCE: SEC FORM ADV