GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
Latest filing: Dec 03, 2024 (135 days ago)
AUM
$208,753,633,756
0% change vs. 1 year ago
-17% change vs. 3 years ago
4% change vs. 5 years ago
47% change vs. 10 years ago
Employee Count
562
0% change vs. 1 year ago
-2% change vs. 3 years ago
-6% change vs. 5 years ago
5% change vs. 10 years ago
Main Office
SANTA MONICA, CA
100 WILSHIRE BLVD, SANTA MONICA, CA, UNITED STATES, 90401
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $208.4 |
| Non-Discretionary | $0.4 |
| Total | $208.8 |
| Client | AUM |
|---|---|
| Retail | $0.5 |
| Pooled | $49.0 |
| Institutional | $159.3 |
| Total | $208.8 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.5 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.5 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CITIBANK, NATIONAL ASSOCIATION | NEW YORK-NY-USA | $101.6 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $159.7 |
| Retail SMA AUM | $0.5 |
| Institutional SMA AUM | $159.3 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 2% | $3.2 |
| Govt Agency | 16% | $25.6 |
| Municipal | 7% | $11.2 |
| Sovereign | 1% | $1.6 |
| IG Credit | 37% | $59.1 |
| HY Credit | 4% | $6.4 |
| Derivatives | 1% | $1.6 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 13% | $20.8 |
| Cash | 1% | $1.6 |
| Other | 17% | $27.2 |
| Total | 99% | $158.1 |
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 |
|---|---|---|---|
| SECURITY INVESTORS, LLC | $11.3 | 105477 | |
| GUGGENHEIM CORPORATE FUNDING, LLC | $8.0 | 300895 | |
| GUGGENHEIM FUNDS DISTRIBUTORS, LLC | $5.9 | broker-dealer | 39805 |
| BEACON CAPITAL MANAGEMENT, INC. | $4.3 | 120641 | |
| GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC | $3.3 | 129288 | |
| GUGGENHEIM INVESTMENT ADVISORS, LLC | $0.9 | 108263 | |
| GS GAMMA ADVISORS, LLC | $0.2 | 135424 | |
| GUGGENHEIM PRIVATE DEBT FUND 2.0 MANAGING MEMBER, LLC | $0.0 | - | |
| GUGGENHEIM PARTNERS MIDDLE EAST LIMITED | $0.0 | broker-dealer | - |
| GUGGENHEIM SECURITIES, LLC | $0.0 | broker-dealer, municipal advisor | 40638 |
| GUGGENHEIM PARTNERS EUROPE, LTD. | $0.0 | - | |
| GUGGENHEIM PRIVATE DEBT FUND MANAGING MEMBER, LLC | $0.0 | - | |
| GUGGENHEIM INVESTMENT ADVISORS (EUROPE), LTD. | $0.0 | - | |
| GUGGENHEIM REAL ESTATE (CA), INC. | $0.0 | - | |
| GUGGENHEIM PARTNERS ADVISORS, LLC | $0.0 | 283238 | |
| GUGGENHEIM PARTNERS JAPAN, LTD. | $0.0 | broker-dealer | - |
| SOLBERG REINSURANCE COMPANY | $0.0 | - | |
| TRANSPARENT VALUE PRIVATE LIMITED | $0.0 | - | |
| GIM GP, LTD. | $0.0 | - | |
| MIDLAND NATIONAL LIFE INSURANCE COMPANY | $0.0 | - | |
| GUGGENHEIM ENERGY LLC | $0.0 | - | |
| NORTH AMERICAN COMPANY FOR LIFE AND HEALTH INSURANCE | $0.0 | - | |
| GUGGENHEIM INVESTOR SERVICES, LLC | $0.0 | broker-dealer | 30096 |
| GUGGENHEIM SECURITIES INTERNATIONAL LTD | $0.0 | broker-dealer | - |
| CANAL REINSURANCE COMPANY | $0.0 | - | |
| MNL REINSURANCE COMPANY | $0.0 | - | |
| GUGGENHEIM SECURITIES EUROPE LIMITED | $0.0 | broker-dealer | - |
| SFG BERMUDA LTD | $0.0 | - | |
| GUGGENHEIM SECURITIES RESEARCH SERVICES, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
21 active
| Name | Title |
|---|---|
| DILORENZO, DINA, MARIE | MANAGING PARTNER, PRESIDENT |
| BINDER, BRIAN, EDWARD | PRESIDENT, MUTUAL FUNDS BOARDS AND SR. MANAGING DIRECTOR |
| WALSH, ANNE, BOOKWALTER | MANAGING PARTNER, CHIEF INVESTMENT OFFICER, GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT |
| BROWN, STEVEN, HERSCHEDE | CHIEF INVESTMENT OFFICER FOR FIXED INCOME, GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT |
| SAPERSTEIN, ROBERT, ANDREW | CHIEF COMPLIANCE OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
5 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| JENNIFER NILLES | SANTA MONICA | CA | S63|2001-10-24|S65|2007-08-03 | ||||||
| LEIGH POGGIO | SANTA MONICA | CA | S63|1999-10-30|S66|2013-04-22 | ||||||
| ANNE WALSH | SANTA MONICA | CA | CHARTERED FINANCIAL ANALYST | ||||||
| BREANA HIROSE | SANTA MONICA | CA | S63|2015-08-06|S65|2020-12-14 | ||||||
| QI YAN | SANTA MONICA | CA | S65|2007-10-08 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $208.8 | $0.0 | 0% | 562 | 0 | 0% |
| 2024-04-02 | $208.8 | $0.0 | 0% | 562 | 0 | 0% |
| 2023-04-04 | $198.1 | $10.6 | 5% | 549 | 13 | 2% |
| 2022-04-01 | $251.0 | -$42.3 | -17% | 572 | -10 | -2% |
| 2021-04-05 | $231.2 | -$22.5 | -10% | 572 | -10 | -2% |
| 2020-04-01 | $200.3 | $8.5 | 4% | 597 | -35 | -6% |
| 2019-04-01 | $189.9 | $18.8 | 10% | 631 | -69 | -11% |
| 2018-04-02 | $195.0 | $13.7 | 7% | 626 | -64 | -10% |
| 2017-04-01 | $159.6 | $49.2 | 31% | 555 | 7 | 1% |
| 2016-04-01 | $150.8 | $57.9 | 38% | 523 | 39 | 7% |
| 2015-04-01 | $142.1 | $66.6 | 47% | 534 | 28 | 5% |
| 2014-04-01 | $124.3 | $84.4 | 68% | 425 | 137 | 32% |
| 2013-04-01 | $95.9 | $112.9 | 118% | 261 | 301 | 115% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CA, AK-03/31/2014, AL-03/31/2014, AR-03/31/2014, AZ-03/31/2014, CA-03/30/2012, CO-03/31/2014, CT-03/31/2014, DC-03/31/2014, DE-03/31/2014, FL-03/31/2014, GA-03/31/2014, HI-03/31/2014, IA-03/31/2014, ID-03/31/2014, IL-07/18/2014, IN-03/31/2014, KS-03/31/2014, KY-03/31/2014, LA-03/31/2014, MA-03/31/2014, MD-03/31/2014, ME-03/31/2014, MI-03/31/2014, MN-03/31/2014, MO-06/03/2013, MS-03/31/2014, MT-03/31/2014, NC-03/31/2014, ND-03/31/2014, NE-03/31/2014, NH-03/31/2014, NJ-04/23/2014, NM-06/03/2013, NV-03/31/2014, NY-03/31/2014, OH-03/31/2014, OK-03/31/2014, OR-03/31/2014, PA-03/31/2014, PR-03/31/2014, RI-03/31/2014, SC-03/31/2014, SD-03/31/2014, TN-03/31/2014, TX-06/03/2013, UT-03/31/2014, VA-03/31/2014, VI-03/31/2014, VT-03/31/2014, WA-03/31/2014, WI-03/31/2014, WV-03/31/2014, WY-03/30/2018 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV