Hedge Fund Database

GUGGENHEIM CORPORATE FUNDING, LLC

Adviser information for GUGGENHEIM CORPORATE FUNDING, LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 13
Investment Advisory/Research 12
Registered Broker-Dealer Representatives 2
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 8 $2.7B
Non-Discretionary 12 $5.3B
Total 20 $8.0B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 6 $3.1B
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies <5 $271.0M
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 10 $4.6B
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 10
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsCONSULTATION/ADVISEMENT ON TRANSACTIONS/STRUCTURING PORTFOLIOS
Compensation % of AUMPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-115064
SEC ERA File Number 801-115064
SEC CIK Numbers None
SEC CRD Numbers 300895
Legal Entity Identifier None

Principal Office

330 MADISON AVENUE
10TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:30 AM - 5:30 PM
Tel: 212-739-0700, Fax: None

Websites

www.guggenheiminvestments.com/ www.guggenheimpartners.com/

Chief Compliance Officer

ROBERT A. SAPERSTEIN
330 MADISON AVENUE
10TH FLOOR
NEW YORK
NY
United States
Tel: 212-901-9402
(Full email address available in API data)

Regulatory Contact

JOANNA CATALUCCI
REGULATORY CONTACT
330 MADISON AVENUE
10TH FLOOR
NEW YORK
NY
United States
Tel: 617-859-4670
(Full email address available in API data)

Industry Affiliates

GIM GP, LTD. Sponsor, GP, manager of pooled investment vehicles
GS GAMMA ADVISORS, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
GUGGENHEIM ENERGY, LLC Sponsor, GP, manager of pooled investment vehicles
GUGGENHEIM FUNDS DISTRIBUTORS, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
GUGGENHEIM INVESTMENT ADVISORS (EUROPE), LTD. Other investment adviser, including financial planners
GUGGENHEIM INVESTMENT ADVISORS, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
GUGGENHEIM INVESTMENTS Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
GUGGENHEIM INVESTMENTS Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
GUGGENHEIM INVESTMENTS PRIVATE DEBT FUND IV GP, LLC Sponsor, GP, manager of pooled investment vehicles
GUGGENHEIM INVESTOR SERVICES, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
GUGGENHEIM PARTNERS ADVISORS, LLC Other investment adviser, including financial planners
GUGGENHEIM PARTNERS EUROPE, LTD. Other investment adviser, including financial planners
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
GUGGENHEIM PARTNERS JAPAN, LTD. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
GUGGENHEIM PARTNERS MIDDLE EAST LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
GUGGENHEIM REAL ESTATE (CA), INC. Real estate broker or dealer
GUGGENHEIM SECURITIES EUROPE LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealer
GUGGENHEIM SECURITIES INTERNATIONAL LTD Broker-dealer, municipal securities dealer, or gov securities broker or dealer
GUGGENHEIM SECURITIES RESEARCH SERVICES, LLC Other investment adviser, including financial planners
GUGGENHEIM SECURITIES, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered municipal advisor
TRANSPARENT VALUE PRIVATE LIMITED Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
GUGGENHEIM INVESTMENTS PRIVATE DEBT FUND IV-A, L.P. Hedge Fund $0.0M $5.0M 0
GUGGENHEIM INVESTMENTS PRIVATE DEBT FUND IV-B, L.P. Hedge Fund $0.0M $5.0M 0
GUGGENHEIM MM CLO 2021-3, LTD. Securitized Asset Fund $420.4M $0.3M 2
GUGGENHEIM MM CLO 2021-4, LTD. Securitized Asset Fund $430.8M $0.0M 2
GUGGENHEIM MM CLO 2023-6, LLC Securitized Asset Fund $475.0M $0.3M 1
GUGGENHEIM MM CLO 2024-7, LLC Securitized Asset Fund $0.0M $0.3M 1
GUGGENHEIM MM-C CLO 2023-5, LLC Securitized Asset Fund $442.6M $0.3M 2

Control Persons

Name Type Entity Title Since Ownership
GMI GPIMH, LLC Domestic Entity GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC MANAGING MEMBER 07/2013
GI HOLDCO LLC Domestic Entity GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC MEMBER 07/2013 > 75%
GUGGENHEIM MANAGER, INC. Domestic Entity GMI GPIMH, LLC MEMBER 07/2013 > 75%
GUGGENHEIM CAPITAL, LLC Domestic Entity GUGGENHEIM MANAGER, INC. SHAREHOLDER 11/2000 > 75%
GI HOLDCO II LLC Domestic Entity GI HOLDCO LLC MEMBER 07/2013 > 75%
GUGGENHEIM PARTNERS, LLC Domestic Entity GI HOLDCO II LLC MEMBER 07/2013 > 75%
GUGGENHEIM CAPITAL, LLC Domestic Entity GUGGENHEIM PARTNERS, LLC MEMBER 10/2005 > 75%
SAGE ASSETS, INC. Domestic Entity GUGGENHEIM CAPITAL, LLC MEMBER 12/2008 25-50%
CONSOLIDATED INVESTMENT SERVICES, INC. Domestic Entity SAGE ASSETS, INC. SHAREHOLDER 12/2023 > 75%
SAMMONS ENTERPRISES, INC. Domestic Entity SAMMONS CORPORATION SHAREHOLDER 12/2023 > 75%
SAMMONS ENTERPRISES, INC. ESOT Domestic Entity SAMMONS ENTERPRISES, INC. SHAREHOLDER 01/2010 > 75%
GREATBANC TRUST COMPANY, TRUSTEE Domestic Entity SAMMONS ENTERPRISES, INC. ESOT TRUSTEE 12/2004
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC Domestic Entity GUGGENHEIM FUNDS SERVICES, LLC MEMBER 10/2016 > 75%
GUGGENHEIM FUNDS SERVICES, LLC Domestic Entity – MEMBER 04/2019 > 75%
GUNDERSEN, KEVIN HANS Individual – SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE 12/2019 < 5%
SAPERSTEIN, ROBERT ANDREW Individual – CHIEF COMPLIANCE OFFICER - IA 01/2023 < 5%
SAPERSTEIN, ROBERT ANDREW Individual – CHIEF COMPLIANCE OFFICER - BD 03/2023 < 5%
SAMMONS CORPORATION Domestic Entity CONSOLIDATED INVESTMENT SERVICES, INC. SHAREHOLDER 12/2023 > 75%

No. Employees, Historic

2010020192020202120222023202420252 on 8/23/20193 on 2/2/20203 on 3/30/20203 on 3/31/20213 on 9/30/20219 on 3/31/20229 on 11/3/20229 on 1/20/202313 on 3/31/202313 on 6/20/202313 on 3/29/2024

RAUM, Historic

9B5B02020202120222023202420252500000000 on 2/2/20202500000000 on 3/30/20202631512502 on 3/31/20212631512502 on 9/30/20216114936079 on 3/31/20226114936079 on 11/3/20226114936079 on 1/20/20238078530662 on 3/31/20238078530662 on 6/20/20238002128043 on 3/29/2024

No. Clients, Historic

2010020192020202120222023202420250 on 8/23/20190 on 2/2/20200 on 3/30/20200 on 3/31/20210 on 9/30/20218 on 3/31/20228 on 11/3/20228 on 1/20/202312 on 3/31/202312 on 6/20/202316 on 3/29/2024