GUGGENHEIM INVESTMENTS
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC Legal Name
Adviser information for GUGGENHEIM INVESTMENTS last updated from Form ADV on March 28th, 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 | 6 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 3 |
| 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 | 3 | $3.3B |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $3.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $3.3B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
227 WEST MONROE STREET7TH FLOOR
CHICAGO
IL
United States
Monday - Friday, 8:00 AM - 5:00 PM CST
Tel: 312-827-0100, Fax: 312-827-0157
Websites
Chief Compliance Officer
MARGAUX MISANTONE
CHIEF COMPLIANCE OFFICER
702 KING FARM BOULEVARD, SUITE 200
ROCKVILLE
MD
United States
Tel:
(301) 296-5229
M****************@*********************M
(Full email address available in API data)
Regulatory Contact
ELISABETH MILLER
SENIOR MANAGING DIRECTOR
702 KING FARM BOULEVARD, SUITE 200
ROCKVILLE
MD
United States
Tel:
(301) 296-5370
E***************@*********************M
(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 CORPORATE FUNDING, 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 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 LIMITED | 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 |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SAMMONS ENTERPRISES, INC. | Domestic Entity | SAMMONS CORPORATION | SHAREHOLDER | 12/2023 | > 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. ESOT | Domestic Entity | SAMMONS ENTERPRISES, INC. | SHAREHOLDER | 01/2010 | > 75% |
| GREATBANC TRUST COMPANY, TRUSTEE | Domestic Entity | SAMMONS ENTERPRISES, INC. ESOT | TRUSTEE | 12/2004 | |
| GUGGENHEIM MANAGER, INC. | Domestic Entity | GMI GPIMH, LLC | MEMBER | 07/2013 | > 75% |
| GUGGENHEIM CAPITAL, LLC | Domestic Entity | GUGGENHEIM MANAGER, INC. | SHAREHOLDER | 11/2000 | > 75% |
| LEE, AMY, JO | Individual | – | GENERAL COUNSEL, SECRETARY, AND SR. MANAGING DIRECTOR | 04/2013 | < 5% |
| SHARAFF, FARHAN, NMN | Individual | – | CHIEF INVESTMENT OFFICER, EQUITIES | 05/2012 | < 5% |
| GUGGENHEIM FUNDS SERVICES, LLC | Domestic Entity | – | MEMBER | 04/2013 | > 75% |
| GI HOLDCO II LLC | Domestic Entity | GI HOLDCO LLC | MEMBER | 07/2013 | > 75% |
| GI HOLDCO LLC | Domestic Entity | GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC | MEMBER | 07/2013 | > 75% |
| GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC | Domestic Entity | GUGGENHEIM FUNDS SERVICES, LLC | MEMBER | 10/2016 | > 75% |
| GMI GPIMH, LLC | Domestic Entity | GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC | MANAGING MEMBER | 07/2013 | |
| BEIER, DUSTAN, ROY | Individual | – | CHIEF FINANCIAL OFFICER AND TREASURER | 08/2015 | < 5% |
| MISANTONE, MARGAUX, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2018 | < 5% |
| BINDER, BRIAN, EDWARD | Individual | – | PRESIDENT, MUTUAL FUNDS BOARDS, AND SR. MANAGING DIRECTOR | 01/2018 | < 5% |
| CATALUCCI, JOANNA, MARIE | Individual | – | SR. MANAGING DIRECTOR | 04/2021 | < 5% |
| SAMMONS CORPORATION | Domestic Entity | CONSOLIDATED INVESTMENT SERVICES, INC. | SHAREHOLDER | 12/2023 | > 75% |