GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
Adviser information for GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, 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 | 562 |
|---|---|
| Investment Advisory/Research | 182 |
| Registered Broker-Dealer Representatives | 56 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 5 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 213 | $208.4B |
| Non-Discretionary | 7 | $398.4M |
| Total | 220 | $208.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $451.3M |
| Banking or thrift institutions | 17 | $15.1B |
| Investment companies | 24 | $40.1B |
| Business development companies | 1 | $28.7M |
| Pooled investment vehicles | 81 | $8.9B |
| Pension and profit sharing plans | 6 | $2.2B |
| Charitable organizations | 5 | $423.5M |
| State or municipal gov entities | 8 | $2.9B |
| Other investment advisers | <5 | $234.6M |
| Insurance companies | 61 | $135.1B |
| Sovereign wealth funds and foreign official institutions | <5 | $1.1B |
| Corporations or other businesses | 11 | $2.2B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 37 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsCONSULTATION/ADVISEMENT ON TRANSACTIONS/STRUCTURING PORTFOLIOS/RISK ANALYTICS |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
100 WILSHIRE BLVDSUITE 500
SANTA MONICA
CA
United States
Monday - Friday, 5:00 AM - 4:00 PM PST
Tel: 310-576-1270, Fax: 310-576-1271
Websites
www.linkedin.com/company/guggenheim-investments
www.youtube.com/@guggenheiminvestments
www.guggenheiminvestments.com/
www.guggenheimpartners.com/
twitter.com/guggenheimptnrs
www.linkedin.com/company/guggenheim-partners
www.instagram.com/guggenheimpartners
www.guggenheimpartnersmiddleeast.com
www.guggenheimpartners.jp
www.linkedin.com/in/anne-walsh-4878111b7/
Chief Compliance Officer
ROBERT A. SAPERSTEIN
CHIEF COMPLIANCE OFFICER
330 MADISON AVENUE
10TH FLOOR
NEW YORK
NY
United States
Tel:
212-901-9402
R****************@*********************M
(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
J***************@*********************M
(Full email address available in API data)
Industry Affiliates
| BEACON CAPITAL MANAGEMENT, INC. | Other investment adviser, including financial planners |
| CANAL REINSURANCE COMPANY | Insurance company or agency |
| 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 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, LTD. | Other investment adviser, including financial planners |
| 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 PRIVATE DEBT FUND 2.0 MANAGING MEMBER, LLC | Sponsor, GP, manager of pooled investment vehicles |
| GUGGENHEIM PRIVATE DEBT FUND MANAGING MEMBER, LLC | Sponsor, GP, manager of pooled investment vehicles |
| 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 |
| MIDLAND NATIONAL LIFE INSURANCE COMPANY | Insurance company or agency |
| MNL REINSURANCE COMPANY | Insurance company or agency |
| NORTH AMERICAN COMPANY FOR LIFE AND HEALTH INSURANCE | Insurance company or agency |
| SFG BERMUDA LTD | Insurance company or agency |
| SOLBERG REINSURANCE COMPANY | Insurance company or agency |
| TRANSPARENT VALUE PRIVATE LIMITED | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| 1828 CLO LTD. | Securitized Asset Fund | $395.0M | $0.0M | 1 |
| 5180-2 CLO LP | Securitized Asset Fund | $0.2M | $0.0M | 1 |
| ADAMS STREET CBO 1998-1, LTD. | Securitized Asset Fund | $0.1M | $0.2M | 0 |
| AIRCRAFT LEASE SECURITISATION LIMITED | Securitized Asset Fund | $139.4M | $0.0M | 10 |
| ARTEMIS AIRCRAFT INVESTMENTS, LLC | Securitized Asset Fund | $89.2M | $0.0M | 15 |
| AUBURN CLO, LTD. | Securitized Asset Fund | $375.9M | $0.0M | 1 |
| BINGHAM CDO L.P. | Securitized Asset Fund | $0.5M | $0.1M | 0 |
| COPPER RIVER CLO LTD | Securitized Asset Fund | $3.9M | $0.5M | 11 |
| CSCN LLC | Securitized Asset Fund | $3.9M | $0.0M | 9 |
| GIMM CN, LLC | Securitized Asset Fund | $159.5M | $0.0M | 17 |
| GRX, LLC | Securitized Asset Fund | $1.9M | $0.0M | 5 |
| GUGGENHEIM BETA PLUS SOLUTION FUND SPC - SEGREGATED PORTFOLIO 1 | Hedge Fund | $52.1M | $150.0M | 1 |
| GUGGENHEIM BETA PLUS SOLUTION FUND SPC - SEGREGATED PORTFOLIO 2 | Hedge Fund | $57.6M | $150.0M | 1 |
| GUGGENHEIM BETA PLUS SOLUTION FUND SPC - SEGREGATED PORTFOLIO 3 | Hedge Fund | $53.4M | $150.0M | 1 |
| GUGGENHEIM BETA PLUS SOLUTION FUND SPC - SEGREGATED PORTFOLIO 4 | Hedge Fund | $64.6M | $150.0M | 1 |
| GUGGENHEIM CLO 2019-1, LTD. | Securitized Asset Fund | $402.4M | $0.0M | 1 |
| GUGGENHEIM CLO 2020-1 LTD | Securitized Asset Fund | $268.4M | $0.0M | 1 |
| GUGGENHEIM CLO 2022-1 STAT, LTD. | Securitized Asset Fund | $14.6M | $0.3M | 1 |
| GUGGENHEIM CLO 2022-2, LTD. | Securitized Asset Fund | $401.9M | $0.3M | 1 |
| GUGGENHEIM CORE PLUS MASTER FUND LTD | Hedge Fund | $0.0M | $5.0M | 0 |
| GUGGENHEIM ENERGY OPPORTUNITIES FUND L.P. | Private Equity Fund | $39.8M | $5.0M | 17 |
| GUGGENHEIM HIGH-YIELD FUND, LLC | Hedge Fund | $87.6M | $5.0M | 3 |
| GUGGENHEIM LOAN MASTER FUND, LTD. | Hedge Fund | $267.5M | $5.0M | 5 |
| GUGGENHEIM MM CLO 2018-1, LTD | Securitized Asset Fund | $389.1M | $0.0M | 2 |
| GUGGENHEIM PARTNERS OPPORTUNISTIC INVESTMENT GRADE SECURITIES MASTER FUND, LTD. | Hedge Fund | $1,069.5M | $25.0M | 20 |
| GUGGENHEIM PARTNERS OPPORTUNISTIC INVESTMENT GRADE SECURITIES OFFSHORE MASTER FUND, LTD. | Hedge Fund | $479.0M | $5.0M | 11 |
| GUGGENHEIM PRIVATE DEBT FUND NOTE ISSUER 2.0, LLC | Securitized Asset Fund | $445.3M | $5.0M | 20 |
| GUGGENHEIM PRIVATE DEBT FUND NOTE ISSUER LLC | Securitized Asset Fund | $27.7M | $0.8M | 16 |
| GUGGENHEIM PRIVATE DEBT MASTER FUND 2.0, LLC | Hedge Fund | $698.3M | $5.0M | 28 |
| GUGGENHEIM PRIVATE DEBT MASTER FUND, LLC | Hedge Fund | $2.6M | $5.0M | 4 |
| HEMPSTEAD II CLO, LTD | Securitized Asset Fund | $0.6M | $0.0M | 1 |
| I-SAIL, LLC | Securitized Asset Fund | $62.2M | $0.0M | 9 |
| KENNECOTT FUNDING LTD | Securitized Asset Fund | $0.9M | $0.5M | 3 |
| MAGMA CDO LTD | Securitized Asset Fund | $0.9M | $0.5M | 0 |
| MERCER FIELD II CLO LTD. | Securitized Asset Fund | $10.1M | $0.0M | 1 |
| MERLIN SERIES 2015-A LLC | Securitized Asset Fund | $114.0M | $0.0M | 2 |
| MERLIN SERIES 2015-B LLC | Securitized Asset Fund | $114.0M | $0.0M | 2 |
| MERLIN SERIES 2015-C LLC | Securitized Asset Fund | $114.0M | $0.0M | 2 |
| NZC GUGGENHEIM MASTER FUND LTD | Hedge Fund | $292.4M | $10.0M | 180 |
| NZCG FUNDING LTD | Securitized Asset Fund | $0.0M | $1.0M | 0 |
| OP-IG FUND ALTERNATIVE INVESTMENT COMPANY, LLC | Securitized Asset Fund | $241.4M | $1.5M | 9 |
| ORPHEUS FUNDING LLC | Hedge Fund | $5.0M | $0.0M | 2 |
| ORPHEUS HOLDINGS LLC | Hedge Fund | $15.5M | $5.0M | 15 |
| ORPHEUS HOLDINGS LTD | Hedge Fund | $2.5M | $5.0M | 8 |
| SALEM FIELDS CLO, LTD | Securitized Asset Fund | $0.3M | $0.0M | 1 |
| SANDS POINT FUNDING LTD. | Securitized Asset Fund | $0.6M | $0.5M | 3 |
| SEVEN STICKS CLO LTD | Securitized Asset Fund | $6.9M | $0.0M | 1 |
| SHEPARD AIRCRAFT INVESTMENT, LLC | Securitized Asset Fund | $67.6M | $0.0M | 14 |
| STELLAR FUNDING LTD. | Securitized Asset Fund | $0.4M | $0.2M | 0 |
| VOLTAGE FINANCE LLC | Securitized Asset Fund | $117.1M | $0.0M | 7 |
| WATTAGE FINANCE-NC, LLC | Private Equity Fund | $60.0M | $0.0M | 7 |
| WATTAGE FINANCE-OH, LLC | Private Equity Fund | $80.4M | $0.0M | 9 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC | Domestic Entity | – | MEMBER | 12/2009 | > 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% |
| SAMMONS ENTERPRISES, INC. | Domestic Entity | SAMMONS CORPORATION | SHAREHOLDER | 12/2023 | > 75% |
| GUGGENHEIM PARTNERS, LLC | Domestic Entity | GI HOLDCO II, LLC | MEMBER | 07/2013 | > 75% |
| 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% |
| GUGGENHEIM CAPITAL, LLC | Domestic Entity | GUGGENHEIM MANAGER, INC. | SHAREHOLDER | 11/2000 | > 75% |
| GMI GPIM, LLC | Domestic Entity | – | MANAGING MEMBER | 07/2013 | < 5% |
| GUGGENHEIM MANAGER, INC. | Domestic Entity | GMI GPIMH, LLC | MEMBER | 07/2013 | > 75% |
| GREATBANC TRUST COMPANY, TRUSTEE | Domestic Entity | SAMMONS ENTERPRISES, INC. ESOT | TRUSTEE | 12/2004 | |
| 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% |
| GMI GPIMH, LLC | Domestic Entity | GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC | MANAGING MEMBER | 07/2013 | |
| GUGGENHEIM MANAGER, INC | Domestic Entity | GMI GPIM, LLC | MEMBER | 07/2013 | > 75% |
| DILORENZO, DINA, MARIE | Individual | – | MANAGING PARTNER, PRESIDENT | 03/2021 | < 5% |
| BINDER, BRIAN, EDWARD | Individual | – | PRESIDENT, MUTUAL FUNDS BOARDS AND SR. MANAGING DIRECTOR | 01/2018 | < 5% |
| WALSH, ANNE, BOOKWALTER | Individual | – | MANAGING PARTNER, CHIEF INVESTMENT OFFICER, GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT | 03/2021 | < 5% |
| BROWN, STEVEN, HERSCHEDE | Individual | – | CHIEF INVESTMENT OFFICER FOR FIXED INCOME, GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT | 03/2022 | < 5% |
| SAPERSTEIN, ROBERT, ANDREW | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |
| SAMMONS CORPORATION | Domestic Entity | CONSOLIDATED INVESTMENT SERVICES, INC. | SHAREHOLDER | 12/2023 | > 75% |