Hedge Fund Database

GUGGENHEIM INVESTMENTS

SECURITY INVESTORS, LLC Legal Name

Adviser information for GUGGENHEIM INVESTMENTS 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 Kansas, United States

Employees

Total Number of Employees 40
Investment Advisory/Research 34
Registered Broker-Dealer Representatives 8
Registered State Investment Advisers 2
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 138 $11.3B
Non-Discretionary 0 $0
Total 138 $11.3B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 131 $11.2B
Business development companies 0 $0
Pooled investment vehicles 6 $22.0M
Pension and profit sharing plans 0 $0
Charitable organizations <5 $8.1M
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 1
No. of Non-U.S. Clients 4

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 clientsSelection of other advisers (including private fund managers)
Compensation % of AUM
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-8008
SEC ERA File Number 801-8008
SEC CIK Numbers 791185
SEC CRD Numbers 105477
Legal Entity Identifier 549300R47VF4XGNEC751

Principal Office

330 MADISON AVENUE
10TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:30 TO 4:30 EST
Tel: 212-739-0700, Fax: None

Websites

www.guggenheiminvestments.com

Chief Compliance Officer

MARGAUX MISANTONE
CHIEF COMPLIANCE OFFICER
702 KING FARM BLVD
SUITE 200
ROCKVILLE
MD
United States
Tel: 301-296-5229
(Full email address available in API data)

Regulatory Contact

ELISABETH MILLER
SENIOR MANAGING DIRECTOR
702 KING FARM BLVD
SUITE 200
ROCKVILLE
MD
United States
Tel: 301-296-5370
(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 planners
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) LIMITED Other investment adviser, including financial planners
GUGGENHEIM INVESTMENT ADVISORS, LLC Other investment adviser, including financial planners
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 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
LEE, AMY, JO Individual – GENERAL COUNSEL, SECRETARY, AND SR. MANAGING DIRECTOR 09/1996 < 5%
BYRUM, MICHAEL, PAUL Individual – SR. MANAGING DIRECTOR 06/2010 < 5%
RYDEX HOLDINGS, LLC Domestic Entity – MEMBER 01/2011 > 75%
DAMMAN, AMY, LEIGH Individual – ASSISTANT TREASURER 12/2012 < 5%
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 SAMMONS EQUITY ALLIANCE, INC. SHAREHOLDER 07/2011 > 75%
SAMMONS ENTERPRISES, INC. Domestic Entity CONSOLIDATED INVESTMENT SERVICES, INC. SHAREHOLDER 10/1986 > 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
SHARAFF, FARHAN, NMN Individual – CHIEF INVESTMENT OFFICER, EQUITIES 12/2012 < 5%
GUGGENHEIM CAPITAL, LLC Domestic Entity GUGGENHEIM MANAGER, INC. SHAREHOLDER 11/2000 > 75%
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC Domestic Entity RYDEX HOLDINGS, LLC MEMBER 07/2013 > 75%
GI HOLDCO LLC Domestic Entity GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC MEMBER 07/2013 > 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%
GMI GPIMH, LLC Domestic Entity GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC MANAGING MEMBER 07/2013
GUGGENHEIM MANAGER, INC. Domestic Entity GMI GPIMH, LLC MEMBER 07/2013 > 75%
BEIER, DUSTAN, ROY Individual – CHIEF FINANCIAL OFFICER & TREASURER 08/2015 < 5%
CATALUCCI, JOANNA, MARIE Individual – SR. MANAGING DIRECTOR 07/2013 < 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%
SAMMONS CORPORATION Domestic Entity CONSOLIDATED INVESTMENT SERVICES, INC. SHAREHOLDER 12/2023 > 75%

No. Employees, Historic

5025020202021202220232024202545 on 3/30/202045 on 3/30/202045 on 4/29/202045 on 8/19/202045 on 10/21/202043 on 3/31/202143 on 4/30/202143 on 10/18/202141 on 3/31/202241 on 11/3/202241 on 1/20/202339 on 3/31/202339 on 1/19/202440 on 3/29/2024

RAUM, Historic

20B10B02020202120222023202420259844396741 on 3/30/20209844396741 on 3/30/20209844396741 on 4/29/20209844396741 on 8/19/20209844396741 on 10/21/202011396546743 on 3/31/202111396546743 on 4/30/202111396546743 on 10/18/202113027446416 on 3/31/202213027446416 on 11/3/202213027446416 on 1/20/20238703585833 on 3/31/20238703585833 on 1/19/202411255391581 on 3/29/2024

No. Clients, Historic

2001000202020212022202320242025134 on 3/30/2020134 on 3/30/2020134 on 4/29/2020134 on 8/19/2020134 on 10/21/2020138 on 3/31/2021138 on 4/30/2021138 on 10/18/2021138 on 3/31/2022138 on 11/3/2022138 on 1/20/2023138 on 3/31/2023138 on 1/19/2024138 on 3/29/2024