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GUGGENHEIM INVESTMENTS
Legal name: SECURITY INVESTORS, LLC
CRD 105477File 801-8008
APPROVED
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$7.97B
Top 10% of cohort (national)
Discretionary AUM
$7.97B
Clients
107
107 accounts
Employees
20
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Nov 20, 1971
- Principal office
- 330 MADISON AVENUE, 10TH FLOOR, NEW YORK, NY, 10017
- Phone
- 212-518-9010
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $7.97B
- Discretionary AUM
- $7.97B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 107
- Non-discretionary accounts
- 0
- Total accounts
- 107
- AUM per client
- $74.5M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 107 | $7.97B |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 113 | 107 | decreased by6 |
| Apr 1, 2026 | AUM | $7,395,263,411 | $7,974,551,429 | increased by$579,288,018 |
| Apr 1, 2026 | Accounts | 113 | 107 | decreased by6 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 41 | 20 | decreased by21 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 138 | 113 | decreased by25 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $13,027,446,416 | $7,395,263,411 | decreased by$5,632,183,005 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 138 | 113 | decreased by25 |
| Apr 1, 2022 | Employees | 43 | 41 | decreased by2 |
| Apr 1, 2022 | Disclosures | Yes | No | |
| Apr 1, 2022 | AUM | $11,396,546,743 | $13,027,446,416 | increased by$1,630,899,673 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “GUGGENHEIM INVESTMENTS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“GUGGENHEIM INVESTMENTS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.