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GUGGENHEIM INVESTMENT ADVISORS, LLC
CRD 108263File 801-57781
APPROVED
Filing as of Mar 31, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$840.9M
Above cohort median (national)
Discretionary AUM
$570.7M
Non-discretionary $270.2M
Clients
25
58 accounts
Employees
9
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jul 18, 2000
- Principal office
- 330 MADISON AVENUE, 10TH FLOOR, NEW YORK, NY, 10017
- Phone
- 212-739-0700
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $840.9M
- Discretionary AUM
- $570.7M
- Non-discretionary AUM
- $270.2M
- Discretionary accounts
- 33
- Non-discretionary accounts
- 25
- Total accounts
- 58
- AUM per client
- $33.6M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 25 | $825.9M |
| Insurance companies | Fewer than 5 | $0 |
| High net worth individuals | Fewer than 5 | $15.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.