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GUGGENHEIM INVESTMENT ADVISORS, LLC
CRD 108263File 801-57781
APPROVED
Filing as of Mar 31, 2026
Feed vintage Oct 1, 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 | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 10 | 9 | decreased by1 |
| Apr 1, 2026 | Clients | 23 | 25 | increased by2 |
| Apr 1, 2026 | AUM | $521,966,834 | $840,888,223 | increased by$318,921,389 |
| Apr 1, 2026 | Accounts | 54 | 58 | increased by4 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $439,317,379 | $521,966,834 | increased by$82,649,455 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 4 | 54 | increased by50 |
| Apr 1, 2022 | Employees | 12 | 10 | decreased by2 |
| Apr 1, 2022 | AUM | $2,292,641,541 | $439,317,379 | decreased by$1,853,324,162 |
| Apr 1, 2022 | Accounts | 3 | 4 | increased by1 |
| 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 INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“GUGGENHEIM INVESTMENT” 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.