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GUGGENHEIM INVESTMENTS
Legal name: GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC
CRD 129288File 801-62515
APPROVED
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$4.12B
Top 25% of cohort (national)
Discretionary AUM
$4.12B
Clients
3
3 accounts
Employees
5
Top 25% of cohort in IL
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Nov 17, 2003
- Principal office
- 227 WEST MONROE STREET, 7TH FLOOR, CHICAGO, IL, 60606
- Phone
- 312-357-1007
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $4.12B
- Discretionary AUM
- $4.12B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 3
- Non-discretionary accounts
- 0
- Total accounts
- 3
- AUM per client
- $1.37B
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 3 | $4.12B |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Selection of other advisers
- Portfolio management for investment companies
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 | AUM | $3,723,432,251 | $4,118,720,575 | increased by$395,288,324 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 8 | 5 | decreased by3 |
| May 1, 2025 vs Oct 1, 2022 | Disclosures | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 4 | 3 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $3,675,514,797 | $3,723,432,251 | increased by$47,917,454 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 4 | 3 | decreased by1 |
| Apr 1, 2022 | Employees | 7 | 8 | increased by1 |
| Apr 1, 2022 | Clients | 6 | 4 | decreased by2 |
| Apr 1, 2022 | AUM | $2,807,568,325 | $3,675,514,797 | increased by$867,946,472 |
| Apr 1, 2022 | Accounts | 6 | 4 | decreased by2 |
| 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.