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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 Aug 17, 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 |
|---|---|---|---|
| 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.