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GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
CRD 137432File 801-66786
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jul 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$240.66B
Top 10% of cohort (national)
Discretionary AUM
$240.38B
Non-discretionary $277.5M
Clients
437
440 accounts
Employees
588
Top 10% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jun 14, 2006
- Principal office
- 330 MADISON AVENUE, 10TH FLOOR, NEW YORK, NY, 10017
- Phone
- 212-739-0700
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $240.66B
- Discretionary AUM
- $240.38B
- Non-discretionary AUM
- $277.5M
- Discretionary accounts
- 432
- Non-discretionary accounts
- 8
- Total accounts
- 440
- AUM per client
- $550.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 20 | $1.93B |
| Non-U.S. persons | Fewer than 5 | $1.46B |
| Insurance companies | 61 | $134.70B |
| Investment companies | 22 | $70.71B |
| Charitable organizations | 18 | $562.3M |
| Other investment advisers | Fewer than 5 | $333.2M |
| High net worth individuals | 5 | $454.9M |
| Pooled investment vehicles | 65 | $7.55B |
| Banking or thrift institutions | 17 | $17.97B |
| Business development companies | 1 | $156K |
| Pension and profit sharing plans | Fewer than 5 | $646.7M |
| State or municipal government entities | 11 | $4.01B |
| Individuals (other than high net worth individuals) | 210 | $102.9M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11
- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 440 | 437 | decreased by3 |
| Apr 1, 2026 | Employees | 575 | 588 | increased by13 |
| Apr 1, 2026 | Clients | 222 | 440 | increased by218 |
| Apr 1, 2026 | AUM | $228,739,114,272 | $240,659,199,573 | increased by$11,920,085,301 |
| Apr 1, 2026 | Accounts | 232 | 440 | increased by208 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 572 | 575 | increased by3 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 244 | 222 | decreased by22 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $251,040,322,545 | $228,739,114,272 | decreased by$22,301,208,273 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 251 | 232 | decreased by19 |
| Apr 1, 2022 | Clients | 235 | 244 | increased by9 |
| Apr 1, 2022 | AUM | $231,209,726,564 | $251,040,322,545 | increased by$19,830,595,981 |
| Apr 1, 2022 | Accounts | 248 | 251 | increased by3 |
| 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 PARTNERS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“GUGGENHEIM PARTNERS” 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.