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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 Aug 17, 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 |
|---|---|---|---|
| Aug 17, 2026 | Clients | 440 | 437 |
| 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.