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GUGGENHEIM PRIVATE INVESTMENTS, LLC
CRD 331479File 801-131052
APPROVED
Retail clients
Custody
Filing as of Jul 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$349.5M
Below cohort median (national)
Discretionary AUM
$333.0M
Non-discretionary $16.5M
Clients
7
7 accounts
Employees
5
Below cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Sep 11, 2024
- Principal office
- 330 MADISON AVENUE, 10TH FLOOR, NEW YORK, NY, 10017
- Phone
- 2125189010
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $349.5M
- Discretionary AUM
- $333.0M
- Non-discretionary AUM
- $16.5M
- Discretionary accounts
- 2
- Non-discretionary accounts
- 5
- Total accounts
- 7
- AUM per client
- $49.9M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Insurance companies | Fewer than 5 | $4.3M |
| High net worth individuals | Fewer than 5 | $12.2M |
| Pooled investment vehicles | 2 | $333.0M |
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 pooled investment vehicles
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 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 3 | 5 | increased by2 |
| Apr 1, 2026 | Clients | 1 | 7 | increased by6 |
| Apr 1, 2026 | AUM | $216,205,823 | $349,486,745 | increased by$133,280,922 |
| Apr 1, 2026 | Accounts | 6 | 7 | increased by1 |
| Mar 1, 2026 | Custody | No | Yes | |
| Mar 1, 2026 | AUM | $2,904,973,114 | $216,205,823 | decreased by$2,688,767,291 |
| Mar 1, 2026 | Accounts | 3 | 6 | increased by3 |
| May 1, 2025 | 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 PRIVATE” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“GUGGENHEIM PRIVATE” 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.