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GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC
CRD 340242File 801-135882
APPROVED
Filing as of Aug 17, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.44B
Above cohort median (national)
Discretionary AUM
$1.21B
Non-discretionary $225.0M
Clients
0
2 accounts
Employees
9
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Apr 20, 2026
- Principal office
- 330 MADISON AVENUE, NEW YORK, NY, 10017
- Phone
- 2125189542
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.44B
- Discretionary AUM
- $1.21B
- Non-discretionary AUM
- $225.0M
- Discretionary accounts
- 1
- Non-discretionary accounts
- 1
- Total accounts
- 2
- AUM per client
- —
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Insurance companies | Fewer than 5 | $1.44B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
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 |
|---|---|---|---|---|
| Aug 23, 2026 | Registration | APPROVED-120 | APPROVED | |
| Aug 23, 2026 | Employees | 5 | 9 | increased by4 |
| Aug 23, 2026 | AUM | $0 | $1,437,839,500 | increased by$1,437,839,500 |
| Aug 23, 2026 | Accounts | 0 | 2 | increased by2 |
| May 1, 2026 | Registration | — | APPROVED-120 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “GUGGENHEIM ASSET-BACKED” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“GUGGENHEIM ASSET-BACKED” 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.