AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $5.8 |
| Non-Discretionary | $3.3 |
| Total | $9.0 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $5.7 |
| Institutional | $3.3 |
| Total | $9.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| THE BANK OF NEW YORK MELLON | NEW YORK-NY-USA | $1.8 |
| PRINCIPAL BANK | DES MOINES-IA-USA | $1.2 |
| U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION | HOUSTON-TX-USA | $0.9 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $3.3 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $3.3 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 3% | $0.1 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 11% | $0.4 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 1% | $0.0 |
| Cash | 8% | $0.3 |
| Other | 77% | $2.5 |
| Total | 100% | $3.3 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC | $228.7 | 137432 | |
| SECURITY INVESTORS, LLC | $7.4 | 105477 | |
| GUGGENHEIM FUNDS DISTRIBUTORS, LLC | $6.9 | broker-dealer | 39805 |
| GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC | $3.7 | 129288 | |
| GUGGENHEIM INVESTMENT ADVISORS, LLC | $0.5 | 108263 | |
| GS GAMMA ADVISORS, LLC | $0.2 | 135424 | |
| GUGGENHEIM PARTNERS ADVISORS, LLC | $0.0 | 283238 | |
| GUGGENHEIM REAL ESTATE (CA), INC. | $0.0 | - | |
| GUGGENHEIM PARTNERS EUROPE, LTD. | $0.0 | - | |
| GIM GP, LTD. | $0.0 | - | |
| GUGGENHEIM SECURITIES INTERNATIONAL LTD | $0.0 | broker-dealer | - |
| GUGGENHEIM PARTNERS JAPAN, LTD. | $0.0 | broker-dealer | - |
| GUGGENHEIM PARTNERS MIDDLE EAST LIMITED | $0.0 | broker-dealer | - |
| TRANSPARENT VALUE PRIVATE LIMITED | $0.0 | - | |
| GUGGENHEIM SECURITIES RESEARCH SERVICES, LLC | $0.0 | - | |
| GUGGENHEIM INVESTMENTS PRIVATE DEBT FUND IV GP, LLC | $0.0 | - | |
| GUGGENHEIM ENERGY, LLC | $0.0 | - | |
| GUGGENHEIM INVESTMENT ADVISORS (EUROPE), LTD. | $0.0 | - | |
| GUGGENHEIM INVESTOR SERVICES, LLC | $0.0 | broker-dealer | 30096 |
| GUGGENHEIM SECURITIES, LLC | $0.0 | broker-dealer, municipal advisor | 40638 |
| GUGGENHEIM SECURITIES EUROPE LIMITED | $0.0 | broker-dealer | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-04-21 | $9.0 | $0.0 | 0% | 14 | 0 | 0% |
| 2024-04-02 | $8.0 | $1.0 | 13% | 13 | 1 | 8% |
| 2023-04-04 | $8.1 | $1.0 | 12% | 13 | 1 | 8% |
| 2022-04-01 | $6.1 | $2.9 | 48% | 9 | 5 | 56% |
| 2021-04-05 | $2.6 | $6.4 | 243% | 3 | 11 | 367% |
| 2020-04-01 | $2.5 | $6.5 | 261% | 3 | 11 | 367% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NY, AK-03/31/2025, AL-03/31/2025, AR-03/31/2025, AZ-03/31/2025, CA-03/31/2025, CO-03/31/2025, CT-03/29/2024, DC-03/31/2025, DE-03/29/2024, FL-03/31/2025, GA-03/31/2025, HI-03/31/2025, IA-03/31/2025, ID-03/31/2025, IL-03/29/2024, IN-03/31/2025, KS-03/31/2025, KY-03/31/2025, LA-03/31/2025, MA-03/31/2025, MD-03/31/2025, ME-03/31/2025, MI-03/31/2025, MN-03/31/2025, MO-03/31/2025, MS-03/31/2025, MT-03/31/2025, NC-03/31/2025, ND-03/31/2025, NE-03/31/2025, NH-03/31/2025, NJ-03/31/2025, NM-03/31/2025, NV-03/31/2025, NY-03/31/2025, OH-03/31/2025, OK-03/31/2025, OR-03/31/2025, PA-03/31/2025, PR-03/31/2025, RI-03/31/2025, SC-03/31/2025, SD-03/31/2025, TN-03/31/2025, TX-03/31/2025, UT-03/31/2025, VA-03/31/2025, VI-03/31/2025, VT-03/31/2025, WA-03/31/2025, WI-03/31/2025, WV-03/31/2025, WY-03/31/2025 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV