GUGGENHEIM INVESTMENTS

Latest filing: Mar 31, 2025 (46 days ago)
View on IAPD
Adviser Website

AUM

$7,395,263,411
-34% change vs. 1 year ago
-43% change vs. 3 years ago
-25% change vs. 5 years ago
-77% change vs. 10 years ago

Employee Count

20
-50% change vs. 1 year ago
-51% change vs. 3 years ago
-56% change vs. 5 years ago
-57% change vs. 10 years ago

Main Office

NEW YORK, NY
330 MADISON AVENUE, NEW YORK, NY, UNITED STATES, 10017

Client AUM

Discretion AUM
Discretionary $7.4
Non-Discretionary $0.0
Total $7.4
Client AUM
Retail $0.0
Pooled $7.4
Institutional $0.0
Total $7.4
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

SMA Custodians

Custodian Location AUM
MORGAN STANLEY SMITH BARNEY LLC NEW YORK-NY-USA $0.0

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $0.0
Retail SMA AUM $0.0
Institutional SMA AUM $0.0
Asset Class % AUM
Equity Exch 0% $0.0
Equity Non-Exch 0% $0.0
Govt Agency 0% $0.0
Municipal 0% $0.0
Sovereign 0% $0.0
IG Credit 0% $0.0
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 0% $0.0
Other Pools 0% $0.0
Cash 0% $0.0
Other 0% $0.0
Total 0% $0.0

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC $228.7 137432
GUGGENHEIM CORPORATE FUNDING, LLC $9.0 300895
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 SECURITIES RESEARCH SERVICES, LLC. $0.0 -
TRANSPARENT VALUE PRIVATE LIMITED $0.0 -
GUGGENHEIM SECURITIES INTERNATIONAL, LTD. $0.0 broker-dealer -
GUGGENHEIM PARTNERS MIDDLE EAST LIMITED $0.0 broker-dealer -
GUGGENHEIM ENERGY LLC $0.0 -
GUGGENHEIM PARTNERS JAPAN, LTD. $0.0 broker-dealer -
GUGGENHEIM PARTNERS EUROPE LTD $0.0 -
GUGGENHEIM INVESTMENT ADVISORS (EUROPE) LIMITED $0.0 -
GUGGENHEIM SECURITIES, LLC $0.0 broker-dealer, municipal advisor 40638
GUGGENHEIM INVESTOR SERVICES, LLC $0.0 broker-dealer 30096
GIM GP, LTD. $0.0 -
GUGGENHEIM SECURITIES EUROPE LIMITED $0.0 broker-dealer -
GUGGENHEIM REAL ESTATE (CA), INC. $0.0 -

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

23 active

Name Title
LEE, AMY, JO GENERAL COUNSEL, SECRETARY, AND SR. MANAGING DIRECTOR
BYRUM, MICHAEL, PAUL SR. MANAGING DIRECTOR
DAMMAN, AMY, LEIGH ASSISTANT TREASURER
SHARAFF, FARHAN, NMN CHIEF INVESTMENT OFFICER, EQUITIES
BEIER, DUSTAN, ROY CHIEF FINANCIAL OFFICER & TREASURER
CATALUCCI, JOANNA, MARIE SR. MANAGING DIRECTOR
MISANTONE, MARGAUX, MARIE CHIEF COMPLIANCE OFFICER
BINDER, BRIAN, EDWARD PRESIDENT, MUTUAL FUNDS BOARDS AND SR. MANAGING DIRECTOR

ADVDB.CO • SOURCE: SEC

Representatives

47 active representatives found, showing 20 random

Name City State Exams Designations
MATTHEW BUCCIGROSSO NEW YORK NY S63|2007-01-22|S65|2014-09-10
ANNMARIE WOODS NEW YORK NY S63|1996-12-09|S65|2000-02-22
RACHEL JOWDY NEW YORK NY S63|2006-08-29|S65|2011-03-15
CATHERINE NETTLES NEW YORK NY S66|2005-09-02
PETER VLAGOS NEW YORK NY S63|1996-07-01|S65|2001-01-25
JACOB SCHULTZ NEW YORK NY S63|2011-09-30|S65|2014-08-21
ALEXANDER RECKER NEW YORK NY S66|2023-10-26
MICHAEL HOARE NEW YORK NY S65|2016-03-24|S63|2019-05-09
ROBERT COYNE NEW YORK NY S63|1992-07-13|S65|2004-12-06
CHRISTOPHER COSANTINO NEW YORK NY S63|2005-08-01|S65|2009-01-12
ADAM SALL NEW YORK NY S66|2002-05-23
NICHOLAS ZELENIKA NEW YORK NY S66|2024-01-26
LEE PERSONENI NEW YORK NY S63|1997-08-06|S65|2003-07-31
CARL RESNICK NEW YORK NY S63|1993-10-27|S65|2009-09-04
WILLIAM BLATTNER NEW YORK NY S66|2004-08-06
JEAN SMITH NEW YORK NY S63|1997-06-12|S66|2004-05-27
MARK SKELTON NEW YORK NY S66|2022-06-13
ADAM GODLEWSKI NEW YORK NY S66|2015-08-24
MICHAEL GEARTY NEW YORK NY S63|1997-02-11|S65|2014-05-23
KEVIN BURKE NEW YORK NY S66|2002-03-21|S65|2020-12-09

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2025-04-21 $7.4 $0.0 0% 20 0 0%
2024-04-02 $11.3 -$3.9 -34% 40 -20 -50%
2023-04-04 $8.7 -$1.3 -15% 39 -19 -49%
2022-04-01 $13.0 -$5.6 -43% 41 -21 -51%
2021-04-05 $11.4 -$4.0 -35% 43 -23 -53%
2020-04-01 $9.8 -$2.4 -25% 45 -25 -56%
2019-04-01 $9.3 -$1.9 -20% 46 -26 -57%
2018-04-02 $38.0 -$30.6 -81% 50 -30 -60%
2017-04-01 $31.0 -$23.6 -76% 43 -23 -53%
2016-04-01 $30.0 -$22.6 -75% 43 -23 -53%
2015-04-01 $31.7 -$24.3 -77% 47 -27 -57%
2014-04-01 $25.6 -$18.2 -71% 32 -12 -38%
2013-04-01 $19.8 -$12.4 -63% 79 -59 -75%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
NY, AK-10/13/2006, AL-11/07/2006, AR-10/16/2006, AZ-10/12/2006, CA-10/12/2006, CO-10/12/2006, CT-10/12/2006, DC-10/12/2006, DE-10/17/2006, FL-10/13/2006, GA-10/12/2006, HI-10/12/2006, IA-10/16/2006, ID-10/12/2006, IL-10/12/2006, IN-10/12/2006, KS-07/05/1979, KY-10/12/2006, LA-10/12/2006, MA-10/12/2006, MD-10/12/2006, ME-10/12/2006, MI-10/12/2006, MN-10/17/2006, MO-10/12/2006, MS-10/12/2006, MT-10/12/2006, NC-10/12/2006, ND-10/12/2006, NE-10/12/2006, NH-10/12/2006, NJ-12/18/2006, NM-12/05/2006, NV-10/12/2006, NY-12/05/2006, OH-10/12/2006, OK-10/12/2006, OR-10/12/2006, PA-10/12/2006, PR-12/05/2006, RI-10/12/2006, SC-10/12/2006, SD-10/12/2006, TN-10/13/2006, TX-12/05/2006, UT-10/12/2006, VA-10/12/2006, VI-05/05/2008, VT-10/12/2006, WA-10/12/2006, WI-10/12/2006, WV-10/12/2006, WY-11/17/2017
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT (RIC)
PORTFOLIO MANAGEMENT (POOLS)
OTHER ACTIVITIES
COMMODITY TRADING ADVISOR

ADVDB.CO • SOURCE: SEC FORM ADV