SEC-Registered Investment Adviser
Guggenheim Partners Investment Management, LLC
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated July 30, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- June 14, 2006
- Principal office
- 330 Madison Avenue, 10th Floor, New York, NY 10017
- Organized as
- Limited Liability Company, DE
- Fiscal year end
- December
- Other offices
- 4
Scale
- Regulatory AUM
- $240.7B
- Discretionary / non-discretionary
- $240.4B / $277.5M
- Attributable to non-US clients
- $31.3B
- Accounts
- 440
- Clients
- 0
- Employees
- 588, 166 in advisory roles
- Private funds advised
- 73
- Private fund gross assets
- $9.0B
- Fund types
- 13 hedge funds, 20 private equity funds, 15 real estate funds
- Client assets in custody
- $10.3B (56 clients)
Business, clients and compensation, as filed
- Advisory activities
- portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients and other advisory activities
- Compensated by
- a percentage of assets under management, fixed fees and performance-based fees
- Client types
- individuals (other than high net worth) (210); high net worth individuals (5); banking or thrift institutions (17); investment companies (22); business development companies (1); pooled investment vehicles (65); pension and profit sharing plans (4); charitable organizations (18); state or municipal government entities (11); other investment advisers (2); insurance companies (61); sovereign wealth funds and foreign official institutions (1); corporations or other businesses (20); other (3)
- Also engaged as
- commodity pool operator or commodity trading advisor
- Related persons include
- a broker-dealer, another investment adviser, a registered municipal advisor, a security-based swap dealer, a commodity pool operator or commodity trading advisor, an insurance company or agency, a pension consultant, a real estate broker or dealer and a sponsor, general partner or managing member of pooled investment vehicles
- Affiliates
- 2 broker-dealers, 13 investment advisers
- Wrap fee program
- Sponsors or manages a wrap fee program
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2))
- SEC or CFTC order against the firm or an affiliate (Item 11C(4))
- SEC or CFTC civil money penalty or cease-and-desist (Item 11C(5))
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.