This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

GUGGENHEIM INVESTMENTS

Current firm class

asset managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Oct 25, 1989earliest registration or exam on IAPD

Years in industry

36derivedfrom the industry start date

Years at current firm

12derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S63|S66

First exam

Oct 25, 1989

First registration

Oct 28, 2004

Dual registered

yes, broker-dealer

IAPD individual key

1524001

Graph

RIA / Wealth Management

Canonical id

dfx:ria:2d2aec22-a7f3-a030-7bd0-2bcd70f778a0

First observed

Oct 28, 2004

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.