DFX Intelligence

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The intelligence graph connecting private capital, companies and real assets. Public records ingested on their own cadence, resolved to one identity by shared identifier, connected by typed relationships with a date and a source on every edge, and read by detectors that say what changed and what it means. Facts, derived metrics, signals, anomalies and inferences are labelled as such.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

GUGGENHEIM INVESTMENT MANAGEMENT, LLC

CRD 117827

NEW YORK, NY

Full profile on RIA / Wealth Management →Search this name across graphsid dfx:ria:59ca2a6e-d5d5-8e2c-fa58-44ce04d1010b

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 6:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Mar 30, 2012
1 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Guggenheim Investment Management, LLC

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $33BItem 5.F on the latest filing (2012-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $33B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 78
Private funds: 34Schedule D 7.B(1)
Private fund GAV: $9.3Bgross asset value as reported per fund; never fund size
Custody, client assets: $2.9B
SEC number: 801-60745
CRD: 117827
Filings on the tape: 1
First filed: Mar 30, 2012
Latest filed: Mar 30, 2012
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BOEHLY, TODD, LAWRENCE	MANAGING PARTNER	NA	yes	10/2001	Mar 30, 2012	Mar 30, 2012
CONSOLIDATED INVESTMENT SERVICES, INC.	SHAREHOLDER	E	yes	12/2008	Mar 30, 2012	Mar 30, 2012
GP HOLDCO, LLC	MEMBER	E	yes	10/2007	Mar 30, 2012	Mar 30, 2012
GPFT HOLDCO, LLC	MEMBER	E	yes	10/2007	Mar 30, 2012	Mar 30, 2012
GUGGENHEIM CAPITAL, LLC	MEMBER	E	yes	10/2005	Mar 30, 2012	Mar 30, 2012
GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLC	MEMBER	E	yes	10/2007	Mar 30, 2012	Mar 30, 2012
GUGGENHEIM PARTNERS, LLC	MEMBER	E	yes	10/2007	Mar 30, 2012	Mar 30, 2012
HAGNER, WILLIAM, ROBERT	CHIEF LEGAL OFFICER	NA	yes	08/2005	Mar 30, 2012	Mar 30, 2012
KING, ERIN, ELIZABETH	CHIEF COMPLIANCE OFFICER	NA	yes	10/2011	Mar 30, 2012	Mar 30, 2012
MINERD, BYRON, SCOTT	CHIEF INVESTMENT OFFICER	NA	yes	04/2010	Mar 30, 2012	Mar 30, 2012
SAGE ASSETS, INC	SHAREHOLDER	C	yes	12/2008	Mar 30, 2012	Mar 30, 2012
SAMMONS ENTERPRISES, INC.	SHAREHOLDER	E	yes	12/2008	Mar 30, 2012	Mar 30, 2012
SAMMONS ENTERPRISES, INC. ESOT	SHAREHOLDER	E	yes	03/2010	Mar 30, 2012	Mar 30, 2012
SAMMONS EQUITY ALLIANCE, INC.	SHAREHOLDER	E	yes	07/2011	Mar 30, 2012	Mar 30, 2012
SAUTEL, STEPHEN, D	SENIOR MANAGING DIRECTOR	NA	yes	02/2007	Mar 30, 2012	Mar 30, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
GUGGENHEIM PARTNERS ASSET MANAGEMENT, LLC	n/a	OTHER ADVISER	$241B	N	yes	n/a
SECURITY INVESTORS, LLC	n/a	ASSET MANAGER	$8.0B	N	yes	n/a
GUGGENHEIM FUNDS DISTRIBUTORS, LLC	n/a	ASSET MANAGER	$7.8B	N	yes	n/a
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC	n/a	ASSET MANAGER	$4.1B	Y	yes	n/a
GUGGENHEIM REAL ESTATE LLC	n/a	FORMER SEC ADVISER	$1.3B	N	yes	n/a
GUGGENHEIM INVESTMENT ADVISORS, LLC	n/a	OTHER ADVISER	$841M	N	yes	n/a
GS GAMMA ADVISORS, LLC	n/a	ASSET MANAGER	$299M	N	yes	n/a
TRANSPARENT VALUE ADVISORS, LLC	n/a	FORMER SEC ADVISER	$80.0M	N	yes	n/a
GUGGENHEIM INVESTMENT ADVISORS (EUROPE) LIMITED	n/a	n/a	n/a	N	yes	n/a
GUGGENHEIM PARTNERS EUROPE LIMITED	n/a	n/a	n/a	N	yes	n/a
GUGGENHEIM SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a
RYDEX DISTRIBUTORS, LLC	n/a	n/a	n/a	N	yes	n/a
SECURITY DISTRIBUTORS, INC.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SANTA MONICA	CA	United States	n/a	no
HOUSTON	TX	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$33B	$33B	n/a	n/a	n/a	34	$9.3B

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$33B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (8)

→ GUGGENHEIM INVESTMENTSRegistered adviserother investment adviser, common control
factForm ADV
→ GUGGENHEIM INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ EVERWEST FUNDS ADVISORS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ GUGGENHEIM INVESTMENTSRegistered adviserother investment adviser, control, common control
factForm ADV
→ GS GAMMA ADVISORS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ TRANSPARENT VALUE ADVISORS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ GUGGENHEIM FUNDS DISTRIBUTORS, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (15)

← MINERD, BYRON, SCOTTOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← BOEHLY, TODD, LAWRENCEOwnerMANAGING PARTNER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← SAUTEL, STEPHEN, DOwnerSENIOR MANAGING DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← HAGNER, WILLIAM, ROBERTOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← KING, ERIN, ELIZABETHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← CONSOLIDATED INVESTMENT SERVICES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← GP HOLDCO, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← GPFT HOLDCO, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← GUGGENHEIM CAPITAL, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← GUGGENHEIM PARTNERS, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← SAGE ASSETS, INCOwnerSHAREHOLDER, ownership code C, domestic entity
Mar 30, 2012 to presentfactForm ADV
← SAMMONS ENTERPRISES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← SAMMONS ENTERPRISES, INC. ESOTOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← SAMMONS EQUITY ALLIANCE, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:59ca2a6e-d5d5-8e2c-fa58-44ce04d1010b
First observed: Mar 30, 2012
Last observed: Mar 30, 2012 176 months ago
Source families: Federal regulator filings
3 registered feeds 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.

GUGGENHEIM INVESTMENT MANAGEMENT, LLC

CRD 117827

NEW YORK, NY

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 6:36 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOEHLY, TODD, LAWRENCE

MANAGING PARTNER

yes

10/2001

Mar 30, 2012

CONSOLIDATED INVESTMENT SERVICES, INC.

SHAREHOLDER

yes

12/2008

Mar 30, 2012

GP HOLDCO, LLC

MEMBER

yes

10/2007

Mar 30, 2012

GPFT HOLDCO, LLC

MEMBER

yes

10/2007

Mar 30, 2012

GUGGENHEIM CAPITAL, LLC

MEMBER

yes

10/2005

Mar 30, 2012

GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLC

MEMBER

yes

10/2007

Mar 30, 2012

GUGGENHEIM PARTNERS, LLC

MEMBER

yes

10/2007

Mar 30, 2012

HAGNER, WILLIAM, ROBERT

CHIEF LEGAL OFFICER

yes

08/2005

Mar 30, 2012

KING, ERIN, ELIZABETH

CHIEF COMPLIANCE OFFICER

yes

10/2011

Mar 30, 2012

MINERD, BYRON, SCOTT

CHIEF INVESTMENT OFFICER

yes

04/2010

Mar 30, 2012

SAGE ASSETS, INC

SHAREHOLDER

yes

12/2008

Mar 30, 2012

SAMMONS ENTERPRISES, INC.

SHAREHOLDER

yes

12/2008

Mar 30, 2012

SAMMONS ENTERPRISES, INC. ESOT

SHAREHOLDER

yes

03/2010

Mar 30, 2012

SAMMONS EQUITY ALLIANCE, INC.

SHAREHOLDER

yes

07/2011

Mar 30, 2012

SAUTEL, STEPHEN, D

SENIOR MANAGING DIRECTOR

yes

02/2007

Mar 30, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GUGGENHEIM PARTNERS ASSET MANAGEMENT, LLC

n/a

OTHER ADVISER

$241B

yes

n/a

SECURITY INVESTORS, LLC

n/a

ASSET MANAGER

$8.0B

yes

n/a

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

n/a

ASSET MANAGER

$7.8B

yes

n/a

GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC

n/a

ASSET MANAGER

$4.1B

yes

n/a

GUGGENHEIM REAL ESTATE LLC

n/a

FORMER SEC ADVISER

$1.3B

yes

n/a

GUGGENHEIM INVESTMENT ADVISORS, LLC

n/a

OTHER ADVISER

$841M

yes

n/a

GS GAMMA ADVISORS, LLC

n/a

ASSET MANAGER

$299M

yes

n/a

TRANSPARENT VALUE ADVISORS, LLC

n/a

FORMER SEC ADVISER

$80.0M

yes

n/a

GUGGENHEIM INVESTMENT ADVISORS (EUROPE) LIMITED

n/a

yes

n/a

GUGGENHEIM PARTNERS EUROPE LIMITED

n/a

yes

n/a

GUGGENHEIM SECURITIES, LLC

n/a

yes

n/a

RYDEX DISTRIBUTORS, LLC

n/a

yes

n/a

SECURITY DISTRIBUTORS, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SANTA MONICA

United States

n/a

HOUSTON

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$33B

n/a

$9.3B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$33B

n/a