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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

TRANSPARENT VALUE ADVISORS, LLC

CRD 142117

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:70cf0779-1200-4cdf-a7f4-4ad5dcb04d6a

Data as of Mar 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 0
On other graphs: 0
Observed: Mar 5, 2012 to Mar 30, 2016
13 observations

Across DFX

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.

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: $80.0MItem 5.F on the latest filing (2016-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
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
Employees: 4
Advisory employees: 3
Accounts: 3
SEC number: 801-67722
CRD: 142117
Filings on the tape: 13
First filed: Mar 5, 2012
Latest filed: Mar 30, 2016
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
ARUS, ARMEN	CHIEF EXECUTIVE OFFICER	Na	yes	09/2004	Mar 5, 2012	Mar 30, 2016
CASEY, SEAN	CHIEF COMPLIANCE OFFICER	Na	yes	04/2014	May 15, 2014	Mar 30, 2016
CONSOLIDATED INVESTMENT SERVICES, INC.	Shareholder	E	yes	07/2011	Mar 5, 2012	Mar 30, 2016
GP HOLDCO, LLC	Member	E	yes	10/2007	Mar 5, 2012	Mar 30, 2016
GPFT HOLDCO, LLC	Member	D	yes	05/2009	Mar 5, 2012	Mar 30, 2016
GREATBANC TRUST COMPANY, TRUSTEE	Trustee	F	yes	01/2010	Jan 30, 2013	Mar 30, 2016
GUGGENHEIM CAPITAL, LLC	Member	E	yes	10/2005	Mar 5, 2012	Mar 30, 2016
GUGGENHEIM PARTNERS, LLC	Member	E	yes	10/2007	Mar 5, 2012	Mar 30, 2016
GUGGENHEIM TRANSPARENT VALUE, LLC	Member	E	yes	05/2009	Mar 5, 2012	Mar 30, 2016
KHAYUTIN, GENNADIY	SENIOR MANAGING DIRECTOR	Na	yes	11/2015	Mar 30, 2016	Mar 30, 2016
SAGE ASSETS, INC	Member	C	yes	12/2008	Mar 5, 2012	Mar 30, 2016
SAMMONS ENTERPRISES, INC.	Shareholder	E	yes	12/2008	Mar 5, 2012	Mar 30, 2016
SAMMONS ENTERPRISES, INC. ESOT	Shareholder	E	yes	03/2010	Mar 5, 2012	Mar 30, 2016
SAMMONS EQUITY ALLIANCE, INC.	Member	E	yes	07/2011	Mar 5, 2012	Mar 30, 2016
TRANSPARENT VALUE, LLC	Owner	E	yes	08/2006	Mar 5, 2012	Mar 30, 2016

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 INVESTMENT MANAGEMENT, LLC	n/a	Other adviser	$241B	N	yes	n/a
GUGGENHEIM FUNDS DISTRIBUTORS, LLC	n/a	Asset manager	$7.8B	N	yes	n/a
GUGGENHEIM FUND SOLUTIONS, LLC	n/a	Former SEC adviser	$2.9B	N	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
GUGGENHEIM CORPORATE FUNDING, LLC	n/a	n/a	n/a	N	yes	n/a
GUGGENHEIM INVESTOR SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a
GUGGENHEIM SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a

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
2015	Mar 30, 2016	$80.0M	$0	4	3	n/a	n/a	n/a
2014	Mar 31, 2015	$2.4B	$453M	9	5	n/a	n/a	n/a
2013	Apr 7, 2014	$1.9B	$474M	9	5	n/a	n/a	n/a
2012	Jan 30, 2013	$362M	$77.8M	8	6	n/a	n/a	n/a
2011	Mar 5, 2012	$205M	$28.0M	n/a	n/a	n/a	n/a	n/a

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
2015	$80.0M	$2.4B	-96.6%	$362M	-39.5%	4	9	n/a	n/a

Relationships

Affiliated with (8)

→ GUGGENHEIM INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ EVERWEST FUNDS ADVISORS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, 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
→ GUGGENHEIM FUND SOLUTIONS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ GUGGENHEIM FUNDS DISTRIBUTORS, LLCRegistered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV
← GUGGENHEIM FUND SOLUTIONS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← GUGGENHEIM INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV

Controls (15)

← KHAYUTIN, GENNADIYOwnerSENIOR MANAGING DIRECTOR, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← CASEY, SEANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 15, 2014 to presentfactForm ADV
← ARUS, ARMENOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 5, 2012 to presentfactForm ADV
← CONSOLIDATED INVESTMENT SERVICES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 5, 2012 to presentfactForm ADV
← GP HOLDCO, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 5, 2012 to presentfactForm ADV
← GPFT HOLDCO, LLCOwnerMEMBER, ownership code D, domestic entity
Mar 5, 2012 to presentfactForm ADV
← GREATBANC TRUST COMPANY, TRUSTEEOwnerTRUSTEE, ownership code F, domestic entity
Jan 30, 2013 to presentfactForm ADV
← GUGGENHEIM CAPITAL, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 5, 2012 to presentfactForm ADV
← GUGGENHEIM PARTNERS, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 5, 2012 to presentfactForm ADV
← GUGGENHEIM TRANSPARENT VALUE, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 5, 2012 to presentfactForm ADV
← SAGE ASSETS, INCOwnerMEMBER, ownership code C, domestic entity
Mar 5, 2012 to presentfactForm ADV
← SAMMONS ENTERPRISES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 5, 2012 to presentfactForm ADV
← SAMMONS ENTERPRISES, INC. ESOTOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 5, 2012 to presentfactForm ADV
← SAMMONS EQUITY ALLIANCE, INC.OwnerMEMBER, ownership code E, domestic entity
Mar 5, 2012 to presentfactForm ADV
← TRANSPARENT VALUE, LLCOwnerOWNER, ownership code E, domestic entity
Mar 5, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:70cf0779-1200-4cdf-a7f4-4ad5dcb04d6a
First observed: Mar 5, 2012
Last observed: Mar 30, 2016 127 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.

TRANSPARENT VALUE ADVISORS, LLC

CRD 142117

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:70cf0779-1200-4cdf-a7f4-4ad5dcb04d6a

Data as of Mar 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:32 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ARUS, ARMEN

CHIEF EXECUTIVE OFFICER

yes

09/2004

Mar 5, 2012

Mar 30, 2016

CASEY, SEAN

CHIEF COMPLIANCE OFFICER

yes

04/2014

May 15, 2014

Mar 30, 2016

CONSOLIDATED INVESTMENT SERVICES, INC.

Shareholder

yes

07/2011

Mar 5, 2012

Mar 30, 2016

GP HOLDCO, LLC

Member

yes

10/2007

Mar 5, 2012

Mar 30, 2016

GPFT HOLDCO, LLC

Member

yes

05/2009

Mar 5, 2012

Mar 30, 2016

GREATBANC TRUST COMPANY, TRUSTEE

Trustee

yes

01/2010

Jan 30, 2013

Mar 30, 2016

GUGGENHEIM CAPITAL, LLC

Member

yes

10/2005

Mar 5, 2012

Mar 30, 2016

GUGGENHEIM PARTNERS, LLC

Member

yes

10/2007

Mar 5, 2012

Mar 30, 2016

GUGGENHEIM TRANSPARENT VALUE, LLC

Member

yes

05/2009

Mar 5, 2012

Mar 30, 2016

KHAYUTIN, GENNADIY

SENIOR MANAGING DIRECTOR

yes

11/2015

Mar 30, 2016

SAGE ASSETS, INC

Member

yes

12/2008

Mar 5, 2012

Mar 30, 2016

SAMMONS ENTERPRISES, INC.

Shareholder

yes

12/2008

Mar 5, 2012

Mar 30, 2016

SAMMONS ENTERPRISES, INC. ESOT

Shareholder

yes

03/2010

Mar 5, 2012

Mar 30, 2016

SAMMONS EQUITY ALLIANCE, INC.

Member

yes

07/2011

Mar 5, 2012

Mar 30, 2016

TRANSPARENT VALUE, LLC

Owner

yes

08/2006

Mar 5, 2012

Mar 30, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

n/a

Other adviser

$241B

yes

n/a

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

n/a

Asset manager

$7.8B

yes

n/a

GUGGENHEIM FUND SOLUTIONS, LLC

n/a

Former SEC adviser

$2.9B

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

GUGGENHEIM CORPORATE FUNDING, LLC

n/a

yes

n/a

GUGGENHEIM INVESTOR SERVICES, LLC

n/a

yes

n/a

GUGGENHEIM SECURITIES, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 30, 2016

$80.0M

n/a

2014

Mar 31, 2015

$2.4B

$453M

n/a

2013

Apr 7, 2014

$1.9B

$474M

n/a

2012

Jan 30, 2013

$362M

$77.8M

n/a

2011

Mar 5, 2012

$205M

$28.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$80.0M

$2.4B

-96.6%

$362M

-39.5%

n/a