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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

GUGGENHEIM PRIVATE INVESTMENTS, LLC

CRD 331479

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:99a8be9b-2a63-3ab5-bfc5-db3a1912b05f

Data as of Jul 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 5
On other graphs: 2
Observed: Aug 6, 2024 to Jul 30, 2026
10 observations

Across DFX

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

Private Equityidentity

Guggenheim Private Investments, LLC

Private equity manager · shared crd

Independent Sponsorsidentity

Guggenheim Private Investments, LLC

Capital provider to sponsors · shared crd

Private Creditcandidate

GUGGENHEIM PRIVATE INVESTMENTS, LLC

Credit provider · name unique adv

Facts

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

Firm class: asset managerderivedprivate_client_share=0.03 fund_share=0.95 institutional_share=0.01 related_bd=true related_bank=true bd_reps=3.0
Regulatory AUM: $349MItem 5.F on the latest filing (2026-07-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $333M
Private client RAUM: $12.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 3%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 7
High net worth clients: 1
Private funds: 2Schedule D 7.B(1)
Custody, client assets: $0
SEC number: 801-131052
CRD: 331479
Filings on the tape: 10
First filed: Aug 6, 2024
Latest filed: Jul 30, 2026
Organised: Limited Liability Company, DE
Website: guggenheiminvestments.com

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
CONSOLIDATED INVESTMENT SERVICES, INC.	Shareholder	E	yes	12/2023	Aug 6, 2024	Nov 4, 2024
DILORENZO, DINA, MARIE	President	Na	yes	08/2024	Aug 6, 2024	Nov 4, 2024
GI HOLDCO II LLC	Member	E	yes	09/2024	Aug 6, 2024	Nov 4, 2024
GIH BORROWER, LLC	Member	E	yes	09/2024	Oct 1, 2024	Nov 4, 2024
GIH PARENT, LLC	Member	E	yes	09/2024	Oct 1, 2024	Nov 4, 2024
GREATBANC TRUST COMPANY, TRUSTEE	Trustee	F	yes	12/2004	Aug 6, 2024	Nov 4, 2024
GUGGENHEIM CAPITAL, LLC	Member	E	yes	10/2005	Aug 6, 2024	Nov 4, 2024
GUGGENHEIM INVESTMENT HOLDINGS, LLC	Member	E	yes	09/2024	Oct 1, 2024	Nov 4, 2024
GUGGENHEIM PARTNERS, LLC	Member	E	yes	07/2013	Aug 6, 2024	Nov 4, 2024
GUGGENHEIM PRIVATE INVESTMENTS HOLDINGS, LLC	Member	E	yes	09/2024	Oct 1, 2024	Nov 4, 2024
SAGE ASSETS, INC.	Member	C	yes	12/2008	Aug 6, 2024	Nov 4, 2024
SAMMONS CORPORATION	Shareholder	E	yes	12/2023	Aug 6, 2024	Nov 4, 2024
SAMMONS ENTERPRISES, INC.	Shareholder	E	yes	12/2023	Aug 6, 2024	Nov 4, 2024
SAMMONS ENTERPRISES, INC. ESOT	Shareholder	E	yes	01/2010	Aug 6, 2024	Nov 4, 2024
SAPERSTEIN, ROBERT, ANDREW	CHIEF COMPLIANCE OFFICER	Na	yes	08/2024	Aug 6, 2024	Nov 4, 2024
Stone, Suzanne	HEAD OF CLIENT SERVICE, GUGGENHEIM PRIVATE INVESTMENTS, LLC	Na	yes	11/2024	Nov 4, 2024	Nov 4, 2024

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 CORPORATE FUNDING, LLC	n/a	Asset manager	$11B	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	N	yes	n/a
GUGGENHEIM INVESTMENT ADVISORS, LLC	n/a	Other adviser	$841M	N	yes	n/a
GUGGENHEIM WEALTH SOLUTIONS, LLC	n/a	Mixed wealth	$371M	N	yes	n/a
GS GAMMA ADVISORS, LLC	n/a	Asset manager	$299M	N	yes	n/a
GIM GP, LTD.	n/a	n/a	n/a	N	yes	n/a
GUGGENHEIM ENERGY, LLC	n/a	n/a	n/a	N	yes	n/a
GUGGENHEIM INVESTMENT ADVISORS (EUROPE), LTD.	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 PARTNERS JAPAN, LTD.	n/a	n/a	n/a	N	yes	n/a
GUGGENHEIM PARTNERS MIDDLE EAST LIMITED	n/a	n/a	n/a	N	yes	n/a
GUGGENHEIM REAL ESTATE (CA), INC.	n/a	n/a	n/a	N	yes	n/a
GUGGENHEIM SECURITIES, LLC	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
Stamford	Ct	United States	1	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; showing 2 of 4

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$349M	$333M	5	2	0	2	n/a
2024	Mar 31, 2025	$2.9B	$0	3	0	1	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
2025	$349M	$2.9B	-88.0%	n/a	n/a	5	3	0	1

Relationships

Affiliated with (10)

← GUGGENHEIM CORPORATE FUNDING, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ GUGGENHEIM INVESTMENTSRegistered adviserother investment adviser, bank, common control
factForm ADV
→ GUGGENHEIM INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ GUGGENHEIM INVESTMENTSRegistered adviserother investment adviser, bank, common control
factForm ADV
→ GS GAMMA ADVISORS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ GUGGENHEIM WEALTH SOLUTIONS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ GUGGENHEIM CORPORATE FUNDING, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ GUGGENHEIM FUNDS DISTRIBUTORS, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (16)

← SAPERSTEIN, ROBERT, ANDREWOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 6, 2024 to Nov 4, 2024factForm ADV
← DILORENZO, DINA, MARIEOwnerPRESIDENT, ownership code NA, individual
Aug 6, 2024 to Nov 4, 2024factForm ADV
← Stone, SuzanneOwnerHEAD OF CLIENT SERVICE, GUGGENHEIM PRIVATE INVESTMENTS, LLC, ownership code NA, individual
Nov 4, 2024 to Nov 4, 2024factForm ADV
← CONSOLIDATED INVESTMENT SERVICES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Aug 6, 2024 to Nov 4, 2024factForm ADV
← GI HOLDCO II LLCOwnerMEMBER, ownership code E, domestic entity
Aug 6, 2024 to Nov 4, 2024factForm ADV
← GIH BORROWER, LLCOwnerMEMBER, ownership code E, domestic entity
Oct 1, 2024 to Nov 4, 2024factForm ADV
← GIH PARENT, LLCOwnerMEMBER, ownership code E, domestic entity
Oct 1, 2024 to Nov 4, 2024factForm ADV
← GREATBANC TRUST COMPANY, TRUSTEEOwnerTRUSTEE, ownership code F, domestic entity
Aug 6, 2024 to Nov 4, 2024factForm ADV
← GUGGENHEIM CAPITAL, LLCOwnerMEMBER, ownership code E, domestic entity
Aug 6, 2024 to Nov 4, 2024factForm ADV
← GUGGENHEIM INVESTMENT HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Oct 1, 2024 to Nov 4, 2024factForm ADV
← GUGGENHEIM PARTNERS, LLCOwnerMEMBER, ownership code E, domestic entity
Aug 6, 2024 to Nov 4, 2024factForm ADV
← GUGGENHEIM PRIVATE INVESTMENTS HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Oct 1, 2024 to Nov 4, 2024factForm ADV
← SAGE ASSETS, INC.OwnerMEMBER, ownership code C, domestic entity
Aug 6, 2024 to Nov 4, 2024factForm ADV
← SAMMONS CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Aug 6, 2024 to Nov 4, 2024factForm ADV
← SAMMONS ENTERPRISES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Aug 6, 2024 to Nov 4, 2024factForm ADV
← SAMMONS ENTERPRISES, INC. ESOTOwnerSHAREHOLDER, ownership code E, domestic entity
Aug 6, 2024 to Nov 4, 2024factForm ADV

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
Guggenheim Private Investments, Llc reported RAUM $349.5M, up 62% from $216.2M (2026-02-04 to 2026-03-31)
Form ADVobserved 4 days ago
$133M
Occurred
Feb 4, 2026
Regulatory AUM changed
Guggenheim Private Investments, Llc reported RAUM $216.2M, down 93% from $2.9B (2025-05-14 to 2026-02-04)
Form ADVobserved 4 days ago
$-2.7B
Occurred
Mar 31, 2025
Regulatory AUM changed
Guggenheim Private Investments, Llc reported RAUM $2.9B, up 214% from $925.0M (2025-01-07 to 2025-03-31)
Form ADVobserved 4 days ago
$2.0B
Occurred
Nov 4, 2024
Control person joined
Suzanne Stone (Head Of Client Service, Guggenheim Private Investments, Llc) appeared on Schedule A of Guggenheim Private Investments, Llc
Form ADVobserved 4 days ago
Occurred
Aug 6, 2024
First Form ADV filing
Guggenheim Private Investments, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:99a8be9b-2a63-3ab5-bfc5-db3a1912b05f
First observed: Aug 6, 2024
Last observed: Jul 30, 2026 51 days 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 PRIVATE INVESTMENTS, LLC

CRD 331479

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:99a8be9b-2a63-3ab5-bfc5-db3a1912b05f

Data as of Jul 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:13 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CONSOLIDATED INVESTMENT SERVICES, INC.

Shareholder

yes

12/2023

Aug 6, 2024

Nov 4, 2024

DILORENZO, DINA, MARIE

President

yes

08/2024

Aug 6, 2024

Nov 4, 2024

GI HOLDCO II LLC

Member

yes

09/2024

Aug 6, 2024

Nov 4, 2024

GIH BORROWER, LLC

Member

yes

09/2024

Oct 1, 2024

Nov 4, 2024

GIH PARENT, LLC

Member

yes

09/2024

Oct 1, 2024

Nov 4, 2024

GREATBANC TRUST COMPANY, TRUSTEE

Trustee

yes

12/2004

Aug 6, 2024

Nov 4, 2024

GUGGENHEIM CAPITAL, LLC

Member

yes

10/2005

Aug 6, 2024

Nov 4, 2024

GUGGENHEIM INVESTMENT HOLDINGS, LLC

Member

yes

09/2024

Oct 1, 2024

Nov 4, 2024

GUGGENHEIM PARTNERS, LLC

Member

yes

07/2013

Aug 6, 2024

Nov 4, 2024

GUGGENHEIM PRIVATE INVESTMENTS HOLDINGS, LLC

Member

yes

09/2024

Oct 1, 2024

Nov 4, 2024

SAGE ASSETS, INC.

Member

yes

12/2008

Aug 6, 2024

Nov 4, 2024

SAMMONS CORPORATION

Shareholder

yes

12/2023

Aug 6, 2024

Nov 4, 2024

SAMMONS ENTERPRISES, INC.

Shareholder

yes

12/2023

Aug 6, 2024

Nov 4, 2024

SAMMONS ENTERPRISES, INC. ESOT

Shareholder

yes

01/2010

Aug 6, 2024

Nov 4, 2024

SAPERSTEIN, ROBERT, ANDREW

CHIEF COMPLIANCE OFFICER

yes

08/2024

Aug 6, 2024

Nov 4, 2024

Stone, Suzanne

HEAD OF CLIENT SERVICE, GUGGENHEIM PRIVATE INVESTMENTS, LLC

yes

11/2024

Nov 4, 2024

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 CORPORATE FUNDING, LLC

n/a

Asset manager

$11B

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 INVESTMENT ADVISORS, LLC

n/a

Other adviser

$841M

yes

n/a

GUGGENHEIM WEALTH SOLUTIONS, LLC

n/a

Mixed wealth

$371M

yes

n/a

GS GAMMA ADVISORS, LLC

n/a

Asset manager

$299M

yes

n/a

GIM GP, LTD.

n/a

yes

n/a

GUGGENHEIM ENERGY, LLC

n/a

yes

n/a

GUGGENHEIM INVESTMENT ADVISORS (EUROPE), LTD.

n/a

yes

n/a

GUGGENHEIM INVESTOR SERVICES, LLC

n/a

yes

n/a

GUGGENHEIM PARTNERS JAPAN, LTD.

n/a

yes

n/a

GUGGENHEIM PARTNERS MIDDLE EAST LIMITED

n/a

yes

n/a

GUGGENHEIM REAL ESTATE (CA), INC.

n/a

yes

n/a

GUGGENHEIM SECURITIES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Stamford

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$349M

$333M

n/a

2024

Mar 31, 2025

$2.9B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$349M

$2.9B

-88.0%

n/a