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

Feb 25, 2008earliest registration or exam on IAPD

Years in industry

18derivedfrom the industry start date

Years at current firm

12derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S65|S63

First exam

Feb 25, 2008

First registration

Jul 20, 2010

Dual registered

yes, broker-dealer

IAPD individual key

5338959

Graph

RIA / Wealth Management

Canonical id

dfx:ria:9a85408f-71fe-d014-c436-16868ebbdd91

First observed

Jul 20, 2010

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.