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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

GUGGENHEIM ADVISORS, LLC

CRD 124435

NEW YORK, NY

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Search this name across graphsid dfx:ria:ada469ce-9ddd-2c23-decd-7871efd9270f

Data as of Jan 18, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 44
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Jan 18, 2013
4 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: $722MItem 5.F on the latest filing (2013-01-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $343M
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: 43
Advisory employees: 16
Accounts: 16
Private funds: 30Schedule D 7.B(1)
Private fund GAV: $1.4Bgross asset value as reported per fund; never fund size
Custody, client assets: $607M
SEC number: 801-61978
CRD: 124435
Filings on the tape: 4
First filed: Mar 30, 2012
Latest filed: Jan 18, 2013
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31; showing 25 of 29

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
GUGGENHEIM ADVISORS SELECT FUND II, LP	Hedge Fund	$354M	Jan 18, 2013	2	Mar 30, 2012	reported	n/a
GPC 83, LLC	Hedge Fund	$134M	Jan 18, 2013	5	Mar 30, 2012	reported	n/a
GUGGENHEIM PORTFOLIO COMPANY X, LLC	Hedge Fund	$97.5M	Jan 18, 2013	7	Mar 30, 2012	reported	n/a
GUGGENHEIM ADVISORS SELECT FUND IV, L.P.	Hedge Fund	$96.0M	Jan 18, 2013	3	Mar 30, 2012	reported	n/a
GUGGENHEIM PARTNERS EQUITY OPPORTUNITY FUND, LP	Hedge Fund	$94.0M	Jan 18, 2013	2	Mar 30, 2012	reported	n/a
GPC 93, LLC	Hedge Fund	$85.9M	Jan 18, 2013	1	Mar 30, 2012	reported	n/a
GUGGENHEIM PARTNERS SELECT MULTI-STRATEGY FUND, LP	Hedge Fund	$78.3M	Jan 18, 2013	4	Mar 30, 2012	reported	n/a
GPC 88, LLC	Hedge Fund	$63.8M	Jan 18, 2013	5	Mar 30, 2012	reported	n/a
GUGGENHEIM PORTFOLIO COMPANY XI, LLC	Hedge Fund	$58.1M	Jan 18, 2013	5	Mar 30, 2012	reported	n/a
GUGGENHEIM PORTFOLIO COMPANY XXIII, LLC	Hedge Fund	$52.8M	Jan 18, 2013	4	Mar 30, 2012	reported	n/a
GPC 75, LLC	Hedge Fund	$44.7M	Jan 18, 2013	5	Mar 30, 2012	reported	n/a
GUGGENHEIM ADVISORS SELECT FUND V, LLC	Hedge Fund	$42.1M	Jan 18, 2013	2	Mar 30, 2012	reported	n/a
GPC 76, LLC	Hedge Fund	$38.5M	Jan 18, 2013	3	Mar 30, 2012	reported	n/a
GPC LXIV, LLC	Hedge Fund	$33.6M	Jan 18, 2013	6	Mar 30, 2012	reported	n/a
GPC 97, LLC	Hedge Fund	$31.7M	Jan 18, 2013	3	Feb 2, 2012	reported	n/a
GUGGENHEIM ADVISORS SELECT FUND VII, LP	Hedge Fund	$24.2M	Jan 18, 2013	1	Mar 30, 2012	reported	n/a
GPC 66, LLC	Hedge Fund	$23.1M	Jan 18, 2013	4	Mar 30, 2012	reported	n/a
GUGGENHEIM ADVISORS LIQUIDITY FUND, L.P.	Hedge Fund	$19.1M	Jan 18, 2013	2	Mar 30, 2012	reported	n/a
GPC (LP) 2, LLC	Hedge Fund	$6.3M	Jan 18, 2013	8	Mar 30, 2012	reported	n/a
GUGGENHEIM PARTNERS PRISM OPPORTUNITY FUND, LP	Hedge Fund	$4.1M	Jan 18, 2013	2	Mar 30, 2012	reported	n/a
GPC 98, LLC	Hedge Fund	$2.5M	Jan 18, 2013	4	Mar 30, 2012	reported	n/a
GUGGENHEIM PORTFOLIO COMPANY VII, LLC	Hedge Fund	$1.7M	Jan 18, 2013	6	Mar 30, 2012	reported	n/a
GPC LVIII, LLC	Hedge Fund	$1.5M	Jan 18, 2013	6	Mar 30, 2012	reported	n/a
GUGGENHEIM PARTNERS PRISM FUND, LP	Hedge Fund	$1.3M	Jan 18, 2013	6	Mar 30, 2012	reported	n/a
GUGGENHEIM PORTFOLIO COMPANY XII, LLC	Hedge Fund	$813,248	Jan 18, 2013	5	Mar 30, 2012	reported	n/a

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
CHRIST, MICHAEL, JAMES	SENIOR EXECUTIVE	Na	yes	02/2011	Mar 30, 2012	Jan 18, 2013
CONSOLIDATED INVESTMENT SERVICES, INC.	Shareholder	E	yes	07/2011	Mar 30, 2012	Jan 18, 2013
GP HOLDCO, LLC	Member	E	yes	10/2007	Mar 30, 2012	Jan 18, 2013
GPFT HOLDCO, LLC	Member	E	yes	08/2009	Mar 30, 2012	Jan 18, 2013
GUGGENHEIM ALTERNATIVE ASSET MANAGEMENT, LLC ("GAAM")	Member	E	yes	07/2002	Mar 30, 2012	Jan 18, 2013
GUGGENHEIM CAPITAL, LLC	Member	E	yes	10/2005	Mar 30, 2012	Jan 18, 2013
GUGGENHEIM PARTNERS, LLC	Member	E	yes	10/2007	Mar 30, 2012	Jan 18, 2013
REZAK, ADAM, MARC	CHIEF COMPLIANCE OFFICER	Na	yes	02/2011	Mar 30, 2012	Jan 18, 2013
SAGE ASSETS, INC.	Member	C	yes	12/2008	Mar 30, 2012	Jan 18, 2013
SAMMONS ENTERPRISES, INC.	Shareholder	E	yes	12/2008	Mar 30, 2012	Jan 18, 2013
SAMMONS ENTERPRISES, INC. ESOT	Shareholder	E	yes	03/2010	Mar 30, 2012	Jan 18, 2013
SAMMONS EQUITY ALLIANCE, INC.	Shareholder	E	yes	07/2011	Mar 30, 2012	Jan 18, 2013

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 FUND SOLUTIONS, LLC	n/a	Former SEC adviser	$2.9B	N	yes	n/a
ASSET CONSULTING GROUP, LLC	n/a	Mixed wealth	$1.1B	N	yes	n/a
GUGGENHEIM INVESTMENT ADVISORS, LLC	n/a	Other adviser	$841M	N	yes	n/a
GP FEEDER FUND MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a
GUGGENHEIM ADVISORS (CAYMAN) LTD.	n/a	n/a	n/a	Y	yes	n/a
GUGGENHEIM INVESTMENT ADVISORS (HONG KONG) LIMITED	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 LIFE AND ANNUITY COMPANY	n/a	n/a	n/a	N	yes	n/a
GUGGENHEIM PARTNERS INDIA MANAGEMENT, 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
SANTA MONICA	CA	United States	n/a	no
Chicago	IL	United States	n/a	no
ST LOUIS	Mo	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	$722M	$343M	n/a	n/a	n/a	30	$1.4B

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	$722M	n/a	n/a	n/a	n/a	43	n/a	n/a	n/a

Relationships

Affiliated with (3)

→ ASSET CONSULTING GROUP, LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ GUGGENHEIM INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ GUGGENHEIM FUND SOLUTIONS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Advises (29)

→ GUGGENHEIM PARTNERS PRISM OPPORTUNITY FUND, LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM ADVISORS SELECT FUND VII, LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM ADVISORS SELECT FUND III, LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM PARTNERS PRISM FUND, LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM ADVISORS SELECT FUND II, LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GPC 83, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GPC 98, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM PORTFOLIO COMPANY XI, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GPC 76, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GPC (LP) 2, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GPC 88, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM PARTNERS PRISM FUND II, LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GPC LVIII, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM PARTNERS SELECT STATE FUND, LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM PORTFOLIO COMPANY X, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM ADVISORS SELECT FUND IV, L.P.Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM ADVISORS LIQUIDITY FUND, L.P.Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GPC 75, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM ADVISORS SELECT FUND V, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM PORTFOLIO COMPANY VII, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GPC LXIV, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GPC 93, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GPC 66, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM PARTNERS EQUITY OPPORTUNITY FUND, LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GPC 97, LLCPrivate fundHedge Fund, IA
Feb 2, 2012 to presentfactForm ADV
→ GUGGENHEIM PARTNERS SELECT MULTI-STRATEGY FUND, LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM PORTFOLIO COMPANY XXIII, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GPC LIX, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ GUGGENHEIM PORTFOLIO COMPANY XII, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV

Controls (12)

← REZAK, ADAM, MARCOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← CHRIST, MICHAEL, JAMESOwnerSENIOR EXECUTIVE, 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 ALTERNATIVE ASSET MANAGEMENT, LLC ("GAAM")OwnerMEMBER, 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 PARTNERS, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← SAGE ASSETS, INC.OwnerMEMBER, 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:ada469ce-9ddd-2c23-decd-7871efd9270f
First observed: Mar 30, 2012
Last observed: Jan 18, 2013 166 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 ADVISORS, LLC

CRD 124435

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:ada469ce-9ddd-2c23-decd-7871efd9270f

Data as of Jan 18, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:36 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

GUGGENHEIM ADVISORS SELECT FUND II, LP

Hedge Fund

$354M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GPC 83, LLC

Hedge Fund

$134M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GUGGENHEIM PORTFOLIO COMPANY X, LLC

Hedge Fund

$97.5M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GUGGENHEIM ADVISORS SELECT FUND IV, L.P.

Hedge Fund

$96.0M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GUGGENHEIM PARTNERS EQUITY OPPORTUNITY FUND, LP

Hedge Fund

$94.0M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GPC 93, LLC

Hedge Fund

$85.9M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GUGGENHEIM PARTNERS SELECT MULTI-STRATEGY FUND, LP

Hedge Fund

$78.3M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GPC 88, LLC

Hedge Fund

$63.8M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GUGGENHEIM PORTFOLIO COMPANY XI, LLC

Hedge Fund

$58.1M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GUGGENHEIM PORTFOLIO COMPANY XXIII, LLC

Hedge Fund

$52.8M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GPC 75, LLC

Hedge Fund

$44.7M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GUGGENHEIM ADVISORS SELECT FUND V, LLC

Hedge Fund

$42.1M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GPC 76, LLC

Hedge Fund

$38.5M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GPC LXIV, LLC

Hedge Fund

$33.6M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GPC 97, LLC

Hedge Fund

$31.7M

Jan 18, 2013

Feb 2, 2012

reported

n/a

GUGGENHEIM ADVISORS SELECT FUND VII, LP

Hedge Fund

$24.2M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GPC 66, LLC

Hedge Fund

$23.1M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GUGGENHEIM ADVISORS LIQUIDITY FUND, L.P.

Hedge Fund

$19.1M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GPC (LP) 2, LLC

Hedge Fund

$6.3M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GUGGENHEIM PARTNERS PRISM OPPORTUNITY FUND, LP

Hedge Fund

$4.1M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GPC 98, LLC

Hedge Fund

$2.5M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GUGGENHEIM PORTFOLIO COMPANY VII, LLC

Hedge Fund

$1.7M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GPC LVIII, LLC

Hedge Fund

$1.5M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GUGGENHEIM PARTNERS PRISM FUND, LP

Hedge Fund

$1.3M

Jan 18, 2013

Mar 30, 2012

reported

n/a

GUGGENHEIM PORTFOLIO COMPANY XII, LLC

Hedge Fund

$813,248

Jan 18, 2013

Mar 30, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHRIST, MICHAEL, JAMES

SENIOR EXECUTIVE

yes

02/2011

Mar 30, 2012

Jan 18, 2013

CONSOLIDATED INVESTMENT SERVICES, INC.

Shareholder

yes

07/2011

Mar 30, 2012

Jan 18, 2013

GP HOLDCO, LLC

Member

yes

10/2007

Mar 30, 2012

Jan 18, 2013

GPFT HOLDCO, LLC

Member

yes

08/2009

Mar 30, 2012

Jan 18, 2013

GUGGENHEIM ALTERNATIVE ASSET MANAGEMENT, LLC ("GAAM")

Member

yes

07/2002

Mar 30, 2012

Jan 18, 2013

GUGGENHEIM CAPITAL, LLC

Member

yes

10/2005

Mar 30, 2012

Jan 18, 2013

GUGGENHEIM PARTNERS, LLC

Member

yes

10/2007

Mar 30, 2012

Jan 18, 2013

REZAK, ADAM, MARC

CHIEF COMPLIANCE OFFICER

yes

02/2011

Mar 30, 2012

Jan 18, 2013

SAGE ASSETS, INC.

Member

yes

12/2008

Mar 30, 2012

Jan 18, 2013

SAMMONS ENTERPRISES, INC.

Shareholder

yes

12/2008

Mar 30, 2012

Jan 18, 2013

SAMMONS ENTERPRISES, INC. ESOT

Shareholder

yes

03/2010

Mar 30, 2012

Jan 18, 2013

SAMMONS EQUITY ALLIANCE, INC.

Shareholder

yes

07/2011

Mar 30, 2012

Jan 18, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GUGGENHEIM FUND SOLUTIONS, LLC

n/a

Former SEC adviser

$2.9B

yes

n/a

ASSET CONSULTING GROUP, LLC

n/a

Mixed wealth

$1.1B

yes

n/a

GUGGENHEIM INVESTMENT ADVISORS, LLC

n/a

Other adviser

$841M

yes

n/a

GP FEEDER FUND MANAGEMENT, LLC

n/a

yes

n/a

GUGGENHEIM ADVISORS (CAYMAN) LTD.

n/a

yes

n/a

GUGGENHEIM INVESTMENT ADVISORS (HONG KONG) LIMITED

n/a

yes

n/a

GUGGENHEIM INVESTOR SERVICES, LLC

n/a

yes

n/a

GUGGENHEIM LIFE AND ANNUITY COMPANY

n/a

yes

n/a

GUGGENHEIM PARTNERS INDIA MANAGEMENT, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SANTA MONICA

United States

n/a

Chicago

United States

n/a

ST LOUIS

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$722M

$343M

n/a

$1.4B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$722M

n/a