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CRD 300895
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| GUGGENHEIM MM CLO 2023-6, LLC | Securitized Asset Fund | $475M | Dec 3, 2024 | 1 | Mar 29, 2024 | reported | n/a |
| GUGGENHEIM MM-C CLO 2023-5, LLC | Securitized Asset Fund | $443M | Dec 3, 2024 | 2 | Mar 29, 2024 | reported | n/a |
| GUGGENHEIM MM CLO 2021-4, LTD. | Securitized Asset Fund | $431M | Dec 3, 2024 | 2 | Mar 31, 2022 | reported | n/a |
| GUGGENHEIM MM CLO 2021-3, LTD. | Securitized Asset Fund | $420M | Dec 3, 2024 | 2 | Mar 31, 2022 | reported | n/a |
| GUGGENHEIM INVESTMENTS PRIVATE DEBT FUND IV GUARDIAN (U), L.P. | Private Equity Fund | $419M | Dec 3, 2024 | 1 | Aug 23, 2024 | reported | 021-518538 |
| GUGGENHEIM PRIVATE DEBT AGGREGATION - A FEEDER, L.P. | Private Equity Fund | $295M | Dec 3, 2024 | 11 | Aug 23, 2024 | reported | n/a |
| GUGGENHEIM PRIVATE DEBT AGGREGATION - B FEEDER, L.P. | Private Equity Fund | $289M | Dec 3, 2024 | 15 | Aug 23, 2024 | reported | n/a |
| GUGGENHEIM INVESTMENTS PRIVATE DEBT FUND IV-B, L.P. | Hedge Fund | $0 | Dec 3, 2024 | 0 | Mar 29, 2024 | reported | n/a |
| GUGGENHEIM INVESTMENTS PRIVATE DEBT FUND IV-A, L.P. | Hedge Fund | $0 | Dec 3, 2024 | 0 | Mar 29, 2024 | reported | n/a |
| GUGGENHEIM MM CLO 2024-7, LLC | Securitized Asset Fund | $0 | Dec 3, 2024 | 1 | Mar 29, 2024 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CONSOLIDATED INVESTMENT SERVICES, INC. | Shareholder | E | yes | 12/2023 | Mar 25, 2019 | Dec 3, 2024 |
| GI HOLDCO II LLC | Member | E | yes | 07/2013 | Mar 25, 2019 | Dec 3, 2024 |
| GI HOLDCO LLC | Member | E | yes | 11/2024 | Mar 25, 2019 | Dec 3, 2024 |
| GIH BORROWER, LLC | Member | E | yes | 11/2024 | Dec 3, 2024 | Dec 3, 2024 |
| GIH PARENT, LLC | Member | E | yes | 11/2024 | Dec 3, 2024 | Dec 3, 2024 |
| GMI GPIMH, LLC | MANAGING MEMBER | F | yes | 11/2024 | Mar 25, 2019 | Dec 3, 2024 |
| GREATBANC TRUST COMPANY, TRUSTEE | Trustee | F | yes | 12/2004 | Mar 25, 2019 | Dec 3, 2024 |
| GUGGENHEIM CAPITAL, LLC | Member | E | yes | 10/2005 | Mar 25, 2019 | Dec 3, 2024 |
| GUGGENHEIM CAPITAL, LLC | Shareholder | E | yes | 11/2000 | Mar 25, 2019 | Dec 3, 2024 |
| GUGGENHEIM INVESTMENTS HOLDINGS, LLC | Member | E | yes | 11/2024 | Dec 3, 2024 | Dec 3, 2024 |
| GUGGENHEIM MANAGER, INC. | Member | E | yes | 07/2013 | Mar 25, 2019 | Dec 3, 2024 |
| GUGGENHEIM PARTNERS, LLC | Member | E | yes | 07/2013 | Mar 25, 2019 | Dec 3, 2024 |
| GUGGENHEIM PRIVATE INVESTMENTS HOLDINGS, LLC | Member | E | yes | 11/2024 | Dec 3, 2024 | Dec 3, 2024 |
| GUNDERSEN, KEVIN HANS | SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE | Na | yes | 12/2019 | Feb 2, 2020 | Dec 3, 2024 |
| SAGE ASSETS, INC. | Member | C | yes | 12/2008 | Mar 25, 2019 | Dec 3, 2024 |
| SAMMONS CORPORATION | Shareholder | E | yes | 12/2023 | Mar 29, 2024 | Dec 3, 2024 |
| SAMMONS ENTERPRISES, INC. | Shareholder | E | yes | 12/2023 | Mar 25, 2019 | Dec 3, 2024 |
| SAMMONS ENTERPRISES, INC. ESOT | Shareholder | E | yes | 01/2010 | Mar 25, 2019 | Dec 3, 2024 |
| SAPERSTEIN, ROBERT ANDREW | CHIEF COMPLIANCE OFFICER - IA | Na | yes | 01/2023 | Jan 20, 2023 | Dec 3, 2024 |
| 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 |
| 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 |
| GUGGENHEIM PRIVATE INVESTMENTS, LLC | n/a | Asset manager | $349M | 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 INVESTMENTS PRIVATE DEBT FUND IV GP, 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 PARTNERS EUROPE, LTD. | 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 EUROPE LIMITED | n/a | n/a | n/a | N | yes | n/a |
| GUGGENHEIM SECURITIES INTERNATIONAL LTD | n/a | n/a | n/a | N | yes | n/a |
| GUGGENHEIM SECURITIES RESEARCH 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 |
| TRANSPARENT VALUE PRIVATE LIMITED | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SANTA MONICA | CA | United States | 1 | no |
| Stamford | Ct | United States | 1 | no |
| Chicago | IL | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $11B | $8.1B | 16 | 15 | 3 | 16 | n/a |
| 2024 | Apr 29, 2025 | $9.0B | $5.8B | 14 | 13 | 3 | 13 | n/a |
| 2023 | Mar 29, 2024 | $8.0B | $2.7B | 13 | 12 | 3 | 7 | $1.8B |
| 2022 | Mar 31, 2023 | $8.1B | $1.6B | 13 | 11 | 0 | 2 | $809M |
| 2021 | Mar 31, 2022 | $6.1B | $950M | 9 | 8 | 0 | 2 | $812M |
| 2020 | Mar 31, 2021 | $2.6B | $0 | 3 | 1 | 0 | n/a | n/a |
| 2019 | Mar 30, 2020 | $2.5B | $0 | 3 | 1 | 0 | n/a | 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 | $11B | $9.0B | 25.0% | $8.1B | 11.8% | 16 | 14 | 3 | 3 |