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

Jul 2, 1993earliest registration or exam on IAPD

Years in industry

33derivedfrom the industry start date

Years at current firm

15derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Jul 2, 1993

First registration

Jan 26, 2009

Dual registered

yes, broker-dealer

IAPD individual key

2341641

Graph

RIA / Wealth Management

Canonical id

dfx:ria:ca83230b-2854-19bf-efa5-a816025f4306

First observed

Jan 26, 2009

Last observed

Sep 15, 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.