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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

Matthew Petrizzo

Advisor at GUGGENHEIM INVESTMENTS

NEW YORK, NY | Coloma, MI

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Search this name across graphsid dfx:ria:cb45774d-c1dc-a0c9-dda9-ca55c7fb633d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 27, 2005 to Sep 14, 2026

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

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: Dec 13, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Dec 13, 2004
First registration: May 27, 2005
Dual registered: yes, broker-dealer
Other names: MATTHEW ROSARIO PETRIZZO
IAPD individual key: 4853470

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
GUGGENHEIM INVESTMENTS	Asset manager	Jan 17, 2025	n/a	yes	NEW YORK, NY\|Coloma, MI	Current employment
GUGGENHEIM INVESTMENTS	Asset manager	Oct 10, 2014	Sep 9, 2024	no	CHICAGO, IL\|NEW YORK, NY	Previous registration
ADVISORS ASSET MANAGEMENT, INC.	Mixed wealth	Apr 5, 2010	Oct 13, 2014	no	LISLE, IL	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	May 15, 2008	Apr 12, 2010	no	Palos Heights, IL	Previous registration
VAN KAMPEN ADVISORS INC	n/a	Jul 26, 2006	May 14, 2008	no	HOUSTON, TX	Previous registration
GUGGENHEIM INVESTMENTS	Asset manager	May 27, 2005	Jul 21, 2006	no	CHICAGO, IL\|LISLE, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ADVISORS ASSET MANAGEMENT, INC.	GUGGENHEIM INVESTMENTS	Oct 13, 2014	Oct 10, 2014	-3	Firm change	Other
RBC CAPITAL MARKETS, LLC	ADVISORS ASSET MANAGEMENT, INC.	Apr 12, 2010	Apr 5, 2010	-7	Firm change	Other
VAN KAMPEN ADVISORS INC	RBC CAPITAL MARKETS, LLC	May 14, 2008	May 15, 2008	1	Firm change	Other
GUGGENHEIM INVESTMENTS	VAN KAMPEN ADVISORS INC	Jul 21, 2006	Jul 26, 2006	5	Firm change	Other

Relationships

Registered with (5)

→ GUGGENHEIM INVESTMENTSRegistered adviserregistration: previous registration
Oct 10, 2014 to Sep 9, 2024factForm ADV
→ ADVISORS ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 5, 2010 to Oct 13, 2014factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
May 15, 2008 to Apr 12, 2010factForm ADV
→ VAN KAMPEN ADVISORS INCRegistered adviserregistration: previous registration
Jul 26, 2006 to May 14, 2008factForm ADV
→ GUGGENHEIM INVESTMENTSRegistered adviserregistration: previous registration
May 27, 2005 to Jul 21, 2006factForm ADV

Dated events

No dated event names this entity yet.