DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Guggenheim Investments

Asset manager (funds and pooled vehicles)New York, New YorkCRD 105477SEC 801-8008websiteIAPD
Legal name Security Investors, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 42 filings
SEC status approved since Nov 20, 1971
RAUM
$8.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
42
registered through the firm on IAPD
RAUM per advisor
$190M
derived; firm RAUM over IAPD count
Employees
20
13 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$8.0B as of Mar 31, 2026
Mar 30, 2012$20B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)20 as of Mar 31, 2026
Apr 1, 201373 then
Private funds: no history
RAUM +7.8% over the last fiscal year-2.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
RAUM per advisor
$190MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$74.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.5derivedItem 5.A over advisors
Advisors per office
10.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+7.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$8.0B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
107reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=4.0derived
Advisors registered through the firm
43 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Christopher Zane CosantinoNew York, Ny Oct 26, 201021 y1
Peter Carson SloanNew York, Ny Oct 26, 201033 y1
Dru Francis GirardNew York, Ny Feb 25, 201418 y1
Jonathan David PanoshVacaville, Ca Feb 25, 201414 y1
William F BlattnerOverland Park, Ks Mar 4, 201422 y2
Christopher Vito ParisiChicago, Il Mar 4, 201432 y1
Catherine Junell NettlesNew York, Ny Mar 4, 201421 y2
Lee Tracy PersoneniNew York, Ny Mar 4, 201429 y2
Anthony PiazzaFreehold, Nj Mar 4, 201436 y2
Robert Emmet CoyneBellvue, Wa Mar 4, 201434 y2
John Frederic ChisholmNew York, NyMar 4, 201429 y1
Ryan Thomas CushingElmhurst, Il Mar 4, 201420 y0
Christopher George BradleyHouston, Tx Mar 4, 201430 y2
Peter VlagosChicago, Il Mar 4, 201430 y3
Anthony Joseph SendraChicago, Il Mar 6, 201425 y2
Christopher William TaffeNew York, Ny Mar 6, 201427 y0
Michael Carle GeartyNew York, Ny May 28, 201429 y0
Lauren Ashley AndersonNew York, Ny Jul 8, 201412 y0
Nicholas Daniel OrsiFalmouth, Me Aug 4, 201417 y0
Jacob Charles SchultzNew York, Ny Aug 27, 201415 y0
Matthew V BuccigrossoNew York, Ny Sep 10, 201419 y0
Adam Joseph GodlewskiNew York, Ny Aug 25, 201511 y0
Geri HerroChicag0, Il Sep 8, 201512 y1
Tyler N TumpaneNew York, Ny Feb 14, 201918 y1
Michael HoareHawthorne, Ca Apr 16, 201910 y1
Annmarie WoodsNew York, Ny Sep 4, 202029 y3
Kevin Michael BurkeNew York, Ny Apr 8, 202124 y2
Usman Rahman KhanNew York, Ny May 17, 202210 y2
Nicholas Paul ZelenikaChicago, Il Feb 16, 202414 y0
Brandel Drew BroganChicago, Il Feb 16, 202411 y0
Richard G JaegerGarden City, Ny Nov 7, 202440 y3
Alison Anne Macartney WebsterNew York, NyDec 6, 202413 y0
Emma OaksChicago, Il Dec 10, 202413 y0
Matthew PetrizzoNew York, Ny Jan 17, 202521 y5
Houston Stevana JarvisNew York, NyApr 17, 202511 y1
John Riley CushingNew York, Ny May 23, 202510 y0
Kevin TrucklyNew York, NyAug 12, 202512 y3
Katherine Anne NussNew York, Ny Aug 12, 202515 y0
Johnson Asase JrNew York, NyApr 8, 202613 y3
Zachary KozlowskiNew York, NyJul 27, 202611 y1
All 43 advisors at Guggenheim Investments
Advisor movement
1 left, 4 joined in 12 months
net +3 in 12 months0 left in 90 days3 joined in 90 daysdeparture rate 2.4% of current headcount7 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Roy Dustan Beier · Chief Financial Officer & Treasurercontrol
    since 08/2015 · owns less than 5%
  • Edward Brian Binder · President, Mutual Funds Boards And Sr. Managing Directorcontrol
    since 01/2018 · owns less than 5%
  • Paul Michael Byrum · Sr. Managing Directorcontrol
    since 06/2010 · owns less than 5%
  • Marie Joanna Catalucci · Sr. Managing Directorcontrol
    since 07/2013 · owns less than 5%
  • Leigh Amy Damman · Assistant Treasurercontrol
    since 12/2012 · owns less than 5%
  • Jo Amy Lee · General Counsel, Secretary, And Sr. Managing Directorcontrol
    since 09/1996 · owns less than 5%
  • Marie Margaux Misantone · Chief Compliance Officercontrol
    since 01/2018 · owns less than 5%
  • Nmn Farhan Sharaff · Chief Investment Officer, Equitiescontrol
    since 12/2012 · owns less than 5%
Entity owners
  • Rydex Holdings, LLC · Member
    direct · owns 75% or more
  • Consolidated Investment Services, Inc. · Shareholder
    indirect · owns 75% or more of Sage Assets, Inc.
  • Gi Holdco II LLC · Member
    indirect · owns 75% or more of Gi Holdco LLC
  • Gi Holdco LLC · Member
    indirect · owns 75% or more of Guggenheim Partners Investment Management Holdings, LLC
  • Gmi Gpimh, LLC · Managing Member
    indirect · owns F of Guggenheim Partners Investment Management Holdings, LLC
  • Greatbanc Trust Company, Trustee · Trustee
    indirect · owns F of Sammons Enterprises, Inc. Esot
  • Guggenheim Capital, LLC · Member
    indirect · owns 75% or more of Guggenheim Partners, LLC
  • Guggenheim Capital, LLC · Shareholder
    indirect · owns 75% or more of Guggenheim Manager, Inc.
  • Guggenheim Manager, Inc. · Member
    indirect · owns 75% or more of Gmi Gpimh, LLC
  • Guggenheim Partners Investment Management Holdings, LLC · Member
    indirect · owns 75% or more of Rydex Holdings, LLC
  • Guggenheim Partners, LLC · Member
    indirect · owns 75% or more of Gi Holdco II, LLC
  • Sage Assets, Inc. · Member
    indirect · owns 25% to 50% of Guggenheim Capital, LLC
  • Sammons Corporation · Shareholder
    indirect · owns 75% or more of Consolidated Investment Services, Inc.
  • Sammons Enterprises, Inc. · Shareholder
    indirect · owns 75% or more of Sammons Corporation
  • Sammons Enterprises, Inc. Esot · Shareholder
    indirect · owns 75% or more of Sammons Enterprises, Inc.
Related persons
Schedule D 7.A
Advisers that list Guggenheim Investments as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
New York, Ny · principal4350
Chicago, Il900
Gaithersburg, Md000
Tampa, Fl001
Offices
Schedule D 1.F, the 25 largest
  • Rockville, MD13 employees
  • Overland Park, KS8 employees
  • Santa Monica, CA6 employees
  • Clayton, MO1 employees
  • Chicago, IL
  • Topeka, KS
What changed
consecutive filings, newest first
  • Accounts · 113 to 107
    May 14, 2025 to Mar 31, 2026
  • Pooled vehicle clients · 6 to 0
    May 14, 2025 to Mar 31, 2026
  • Discretionary RAUM · $7.4B to $8.0B
    May 14, 2025 to Mar 31, 2026
  • Pooled vehicle RAUM · $11.3M to $0
    May 14, 2025 to Mar 31, 2026
  • RAUM · $7.4B to $8.0B
    May 14, 2025 to Mar 31, 2026
  • Financial planning clients · unset to
    Mar 31, 2025 to May 14, 2025
  • Accounts · 138 to 113
    Jan 30, 2025 to Mar 31, 2025
  • Advisory employees · 34 to 13
    Jan 30, 2025 to Mar 31, 2025
  • Advisory activities · 3 to 2
    Jan 30, 2025 to Mar 31, 2025
  • BD registered reps · 8 to 4
    Jan 30, 2025 to Mar 31, 2025
  • Charity clients · 1 to 0
    Jan 30, 2025 to Mar 31, 2025
  • Employees · 40 to 20
    Jan 30, 2025 to Mar 31, 2025
  • Insurance-licensed employees · 2 to 0
    Jan 30, 2025 to Mar 31, 2025
  • State-registered IARs · 2 to 0
    Jan 30, 2025 to Mar 31, 2025
  • Other offices · 5 to 3
    Jan 30, 2025 to Mar 31, 2025
  • Discretionary RAUM · $11B to $7.4B
    Jan 30, 2025 to Mar 31, 2025
  • Pooled vehicle RAUM · $22.0M to $11.3M
    Jan 30, 2025 to Mar 31, 2025
  • RAUM · $11B to $7.4B
    Jan 30, 2025 to Mar 31, 2025
  • Advisory activities · 5 to 3
    Apr 8, 2024 to Jan 30, 2025
  • Other offices · 6 to 5
    Apr 8, 2024 to Jan 30, 2025
  • Advisory employees · 33 to 34
    Jan 19, 2024 to Mar 29, 2024
  • Employees · 39 to 40
    Jan 19, 2024 to Mar 29, 2024
  • Insurance-licensed employees · 0 to 2
    Jan 19, 2024 to Mar 29, 2024
  • State-registered IARs · 0 to 2
    Jan 19, 2024 to Mar 29, 2024
  • Discretionary RAUM · $8.7B to $11B
    Jan 19, 2024 to Mar 29, 2024
  • Pooled vehicle RAUM · $15.6M to $22.0M
    Jan 19, 2024 to Mar 29, 2024
  • RAUM · $8.7B to $11B
    Jan 19, 2024 to Mar 29, 2024
  • Advisory employees · 35 to 33
    Jan 20, 2023 to Mar 31, 2023
  • Employees · 41 to 39
    Jan 20, 2023 to Mar 31, 2023
  • Discretionary RAUM · $13B to $8.7B
    Jan 20, 2023 to Mar 31, 2023
  • Pooled vehicle RAUM · $13.1M to $15.6M
    Jan 20, 2023 to Mar 31, 2023
  • RAUM · $13B to $8.7B
    Jan 20, 2023 to Mar 31, 2023
  • Advisory employees · 37 to 35
    Oct 18, 2021 to Mar 31, 2022
  • BD registered reps · 9 to 8
    Oct 18, 2021 to Mar 31, 2022
  • Employees · 43 to 41
    Oct 18, 2021 to Mar 31, 2022
  • Discretionary RAUM · $11B to $13B
    Oct 18, 2021 to Mar 31, 2022
  • Pooled vehicle RAUM · $8.4M to $13.1M
    Oct 18, 2021 to Mar 31, 2022
  • RAUM · $11B to $13B
    Oct 18, 2021 to Mar 31, 2022
  • Accounts · 134 to 138
    Oct 21, 2020 to Mar 31, 2021
  • Advisory employees · 38 to 37
    Oct 21, 2020 to Mar 31, 2021
Signals
24 dated events
  • Charles Walters registered as an investment adviser representative at Guggenheim Investments
    Sep 16, 2026 · Advisor registered · fact
  • Austin Smith left Guggenheim Investments for Morgan Stanley (registered 2025-10-09)
    Oct 3, 2025 · Advisor changed firm · fact
  • Scott Andrew Larsen left Guggenheim Investments for Amplify Etfs (registered 2026-08-10)
    Jun 12, 2025 · Advisor changed firm · fact
  • Mark Richard Skelton left Guggenheim Investments for First Trust Advisors Lp (registered 2025-05-07)
    Apr 25, 2025 · Advisor changed firm · fact
  • Guggenheim Investments reported RAUM $7.4B, down 34% from $11.3B (2025-01-30 to 2025-03-31)
    Mar 31, 2025 · RAUM change · derived
  • Claire Katherine Hemmelgarn left Guggenheim Investments for Russell Investments (registered 2025-04-24)
    Mar 25, 2025 · Advisor changed firm · fact
  • Kurt Allan Petricek left Guggenheim Investments for Zacks Investment Management, Inc. (registered 2026-02-11)
    Feb 5, 2025 · Advisor changed firm · fact
  • Christopher Mcfaddin Clegg left Guggenheim Investments for Calamos Advisors Llc (registered 2024-12-17)
    Dec 11, 2024 · Advisor changed firm · fact
  • Carl Richard Resnick left Guggenheim Investments for Flexible Plan Investments Ltd (registered 2024-10-18)
    Oct 16, 2024 · Advisor changed firm · fact
  • Guggenheim Investments reported RAUM $11.3B, up 29% from $8.7B (2024-01-19 to 2024-03-29)
    Mar 29, 2024 · RAUM change · derived
  • James Patrick Phillips left Guggenheim Investments for First Trust Advisors Lp (registered 2023-07-19)
    Aug 4, 2023 · Advisor changed firm · fact
  • Guggenheim Investments reported RAUM $8.7B, down 33% from $13.0B (2023-01-20 to 2023-03-31)
    Mar 31, 2023 · RAUM change · derived
  • Clinton Paul Barber left Guggenheim Investments for Corient (registered 2023-03-21)
    Feb 27, 2023 · Advisor changed firm · fact
  • Casey Ryan Sletten left Guggenheim Investments for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-02-17)
    Dec 2, 2022 · Advisor changed firm · fact
  • Peter Ratcliffe left Guggenheim Investments for American Beacon Advisors, Inc. (registered 2022-11-14)
    Oct 24, 2022 · Advisor changed firm · fact
  • Patrick Thomas Wright left Guggenheim Investments for First Trust Advisors Lp (registered 2022-09-27)
    Sep 26, 2022 · Advisor changed firm · fact
  • Jonathan Edward Boring left Guggenheim Investments for Advisors Asset Management, Inc. (registered 2022-08-10)
    Aug 2, 2022 · Advisor changed firm · fact
  • Matthew Joseph Komer left Guggenheim Investments for Kera Capital Partners (registered 2022-09-15)
    Jun 21, 2022 · Advisor changed firm · fact
  • Kyle Brown left Guggenheim Investments for First Trust Advisors Lp (registered 2022-06-23)
    Jun 21, 2022 · Advisor changed firm · fact
  • John Thomas Andrews left Guggenheim Investments for Calamos Advisors Llc (registered 2022-11-15)
    Jun 8, 2022 · Advisor changed firm · fact
  • Daniel Christopher Hornbaker left Guggenheim Investments for Howard Capital Management, Llc (registered 2022-01-30)
    Jan 21, 2022 · Advisor changed firm · fact
  • John Daniel Flavin left Guggenheim Investments for Security Global Investors (registered 2009-06-23)
    Jan 13, 2022 · Advisor changed firm · fact
  • Eileen Jennifer Landers (Assistant Chief Compl Officer) no longer on Schedule A of Guggenheim Investments (listed 2020-08-19, absent 2020-10-21)
    Oct 21, 2020 · Control person left · inference
  • Guggenheim Investments reported RAUM $9.3B, down 76% from $38.0B (2018-12-03 to 2019-03-29)
    Mar 29, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Website
GUGGENHEIMINVESTMENTS.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
212-518-9010reportedpublic record, Form ADV, Mar 31, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor
$190Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026