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.
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SEC-registered adviser
G••••••••• I••••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 33 filings
SEC status approved since Jul 18, 2000
RAUM
$841M
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
1.8%
$15.0M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$280M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$841M as of Mar 31, 2026
Mar 30, 2012$694M then
HNW client RAUM$15.0M as of Mar 31, 2026
Mar 28, 2024$16.2M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 27, 201315 then
Employees (5.A)9 as of Mar 31, 2026
Mar 27, 201339 then
Private funds5 as of Mar 30, 2016
Mar 30, 201211 then
RAUM +61% over the last fiscal year+29% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $280MderivedRAUM 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
- $14.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +61%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- 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
- Corporations and businesses$826M98%
- High-net-worth individuals$15.0M1.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 58reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.02 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••• M•••• D•••••••• | New York, Ny | Feb 2, 2010 | 30 y | 2 |
| S•••••• S•••• | New York, Ny | Sep 17, 2014 | 13 y | 0 |
| J•••• N••••• C•••••• | New York, Ny | Apr 8, 2024 | 16 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••••• R••• R•••••••• to A•••••• W••••• M••••••••• L••May 8, 2014 · Other
- A•••••••• T•••••• to W•••••• B•••• • C•••••• L•••••Mar 15, 2012 · Other
- G•••••• H••••••••• to A••• W••••• M••••••••• •• I••••••••• I•••Jun 9, 2010 · Other
- R•••••• C••••••• D• L• S•••• to A••••••• I••••••••• M••••••• •••• L••Jun 9, 2010 · Other
- J••• F•••• R••• to A••••••• I••••••••• M••••••• •••• L••Jun 9, 2010 · Other
- M••••• E• Z•••••• to A••• W••••• M••••••••• •• I••••••••• I•••Jun 9, 2010 · Other
- S••••• W•••• C••••• to A••• W••••• M••••••••• •• I••••••••• I•••Jun 9, 2010 · Other
- M•••• C••••••• C••• to A••• W••••• M••••••••• •• I••••••••• I•••Jun 9, 2010 · Other
- P•••• E•••• to E••• A•••• M••••••••• L••Nov 6, 2009 · Other
- W••••• C••••••• R•••••••• to H••• I••••••••• G••••Feb 9, 2009 · Other
- B•••• J••••• K••••••• to A•••• A••••••• A••••••• I•••Dec 22, 2008 · Other
- S•••••• R•••••• K••••••• to S•••••• O•• A•••••••• L••Apr 18, 2008 · Other
- I•••••• G•••••• P••••••• to B••••• P•••••••• L••Jan 17, 2008 · Other
- G••••••• T• M••••••••• to M••••• S•••••• • C•• L••Mar 5, 2007 · Other
- C••••• H•••••••• to S•••• C•••••• W••••• M••••••••• I••Jul 7, 2006 · Other
Joined, latest
- J•••• N••••• C•••••• from A••• W••••• M••••••••• •• I••••••••• I•••Apr 8, 2024 · Other
- A•••••••• T•••••• from G••••••••• I•••••••••Feb 17, 2012 · Other
- D••• M•••• D•••••••• from A•••• C••••••••• G••••• L••Feb 2, 2010 · Other
- W••••• C••••••• R•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 19, 2008 · Other
- S•••••• R•••••• K••••••• from S•• A•••••••• I•••Apr 25, 2007 · Other
Private funds
12 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- D••••••••• D•••• M•••• · Headcontrolsince 03/2012 · owns less than 5%
- M••••••• C••••••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
Entity owners
- G•• H•••••• L•• · Memberdirect · owns 75% or more
- C••••••••• I••••••••• S•••••••• I••• · Shareholderindirect · owns 75% or more of S••• A•••••• I••
- G•••••••• T•••• C••••••• T•••••• · T••••••indirect · owns F of S•••••• E••••••••• I••• E•••
- G••••••••• C••••••• L•• · Memberindirect · owns 75% or more of G••••••••• P•••••••• L••
- G••••••••• C••••••• L•• · Shareholderindirect · owns 75% or more of G••••••••• M••••••• I•••
- G••••••••• M••••••• I••• · Managing Memberindirect · owns F of G•• H•••••• L••
- G••••••••• P•••••••• L•• · Memberindirect · owns 75% or more of G•• H•••••• L••
- S••• A•••••• I•• · Memberindirect · owns 25% to 50% of G••••••••• C••••••• L••
- S•••••• C••••••••• · Shareholderindirect · owns 75% or more of C••••••••• I••••••••• S•••••••• I•••
- S•••••• E••••••••• I••• · Shareholderindirect · owns 75% or more of S•••••• C•••••••••
- S•••••• E••••••••• I••• E••• · Shareholderindirect · owns 75% or more of S•••••• E••••••••• I•••
Related persons
Schedule D 7.A
- G•• G•• L•••pooled vehicle sponsorn
- G• G•••• A•••••••• L••investment adviserbanknRAUM $299M
- G••••••••• C•••••••• F••••••• L••investment adviserbanknRAUM $11B
- G••••••••• E••••• L••pooled vehicle sponsorn
- G••••••••• F•••• D••••••••• L••broker-dealerinvestment advisernRAUM $7.8B
- G••••••••• I•••••••••investment adviserbanknRAUM $4.1B
- G••••••••• I••••••••• A••••••• ••••••• L••••••investment advisern
- G••••••••• I••••••• S•••••••• L••broker-dealern
- G••••••••• Wealth Solutions, LLCinvestment advisernRAUM $371M
- G••••••••• P••••••• E••••• L••••••investment advisern
- G••••••••• P••••••• I••••••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $241B
- G••••••••• P••••••• J••••• L•••broker-dealerinvestment advisern
- G••••••••• P••••••• M••••• E••• L••••••broker-dealerinvestment advisern
- G••••••••• R••• E••••• •••• I•••investment companyn
- G••••••••• S••••••••• E••••• L••••••broker-dealern
- G••••••••• S••••••••• I••••••••• L•••broker-dealern
- G••••••••• S••••••••• R••••••• S•••••••• L••investment advisern
- G••••••••• S••••••••• L••broker-dealern
- G••••••••• I•••••••••investment adviserbanknRAUM $8.0B
Advisers that list G••••••••• I••••••••• A•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL5 employees
- Darien, CT1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 51.0% to 68.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: other advisers, $500M to $1B (95)
What changed
consecutive filings, newest first
- Accounts · 54 to 58May 14, 2025 to Mar 31, 2026
- Advisory employees · 9 to 8May 14, 2025 to Mar 31, 2026
- Corporate clients · 23 to 25May 14, 2025 to Mar 31, 2026
- Employees · 10 to 9May 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $268M to $571MMay 14, 2025 to Mar 31, 2026
- HNW RAUM · $14.7M to $15.0MMay 14, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $254M to $270MMay 14, 2025 to Mar 31, 2026
- RAUM · $522M to $841MMay 14, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to May 14, 2025
- Accounts · 57 to 54Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 10 to 9Mar 28, 2024 to Mar 31, 2025
- Employees · 11 to 10Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $690M to $268MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $16.2M to $14.7MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $186M to $254MMar 28, 2024 to Mar 31, 2025
- RAUM · $876M to $522MMar 28, 2024 to Mar 31, 2025
- Accounts · 4 to 57Nov 1, 2023 to Mar 28, 2024
- Advisory employees · 8 to 10Nov 1, 2023 to Mar 28, 2024
- Advisory activities · 1 to 2Nov 1, 2023 to Mar 28, 2024
- Corporate clients · unset to 23.0Nov 1, 2023 to Mar 28, 2024
- Employees · 10 to 11Nov 1, 2023 to Mar 28, 2024
- State-registered IARs · 2 to 3Nov 1, 2023 to Mar 28, 2024
- Discretionary RAUM · $392M to $690MNov 1, 2023 to Mar 28, 2024
- HNW RAUM · unset to 16203414.0Nov 1, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $186MNov 1, 2023 to Mar 28, 2024
- RAUM · $392M to $876MNov 1, 2023 to Mar 28, 2024
- Other offices · 1 to 2Mar 31, 2023 to Jun 20, 2023
- Financial planning clients · unset to 0Nov 3, 2022 to Mar 31, 2023
- Discretionary RAUM · $439M to $392MNov 3, 2022 to Mar 31, 2023
- RAUM · $439M to $392MNov 3, 2022 to Mar 31, 2023
- Accounts · 3 to 4Mar 31, 2021 to Mar 31, 2022
- Employees · 12 to 10Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $2.3B to $439MMar 31, 2021 to Mar 31, 2022
- RAUM · $2.3B to $439MMar 31, 2021 to Mar 31, 2022
- BD registered reps · 3 to 2Sep 18, 2020 to Mar 31, 2021
- Employees · 14 to 12Sep 18, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.9B to $2.3BSep 18, 2020 to Mar 31, 2021
- RAUM · $1.9B to $2.3BSep 18, 2020 to Mar 31, 2021
- BD registered reps · 4 to 3Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $9.0B to $1.9BMar 29, 2019 to Mar 30, 2020
Signals
13 dated events
- G••••••••• I••••••••• A•••••••• L•• reported RAUM $840.9M, up 61% from $522.0M (2025-05-14 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- G••••••••• I••••••••• A•••••••• L•• reported RAUM $522.0M, down 40% from $876.5M (2024-03-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- G••••••••• I••••••••• A•••••••• L•• reported RAUM $876.5M, up 124% from $391.6M (2023-11-01 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- C••••••••• M•••••• (Chief Compliance Officer) appeared on Schedule A of G••••••••• I••••••••• A•••••••• L••Mar 28, 2024 · Control person joined · fact
- E Kerri Cain (Chief Compliance Officer) no longer on Schedule A of G••••••••• I••••••••• A•••••••• L•• (listed 2023-11-01, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- E Kerri Cain (Chief Compliance Officer) appeared on Schedule A of G••••••••• I••••••••• A•••••••• L••Mar 31, 2023 · Control person joined · fact
- Frederick Justin Nasatir (Chief Compliance Officer) no longer on Schedule A of G••••••••• I••••••••• A•••••••• L•• (listed 2022-11-03, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- G••••••••• I••••••••• A•••••••• L•• reported RAUM $439.3M, down 81% from $2.3B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Frederick Justin Nasatir (Chief Compliance Officer) appeared on Schedule A of G••••••••• I••••••••• A•••••••• L••Sep 18, 2020 · Control person joined · fact
- Ryan Dennis Metzger (Chief Compliance Officer) no longer on Schedule A of G••••••••• I••••••••• A•••••••• L•• (listed 2020-03-30, absent 2020-09-18)Sep 18, 2020 · Control person left · inference
- Ryan Dennis Metzger (Chief Compliance Officer) appeared on Schedule A of G••••••••• I••••••••• A•••••••• L••Mar 30, 2020 · Control person joined · fact
- Caroline Georgia Mcfarland (Chief Compliance Officer) no longer on Schedule A of G••••••••• I••••••••• A•••••••• L•• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- G••••••••• I••••••••• A•••••••• L•• reported RAUM $1.9B, down 79% from $9.0B (2019-03-29 to 2020-03-30)Mar 30, 2020 · 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
- Business phone
- 212-518-9200reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-345-7999reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- G•••••••••PARTNERS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-739-0700reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- guggenheimpartners.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $280Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026