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.

Former SEC-registered adviser

Guggenheim Investment Management, LLC

Former SEC-registered adviserNew York, New YorkCRD 117827SEC 801-60745IAPD
Latest filing Mar 30, 2012
First filing on the tape Mar 30, 2012 · 1 filings
RAUM
$33B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
34
$9.3B gross assets
History
1 filings and snapshots on the tape
RAUM: $33B
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: 34
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$419MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$2.9B, 12 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
78reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.9B for 12 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Lawrence Todd Boehly · Managing Partnercontrol
        since 10/2001 · owns less than 5%
      • Robert William Hagner · Chief Legal Officercontrol
        since 08/2005 · owns less than 5%
      • Elizabeth Erin King · Chief Compliance Officercontrol
        since 10/2011 · owns less than 5%
      • Scott Byron Minerd · Chief Investment Officercontrol
        since 04/2010 · owns less than 5%
      • D Stephen Sautel · Senior Managing Directorcontrol
        since 02/2007 · owns less than 5%
      Entity owners
      • Guggenheim Investment Management Holdings, LLC · Member
        direct · owns 75% or more
      • Consolidated Investment Services, Inc. · Shareholder
        indirect · owns 75% or more of Sage Assets, Inc
      • Gp Holdco, LLC · Member
        indirect · owns 75% or more of Gpft Holdco, LLC
      • Gpft Holdco, LLC · Member
        indirect · owns 75% or more of Guggenheim Investment Management Holdings, LLC
      • Guggenheim Capital, LLC · Member
        indirect · owns 75% or more of Guggenheim Partners, LLC
      • Guggenheim Partners, LLC · Member
        indirect · owns 75% or more of Gp Holdco, LLC
      • Sage Assets, Inc · Shareholder
        indirect · owns 25% to 50% of Guggenheim Capital, LLC
      • Sammons Enterprises, Inc. · Shareholder
        indirect · owns 75% or more of Consolidated Investment Services, Inc.
      • Sammons Enterprises, Inc. Esot · Shareholder
        indirect · owns 75% or more of Sammons Enterprises, Inc.
      • Sammons Equity Alliance, Inc. · Shareholder
        indirect · owns 75% or more of Sage Assets
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Houston, TX
      • Santa Monica, CA
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026