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)Chicago, IllinoisCRD 129288SEC 801-62515websiteIAPD
Legal name Guggenheim Funds Investment Advisors, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 33 filings
SEC status approved since Nov 17, 2003
RAUM
$4.1B
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
5
0 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$4.1B as of Mar 31, 2026
Mar 29, 2012$7.0B 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 29, 20120 then
Employees (5.A)5 as of Mar 31, 2026
Apr 1, 201323 then
Private funds: no history
RAUM +11% over the last fiscal year+9.2% 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
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
$1.4BderivedRAUM 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
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+11%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 investment companies, selection of other advisersreportedItem 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
  • Investment companies$4.1B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
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=3.0derived
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
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 And 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%
  • Marie Joanna Catalucci · Sr. Managing Directorcontrol
    since 04/2021 · owns less than 5%
  • Jo Amy Lee · General Counsel, Secretary, And Sr. Managing Directorcontrol
    since 04/2013 · 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 05/2012 · owns less than 5%
Entity owners
  • Guggenheim Funds Services, 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 Guggenheim Funds Services, 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
Offices
Schedule D 1.F, the 25 largest
  • New York, NY1 employees
  • Rockville, MD
  • Santa Monica, CA
What changed
consecutive filings, newest first
  • Discretionary RAUM · $3.7B to $4.1B
    May 14, 2025 to Mar 31, 2026
  • RAUM · $3.7B to $4.1B
    May 14, 2025 to Mar 31, 2026
  • Financial planning clients · unset to
    Mar 31, 2025 to May 14, 2025
  • Advisory employees · 1 to 0
    Jan 30, 2025 to Mar 31, 2025
  • Employees · 6 to 5
    Jan 30, 2025 to Mar 31, 2025
  • Discretionary RAUM · $3.3B to $3.7B
    Jan 30, 2025 to Mar 31, 2025
  • RAUM · $3.3B to $3.7B
    Jan 30, 2025 to Mar 31, 2025
  • Accounts · 4 to 3
    Apr 3, 2023 to Mar 28, 2024
  • Other offices · 4 to 3
    Apr 3, 2023 to Mar 28, 2024
  • Discretionary RAUM · $3.2B to $3.3B
    Apr 3, 2023 to Mar 28, 2024
  • RAUM · $3.2B to $3.3B
    Apr 3, 2023 to Mar 28, 2024
  • Advisory employees · 2 to 1
    Mar 31, 2022 to Mar 31, 2023
  • BD registered reps · 4 to 3
    Mar 31, 2022 to Mar 31, 2023
  • Employees · 8 to 6
    Mar 31, 2022 to Mar 31, 2023
  • Other offices · 6 to 4
    Mar 31, 2022 to Mar 31, 2023
  • Discretionary RAUM · $3.7B to $3.2B
    Mar 31, 2022 to Mar 31, 2023
  • RAUM · $3.7B to $3.2B
    Mar 31, 2022 to Mar 31, 2023
  • Accounts · 6 to 4
    May 7, 2021 to Mar 31, 2022
  • Employees · 7 to 8
    May 7, 2021 to Mar 31, 2022
  • Other offices · 5 to 6
    May 7, 2021 to Mar 31, 2022
  • Discretionary RAUM · $2.8B to $3.7B
    May 7, 2021 to Mar 31, 2022
  • RAUM · $2.8B to $3.7B
    May 7, 2021 to Mar 31, 2022
  • Employees · 8 to 7
    Oct 21, 2020 to Mar 31, 2021
  • Discretionary RAUM · $2.6B to $2.8B
    Oct 21, 2020 to Mar 31, 2021
  • RAUM · $2.6B to $2.8B
    Oct 21, 2020 to Mar 31, 2021
  • Discretionary RAUM · $2.5B to $2.6B
    Mar 29, 2019 to Mar 30, 2020
  • RAUM · $2.5B to $2.6B
    Mar 29, 2019 to Mar 30, 2020
  • Accounts · 51 to 6
    Mar 29, 2018 to Mar 29, 2019
  • Advisory employees · 18 to 2
    Mar 29, 2018 to Mar 29, 2019
  • Employees · 18 to 8
    Mar 29, 2018 to Mar 29, 2019
  • Discretionary RAUM · $16B to $2.5B
    Mar 29, 2018 to Mar 29, 2019
  • RAUM · $16B to $2.5B
    Mar 29, 2018 to Mar 29, 2019
  • Accounts · 55 to 51
    Jan 19, 2018 to Mar 29, 2018
  • BD registered reps · 0 to 4
    Jan 19, 2018 to Mar 29, 2018
  • Other offices · 4 to 5
    Jan 19, 2018 to Mar 29, 2018
  • Discretionary RAUM · $15B to $16B
    Jan 19, 2018 to Mar 29, 2018
  • RAUM · $15B to $16B
    Jan 19, 2018 to Mar 29, 2018
  • Advisory employees · 9 to 18
    Mar 31, 2017 to Nov 17, 2017
  • Charity clients · unset to 0.0
    Mar 31, 2017 to Nov 17, 2017
  • Corporate clients · unset to 0.0
    Mar 31, 2017 to Nov 17, 2017
Signals
6 dated events
  • Nmn Dominick Cogliandro (Chief Operating Officer) no longer on Schedule A of Guggenheim Investments (listed 2022-03-31, absent 2023-03-31)
    Mar 31, 2023 · Control person left · inference
  • Paul Michael Byrum (Senior Vice President) no longer on Schedule A of Guggenheim Investments (listed 2022-03-31, absent 2023-03-31)
    Mar 31, 2023 · Control person left · inference
  • Guggenheim Investments reported RAUM $3.7B, up 31% from $2.8B (2021-05-07 to 2022-03-31)
    Mar 31, 2022 · RAUM change · derived
  • Marie Joanna Catalucci (Senior Vice President) appeared on Schedule A of Guggenheim Investments
    May 7, 2021 · Control person joined · fact
  • Eileen Jennifer Landers (Asst. Chief Compliance Officer) no longer on Schedule A of Guggenheim Investments (listed 2020-03-30, absent 2020-10-21)
    Oct 21, 2020 · Control person left · inference
  • Guggenheim Investments reported RAUM $2.5B, down 85% from $16.4B (2018-03-29 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
312-357-1007reportedpublic 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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026