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 Partners Investment Management, LLC

Other adviserNew York, New YorkCRD 137432SEC 801-66786websiteIAPD
Latest filing Jul 30, 2026
First filing on the tape Mar 30, 2012 · 69 filings
SEC status approved since Jun 14, 2006
RAUM
$241B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.2%
$558M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$80B
derived; firm RAUM over IAPD count
Employees
588
166 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
73
reported on Schedule D
History
69 filings and snapshots on the tape
RAUM$241B as of Jul 30, 2026
Mar 30, 2012$66B then
HNW client RAUM$455M as of Jul 30, 2026
Mar 30, 2018$219M then
State-registered IARs (5.B.3)8 as of Jul 30, 2026
Apr 1, 20134 then
Employees (5.A)588 as of Jul 30, 2026
Apr 1, 2013336 then
Private funds73 as of Jul 30, 2026
Mar 30, 201210 then
RAUM +5.2% over the last fiscal year+6.7% a year over threeIARs 4 to 8offices 5 to 4
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
RAUM per advisor
$80BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
72derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$91.0MderivedHNW RAUM over HNW clients
Average account
$547MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
59%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
196.0derivedItem 5.A over advisors
Advisors per office
0.6derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+5.2%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, 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 companies, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$10B, 56 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$135B56%
  • Investment companies$71B29%
  • Banks and thrifts$18B7.5%
  • Pooled investment vehicles$7.5B3.1%
  • State and municipal entities$4.0B1.7%
  • Corporations and businesses$1.9B0.8%
  • Sovereign wealth funds$1.5B0.6%
  • Pension and profit-sharing plans$647M0.3%
  • Charitable organizations$562M0.2%
  • High-net-worth individuals$455M0.2%
  • Other investment advisers$333M0.1%
  • Individuals$103M0.0%
Individual clients
210reported
HNW clients
5reported
Pension plan clients
4reported
Charitable clients
18reported
Accounts
440reported
Financial planning clients
reported
Wrap fee programs
$0 sponsored, $324M managedreported
Custody of client assets
$10B for 56 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
private_client_share=0.0 fund_share=0.33 institutional_share=0.59 related_bd=true related_bank=true bd_reps=56.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Qi YanMedford, Or May 25, 201221 y1
Anne Bookwalter WalshChartered Financial AnalystNew York, NyMay 25, 201219 y1
Leigh Ann PoggioNew York, NyMay 17, 201326 y0
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
Private funds
135 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Guggenheim Partners Opportunistic Investment Grade Securities Fund, LLCno longer reportedHedge Fund$2.6B63Jul 13, 2012
Nzc Guggenheim Fund LLCno longer reportedHedge Fund$1.3B108Mar 30, 2012
Mercer Field Clo LPno longer reportedSecuritized Asset Fund$1.1B3Feb 28, 2013
Guggenheim Partners Opportunistic Investment Grade Securities Master Fund, Ltd.Hedge Fund$1.1B20Mar 30, 2012
Nzcg Funding 2 Limitedno longer reportedSecuritized Asset Fund$852M1Mar 30, 2016
Guggenheim Private Debt Master Fund 2.0, LLCHedge Fund$698M28Aug 24, 2016
Kitty Hawk Clo 2015-1 LLCno longer reportedSecuritized Asset Fund$553M1Mar 30, 2016
Guggenheim Partners Opportunistic Investment Grade Securities Offshore Master Fund, Ltd.Hedge Fund$479M11Aug 24, 2020
Guggenheim Private Debt Fund Note Issuer 2.0, LLCSecuritized Asset Fund$445M20Aug 24, 2016
Bandera Strategic Credit Partners II LPno longer reportedHedge Fund$438M2Nov 26, 2014
Guggenheim Mm Clo 2019-2, Ltd.no longer reportedSecuritized Asset Fund$416M2Mar 30, 2020
Nzc Guggenheim Fund Ltdno longer reportedHedge Fund$413M29Mar 30, 2012
Guggenheim Alpha Segregated Portfolio - Wilshire Institutional Master Fund Spcno longer reportedHedge Fund$403M5Mar 30, 2012
Guggenheim Clo 2019-1, Ltd.Securitized Asset Fund$402M1Mar 30, 2020
Guggenheim Clo 2022-2, Ltd.Securitized Asset Fund$402M1Mar 29, 2024
1828 Clo Ltd.Securitized Asset Fund$395M1Mar 30, 2016
Guggenheim Mm Clo 2018-1, LtdSecuritized Asset Fund$389M2Mar 31, 2019
Auburn Clo, Ltd.Securitized Asset Fund$376M1Mar 30, 2018
Nzc Guggenheim Master Fund LtdHedge Fund$292M180Mar 30, 2012
Guggenheim Clo 2020-1 LtdSecuritized Asset Fund$268M1Mar 31, 2021
Guggenheim Loan Master Fund, Ltd.Hedge Fund$268M5Mar 30, 2016
Op-Ig Fund Alternative Investment Company, LLCSecuritized Asset Fund$241M9Mar 30, 2018
Guggenheim Concinnity Master Strategy Fund Spc - Multi-Capno longer reportedHedge Fund$237M1Mar 30, 2012
Guggenheim Concinnity Strategy Fund LP - Multi-Cap Seriesno longer reportedHedge Fund$216M2Feb 28, 2014
Guggenheim Concinnity Strategy Fund LP - Multi-Cap Seriesno longer reportedHedge Fund$216M2Nov 27, 2012
Guggenheim Concinnity Multi-Strategy Fund LPno longer reportedHedge Fund$216M6Nov 27, 2012
Guggenheim Corporate Opportunity Fund, L.P.no longer reportedPrivate Equity Fund$205M4Mar 30, 2018
Guggenheim Aircraft Opportunity Fund, L.P.no longer reportedHedge Fund$174M22Feb 28, 2013
Gimm Cn, LLCSecuritized Asset Fund$160M17Mar 31, 2019
At Funding Note Issuer, LLCno longer reportedSecuritized Asset Fund$151M14Mar 31, 2015
Paris Finance II, LLCno longer reportedSecuritized Asset Fund$141M4Mar 31, 2015
Aircraft Lease Securitisation LimitedSecuritized Asset Fund$139M10Mar 31, 2017
Khcn LLCno longer reportedSecuritized Asset Fund$137M1Mar 30, 2016
Guggenheim Loan Fund, LLCno longer reportedHedge Fund$137M6Feb 28, 2014
Meburb LLCno longer reportedSecuritized Asset Fund$127M17Mar 30, 2016
Gcn I, LLCno longer reportedSecuritized Asset Fund$123M0Mar 31, 2017
Voltage Finance LLCSecuritized Asset Fund$117M7Mar 30, 2016
Guggenheim Partners Opportunistic Investment Grade Securities Fund, Ltd.no longer reportedHedge Fund$115M10Jul 13, 2012
Merlin Series 2015-A LLCSecuritized Asset Fund$114M2Mar 30, 2016
Merlin Series 2015-B LLCSecuritized Asset Fund$114M2Mar 30, 2016
All funds of Guggenheim Partners Investment Management, LLC
Owners and control persons
Schedule A and B, latest filing
  • Edward Brian Binder · President, Mutual Funds Boards And Sr. Managing Directorcontrol
    since 01/2018 · owns less than 5%
  • Herschede Steven Brown · Chief Investment Officer For Fixed Income, Guggenheim Partners Investment Managementcontrol
    since 03/2022 · owns less than 5%
  • Marie Dina Dilorenzo · Managing Partner, Presidentcontrol
    since 03/2021 · owns less than 5%
  • Andrew Robert Saperstein · Chief Compliance Officercontrol
    since 01/2023 · owns less than 5%
  • Bookwalter Anne Walsh · Managing Partner, Chief Investment Officer, Guggenheim Partners Investment Managementcontrol
    since 03/2021 · owns less than 5%
Entity owners
  • Gmi Gpim, LLC · Managing Member
    direct · owns less than 5%
  • Guggenheim Partners Investment Management 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 Gpim, LLC
  • Guggenheim Manager, Inc. · Member
    indirect · owns 75% or more of Gmi Gpimh, 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
  • Beacon Capital Management, Inc.
    investment advisernRAUM $4.3B
  • Canal Reinsurance Company
    real estaten
  • Gim Gp, Ltd.
    pooled vehicle sponsorn
  • Gs Gamma Advisors, LLC
    investment adviserbanknRAUM $299M
  • Guggenheim Corporate Funding, LLC
    investment adviserbanknRAUM $11B
  • Guggenheim Energy LLC
    pooled vehicle sponsorn
  • Guggenheim Funds Distributors, LLC
    broker-dealerinvestment advisernRAUM $7.8B
  • Guggenheim Investments
    investment adviserbanknRAUM $4.1B
  • Guggenheim Investment Advisors (Europe), Ltd.
    investment advisern
  • Guggenheim Investment Advisors, LLC
    investment adviserbanknRAUM $841M
  • Guggenheim Investor Services, LLC
    broker-dealern
  • Guggenheim Partners Europe, Ltd.
    investment advisern
  • Guggenheim Partners Japan, Ltd.
    broker-dealerinvestment advisern
  • Guggenheim Partners Middle East Limited
    investment advisern
  • Guggenheim Private Debt Fund 2.0 Managing Member, LLC
    pooled vehicle sponsorn
  • Guggenheim Private Debt Fund Managing Member, LLC
    pooled vehicle sponsorn
  • Guggenheim Private Investments, LLC
    investment advisernRAUM $349M
  • Guggenheim Real Estate (Ca), Inc.
    investment companyn
  • Guggenheim Securities Europe Limited
    broker-dealern
  • Guggenheim Securities International Ltd
    broker-dealern
  • Guggenheim Securities Research Services, LLC
    investment advisern
  • Guggenheim Securities, LLC
    broker-dealern
  • Guggenheim Wealth Solutions, LLC
    investment advisernRAUM $371M
  • Midland National Life Insurance Company
    real estaten
  • Mnl Reinsurance Company
    real estaten
  • North American Company For Life And Health Insurance
    real estaten
  • Guggenheim Investments
    investment adviserbanknRAUM $8.0B
  • Sfg Bermuda Ltd
    real estaten
  • Solberg Reinsurance Company
    real estaten
  • Transparent Value Private Limited
    investment advisern
Advisers that list Guggenheim Partners Investment Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
New York, Ny · principal300
Offices
Schedule D 1.F, the 25 largest
  • New York, NY80 employees
  • Chicago, IL12 employees
  • Clayton, MO7 employees
  • Rockville, MD1 employees
  • Stamford, CT1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • account count surgeChange between filings · filing Mar 31, 2026
    accounts (Item 5.F.2.f) moved from 232.0 to 440.0 (+90.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +2.0% (61 comparable advisers, 100.0th percentile of changes)
    peers: other advisers, $20B and over (61) · 100% percentile
What changed
consecutive filings, newest first
  • Accounts · 232 to 440
    Jun 5, 2025 to Mar 31, 2026
  • Advisory employees · 173 to 166
    Jun 5, 2025 to Mar 31, 2026
  • BD registered reps · 53 to 56
    Jun 5, 2025 to Mar 31, 2026
  • Charity clients · 6 to 18
    Jun 5, 2025 to Mar 31, 2026
  • Corporate clients · 14 to 20
    Jun 5, 2025 to Mar 31, 2026
  • HNW clients · unset to 5.0
    Jun 5, 2025 to Mar 31, 2026
  • Individual clients · 23 to 210
    Jun 5, 2025 to Mar 31, 2026
  • Pension plan clients · unset to 4.0
    Jun 5, 2025 to Mar 31, 2026
  • Pooled vehicle clients · 71 to 65
    Jun 5, 2025 to Mar 31, 2026
  • Assets in custody · $11B to $10B
    Jun 5, 2025 to Mar 31, 2026
  • Employees · 575 to 588
    Jun 5, 2025 to Mar 31, 2026
  • Insurance-licensed employees · 2 to 5
    Jun 5, 2025 to Mar 31, 2026
  • Financial planning clients · 0 to
    Jun 5, 2025 to Mar 31, 2026
  • State-registered IARs · 4 to 8
    Jun 5, 2025 to Mar 31, 2026
  • Other offices · 5 to 4
    Jun 5, 2025 to Mar 31, 2026
  • Private funds · 84 to 73
    Jun 5, 2025 to Mar 31, 2026
  • Discretionary RAUM · $228B to $240B
    Jun 5, 2025 to Mar 31, 2026
  • HNW RAUM · $437M to $455M
    Jun 5, 2025 to Mar 31, 2026
  • Individual RAUM · $13.9M to $103M
    Jun 5, 2025 to Mar 31, 2026
  • Non-discretionary RAUM · $251M to $277M
    Jun 5, 2025 to Mar 31, 2026
  • Pension RAUM · $1.3B to $647M
    Jun 5, 2025 to Mar 31, 2026
  • Pooled vehicle RAUM · $8.3B to $7.5B
    Jun 5, 2025 to Mar 31, 2026
  • RAUM · $229B to $241B
    Jun 5, 2025 to Mar 31, 2026
  • Wrap assets (manager) · $31.4M to $324M
    Jun 5, 2025 to Mar 31, 2026
  • Financial planning clients · 0 to 0
    May 14, 2025 to Jun 5, 2025
  • Accounts · 220 to 232
    Dec 3, 2024 to Mar 31, 2025
  • Advisory employees · 182 to 173
    Dec 3, 2024 to Mar 31, 2025
  • BD registered reps · 56 to 53
    Dec 3, 2024 to Mar 31, 2025
  • Charity clients · 5 to 6
    Dec 3, 2024 to Mar 31, 2025
  • Corporate clients · 11 to 14
    Dec 3, 2024 to Mar 31, 2025
  • Individual clients · 0 to 23
    Dec 3, 2024 to Mar 31, 2025
  • Pension plan clients · 6.0 to unset
    Dec 3, 2024 to Mar 31, 2025
  • Pooled vehicle clients · 81 to 71
    Dec 3, 2024 to Mar 31, 2025
  • Assets in custody · $11B to $11B
    Dec 3, 2024 to Mar 31, 2025
  • Employees · 562 to 575
    Dec 3, 2024 to Mar 31, 2025
  • HQ city · SANTA MONICA to NEW YORK
    Dec 3, 2024 to Mar 31, 2025
  • HQ state · CA to NY
    Dec 3, 2024 to Mar 31, 2025
  • State-registered IARs · 6 to 4
    Dec 3, 2024 to Mar 31, 2025
  • Private funds · 52 to 84
    Dec 3, 2024 to Mar 31, 2025
  • Discretionary RAUM · $208B to $228B
    Dec 3, 2024 to Mar 31, 2025
Signals
14 dated events
  • Michael Joseph Burschinger (Chief Risk Officer) no longer on Schedule A of Guggenheim Partners Investment Management, Llc (listed 2024-03-08, absent 2024-03-29)
    Mar 29, 2024 · Control person left · inference
  • Bradley David Rone (Managing Partner, Co-President) no longer on Schedule A of Guggenheim Partners Investment Management, Llc (listed 2024-03-08, absent 2024-03-29)
    Mar 29, 2024 · Control person left · inference
  • Joseph Daniel Shannon (Global Head Of Gi Operations) no longer on Schedule A of Guggenheim Partners Investment Management, Llc (listed 2023-01-20, absent 2023-03-31)
    Mar 31, 2023 · Control person left · inference
  • Andrew Robert Saperstein (Chief Compliance Officer) appeared on Schedule A of Guggenheim Partners Investment Management, Llc
    Jan 20, 2023 · Control person joined · fact
  • T Robert Jee (Chief Compliance Officer) no longer on Schedule A of Guggenheim Partners Investment Management, Llc (listed 2022-11-03, absent 2023-01-20)
    Jan 20, 2023 · Control person left · inference
  • Scott Byron Minerd (Managing Partner, Chief Investment Officer) no longer on Schedule A of Guggenheim Partners Investment Management, Llc (listed 2021-10-08, absent 2022-03-31)
    Mar 31, 2022 · Control person left · inference
  • M Kevin Robinson (Chief Legal Officer) no longer on Schedule A of Guggenheim Partners Investment Management, Llc (listed 2021-04-30, absent 2021-10-08)
    Oct 8, 2021 · Control person left · inference
  • William Jerry Miller (President) no longer on Schedule A of Guggenheim Partners Investment Management, Llc (listed 2020-08-24, absent 2021-03-31)
    Mar 31, 2021 · Control person left · inference
  • Bradley David Rone (Managing Partner, Co-President) appeared on Schedule A of Guggenheim Partners Investment Management, Llc
    Mar 31, 2021 · Control person joined · fact
  • Sengstaken Timothy Wright (Senior Managing Director / Senior Executive) no longer on Schedule A of Guggenheim Partners Investment Management, Llc (listed 2020-02-02, absent 2020-03-30)
    Mar 30, 2020 · Control person left · inference
  • Bradley David Rone (Senior Managing Director / Senior Executive) no longer on Schedule A of Guggenheim Partners Investment Management, Llc (listed 2020-02-02, absent 2020-03-30)
    Mar 30, 2020 · Control person left · inference
  • R Dustan Beier (Chief Financial Officer) no longer on Schedule A of Guggenheim Partners Investment Management, Llc (listed 2020-02-02, absent 2020-03-30)
    Mar 30, 2020 · Control person left · inference
  • Hans Kevin Gundersen (Senior Managing Director / Senior Executive) no longer on Schedule A of Guggenheim Partners Investment Management, Llc (listed 2018-11-14, absent 2019-03-31)
    Mar 31, 2019 · Control person left · inference
  • James Michael Christ (Deputy Chief Investment Officer) no longer on Schedule A of Guggenheim Partners Investment Management, Llc (listed 2018-11-14, absent 2019-03-31)
    Mar 31, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Firm profile
LINKEDIN.COM/COMPANY/GUGGENHEIM-INVESTMENTSreportedpublic record, Form ADV, Sep 17, 2026
Website
GUGGENHEIMINVESTMENTS.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
212-739-0700reportedpublic record, Form ADV, Jul 30, 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
$80Bderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026
Across the graphs

Guggenheim Partners Investment Management, LLC is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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