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 Fund Solutions, LLC

Former SEC-registered adviserNew York, New YorkCRD 160181SEC 801-73007IAPD
Latest filing Mar 30, 2016
First filing on the tape Dec 22, 2011 · 18 filings
RAUM
$2.9B
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
18
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
8
$682M gross assets
History
18 filings and snapshots on the tape
RAUM$2.9B as of Mar 30, 2016
Feb 27, 2013$594M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Feb 27, 20130 then
Employees (5.A)18 as of Mar 30, 2016
Feb 27, 201336 then
Private funds8 as of Mar 30, 2016
Feb 27, 201310 then
RAUM +28% over the last fiscal year+69% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
$413MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+28%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, otherreportedItem 5.G
Custody
$2.0B, 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
  • 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)
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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.0B for 12 clientsreported
Compensation
% of AUMreported
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
      35 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Gfs Map Trust WafHedge Fund$300M5May 17, 2013
      Gfs Map Trust LioneyeHedge Fund$159M18May 17, 2013
      Gfs Map Eurasian Quant Master FundHedge Fund$108M5Feb 27, 2013
      Gfs Map Trust Trend MacroHedge Fund$71.2M21May 17, 2013
      Gfs Map Trust MacrosynergyHedge Fund$61.3M18Feb 27, 2013
      Gfs Map Trust AscendHedge Fund$52.6M63Nov 25, 2014
      Gfs Map Trust Three BridgesHedge Fund$52.4M62Aug 28, 2014
      Gfs Map Trust Electron Global FundHedge Fund$50.8M7Aug 28, 2014
      Gfs Map Trust CapeviewHedge Fund$48.4M16Feb 27, 2013
      Gfs Map Trust Adarno longer reportedHedge Fund$45.6M0Jul 27, 2012
      Gfs Halcyon Liquid Opportunities FundHedge Fund$45.5M0May 29, 2015
      Gfs Map Trust Birch GroveHedge Fund$45.0M6Feb 18, 2014
      Gfs Map Trust Gam Global RatesHedge Fund$29.8M0Nov 13, 2015
      Gfs Map Master Fund (Cayman) TerranovaHedge Fund$19.8M26May 29, 2015
      Gfs Map Trust Higgsno longer reportedHedge Fund$14.2M0May 17, 2013
      Gfs Map Trust Scor IlsHedge Fund$14.1M3Feb 19, 2014
      Gfs Map Trust Susa European Equities Fundno longer reportedHedge Fund$00May 29, 2014
      Gfs Map Trust Bronson PointHedge Fund$00Aug 28, 2014
      Gfs Map Trust VisiumHedge Fund$00May 17, 2013
      Gfs Map Trust Trient Global MacroHedge Fund$02Nov 18, 2013
      Alpha Blend Global Currency FundHedge Fund$00May 29, 2014
      Gfs Map Trust Kamunting StreetHedge Fund$00Feb 19, 2014
      Gfs Map Trust Eagle Globalno longer reportedHedge Fund$00Aug 23, 2013
      Gfs Map Trust Woodbineno longer reportedHedge Fund$00Nov 18, 2013
      Gfs Map Trust Chilton EuropeHedge Fund$00Feb 27, 2013
      Gfs Map Trust Pine River Financial Servicesno longer reportedHedge Fund$00May 17, 2013
      Gfs Map Trust Act IIno longer reportedHedge Fund$00May 17, 2013
      Gfs Map Trust Beamno longer reportedHedge Fund$00Feb 27, 2013
      Gfs Map Trust Global Macro Investments Fundno longer reportedHedge Fund$00Nov 18, 2013
      Gfs Map Trust 1798 Consumer Equityno longer reportedHedge Fund$00Feb 27, 2013
      Gfs Map Trust Potomacno longer reportedHedge Fund$00Feb 27, 2013
      Gfs Map Trust Passport Long ShortHedge Fund$00Nov 18, 2013
      Gfs Map Trust TourbillonHedge Fund$00Feb 19, 2014
      Gpc 95, LLCno longer reportedHedge Fund$01Mar 30, 2012
      Gfs Map Trust G Capitalno longer reportedHedge Fund$00Jul 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C Georgia Cochrane · Chief Compliance Officercontrol
        since 01/2016 · owns less than 5%
      • Marie Dina Dilorenzo · Senior Managing Directorcontrol
        since 10/2015 · owns less than 5%
      Entity owners
      • Gpft Holdco, LLC · Member
        direct · owns 75% or more
      • Consolidated Investment Services, Inc. · Shareholder
        indirect · owns 75% or more of Sammons Equity Alliance, Inc.
      • Gp Holdco, LLC · Member
        indirect · owns 75% or more of Gpft Holdco, 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 · Managing Member
        indirect · owns F of Gp Holdco, LLC
      • Guggenheim Partners, LLC · Member
        indirect · owns 75% or more of Gp Holdco, LLC
      • Sage Assets, Inc. · Member
        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, Inc
      Related persons
      Schedule D 7.A
      Advisers that list Guggenheim Fund Solutions, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 31 to 7
        Dec 16, 2015 to Mar 30, 2016
      • Advisory employees · 4 to 3
        Dec 16, 2015 to Mar 30, 2016
      • BD registered reps · 6 to 4
        Dec 16, 2015 to Mar 30, 2016
      • Assets in custody · $1.0B to $2.0B
        Dec 16, 2015 to Mar 30, 2016
      • Employees · 27 to 18
        Dec 16, 2015 to Mar 30, 2016
      • Private funds · 13 to 8
        Dec 16, 2015 to Mar 30, 2016
      • Discretionary RAUM · $2.1B to $2.9B
        Dec 16, 2015 to Mar 30, 2016
      • RAUM · $2.1B to $2.9B
        Dec 16, 2015 to Mar 30, 2016
      • Accounts · 38 to 31
        May 29, 2015 to Nov 13, 2015
      • Employees · 34 to 27
        May 29, 2015 to Nov 13, 2015
      • Private funds · 18 to 13
        May 29, 2015 to Nov 13, 2015
      • Accounts · 42 to 38
        May 12, 2015 to May 29, 2015
      • BD registered reps · 4 to 6
        May 12, 2015 to May 29, 2015
      • Assets in custody · $1.1B to $1.0B
        May 12, 2015 to May 29, 2015
      • Employees · 35 to 34
        May 12, 2015 to May 29, 2015
      • Private funds · 19 to 18
        May 12, 2015 to May 29, 2015
      • Discretionary RAUM · $2.3B to $2.1B
        May 12, 2015 to May 29, 2015
      • RAUM · $2.3B to $2.1B
        May 12, 2015 to May 29, 2015
      • Accounts · 46 to 42
        Nov 25, 2014 to Feb 27, 2015
      • Assets in custody · $1.5B to $1.1B
        Nov 25, 2014 to Feb 27, 2015
      • Employees · 45 to 35
        Nov 25, 2014 to Feb 27, 2015
      • Private funds · 22 to 19
        Nov 25, 2014 to Feb 27, 2015
      • Discretionary RAUM · $2.9B to $2.3B
        Nov 25, 2014 to Feb 27, 2015
      • RAUM · $2.9B to $2.3B
        Nov 25, 2014 to Feb 27, 2015
      • BD registered reps · 5 to 4
        Aug 28, 2014 to Nov 25, 2014
      • Assets in custody · $1.7B to $1.5B
        Aug 28, 2014 to Nov 25, 2014
      • Employees · 47 to 45
        Aug 28, 2014 to Nov 25, 2014
      • Private funds · 23 to 22
        Aug 28, 2014 to Nov 25, 2014
      • Discretionary RAUM · $3.2B to $2.9B
        Aug 28, 2014 to Nov 25, 2014
      • RAUM · $3.2B to $2.9B
        Aug 28, 2014 to Nov 25, 2014
      • Accounts · 45 to 46
        May 29, 2014 to Aug 28, 2014
      • BD registered reps · 6 to 5
        May 29, 2014 to Aug 28, 2014
      • Assets in custody · $1.4B to $1.7B
        May 29, 2014 to Aug 28, 2014
      • Employees · 46 to 47
        May 29, 2014 to Aug 28, 2014
      • Discretionary RAUM · $2.5B to $3.2B
        May 29, 2014 to Aug 28, 2014
      • RAUM · $2.5B to $3.2B
        May 29, 2014 to Aug 28, 2014
      • Accounts · 46 to 45
        Feb 19, 2014 to May 29, 2014
      • Advisory activities · 1 to 2
        Feb 19, 2014 to May 29, 2014
      • BD registered reps · 5 to 6
        Feb 19, 2014 to May 29, 2014
      • Assets in custody · $1.2B to $1.4B
        Feb 19, 2014 to May 29, 2014
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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