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 Wealth Solutions, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 21, 2016 · 20 filings
SEC status approved since Apr 7, 2016
RAUM
$371M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
29%
$109M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$371M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$371M as of Mar 31, 2026
Mar 31, 2025$31.4M then
HNW client RAUM: $6.0M
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Mar 31, 20170 then
Employees (5.A)10 as of Mar 31, 2026
Mar 31, 201730 then
Private funds: no history
RAUM +1081% over the last fiscal yearIARs 4 to 5
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $371MderivedRAUM 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
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1081%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- 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
- Individuals$103M49%
- Charitable organizations$84.4M40%
- State and municipal entities$9.2M4.4%
- Corporations and businesses$6.9M3.3%
- High-net-worth individuals$6.0M2.8%
- Pension and profit-sharing plans$692,6980.3%
- Insurance companies$607,1440.3%
- Other investment advisers$303,8810.1%
- Individual clients
- 210reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 14reported
- Accounts
- 242reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $324M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.29 fund_share=0.0 institutional_share=0.26 related_bd=true related_bank=true bd_reps=4.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Steven Herschede BrownChartered Financial Analyst | Santa Monica, Ca | Mar 24, 2025 | 15 y | 0 |
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Herschede Steven Brown · Chief Investment Officer For Fixed Income, Guggenheim Wealth Solutions, LLCcontrolsince 08/2024 · owns less than 5%
- Marie Joanna Catalucci · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- Marie Dina Dilorenzo · Managing Partner, Presidentcontrolsince 08/2024 · owns less than 5%
- Suzanne Stone · Head Of Client Service, Guggenheim Wealth Solutions, LLCcontrolsince 08/2024 · owns less than 5%
- Bookwalter Anne Walsh · Managing Partner, Chief Investment Officer, Guggenheim Wealth Solutions, LLCcontrolsince 08/2024 · owns less than 5%
Entity owners
- Guggenheim Partners Investment Management Holdings, LLC · Memberdirect · owns 75% or more
- Consolidated Investment Services, Inc. · Shareholderindirect · owns 75% or more of Sage Assets, Inc.
- Gi Holdco II LLC · Memberindirect · owns 75% or more of Gi Holdco LLC
- Gi Holdco LLC · Memberindirect · owns 75% or more of Guggenheim Partners Investment Management Holdings, LLC
- Gmi Gpimh, LLC · Managing Memberindirect · owns F of Guggenheim Partners Investment Management Holdings, LLC
- Greatbanc Trust Company, Trustee · Trusteeindirect · owns F of Sammons Enterprises, Inc. Esot
- Guggenheim Capital, LLC · Memberindirect · owns 75% or more of Guggenheim Partners, LLC
- Guggenheim Capital, LLC · Shareholderindirect · owns 75% or more of Guggenheim Manager, Inc.
- Guggenheim Manager, Inc. · Memberindirect · owns 75% or more of Gmi Gpimh, LLC
- Guggenheim Partners, LLC · Memberindirect · owns 75% or more of Gi Holdco II LLC
- Sage Assets, Inc. · Memberindirect · owns 25% to 50% of Guggenheim Capital, LLC
- Sammons Corporation · Shareholderindirect · owns 75% or more of Consolidated Investment Services, Inc.
- Sammons Enterprises, Inc. · Shareholderindirect · owns 75% or more of Sammons Corporation
- Sammons Enterprises, Inc. Esot · Shareholderindirect · owns 75% or more of Sammons Enterprises, Inc.
Related persons
Schedule D 7.A
- Gim Gp, Ltd.pooled vehicle sponsorn
- Gs Gamma Advisors, LLCinvestment adviserbanknRAUM $299M
- Guggenheim Corporate Funding, LLCinvestment adviserbanknRAUM $11B
- Guggenheim Energy, LLCpooled vehicle sponsorn
- Guggenheim Funds Distributors, LLCbroker-dealerinvestment advisernRAUM $7.8B
- Guggenheim Investmentsinvestment adviserbanknRAUM $4.1B
- Guggenheim Investment Advisors (Europe), Ltd.investment advisern
- Guggenheim Investment Advisors, LLCinvestment adviserbanknRAUM $841M
- Guggenheim Investor Services, LLCbroker-dealern
- Guggenheim Partners Investment Management, LLCinvestment adviserbankpooled vehicle sponsornRAUM $241B
- Guggenheim Partners Middle East Limitedinvestment advisern
- Guggenheim Real Estate (Ca), Inc.investment companyn
- Guggenheim Securities, LLCbroker-dealern
- Guggenheim Investmentsinvestment adviserbanknRAUM $8.0B
Advisers that list Guggenheim Wealth Solutions, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Clayton, MO1 employees
- Stamford, CT1 employees
- New York, NY
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusual affiliate densityStatic outlier · filing Mar 31, 2026distinct affiliate types checked on Item 7.A of 5.0 against a peer median of 2.0 (324 comparable advisers, 100.0th percentile, 4.0 robust deviations)peers: independent wealth managers, $100M to $500M (324) · 100% percentile
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 56.0% to 28.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 30 to 242May 14, 2025 to Mar 31, 2026
- Advisory employees · 5 to 6May 14, 2025 to Mar 31, 2026
- Charity clients · unset to 14.0May 14, 2025 to Mar 31, 2026
- Corporate clients · unset to 9.0May 14, 2025 to Mar 31, 2026
- Individual clients · 26 to 210May 14, 2025 to Mar 31, 2026
- Pooled vehicle clients · unset to 0.0May 14, 2025 to Mar 31, 2026
- Employees · 9 to 10May 14, 2025 to Mar 31, 2026
- Insurance-licensed employees · 4 to 5May 14, 2025 to Mar 31, 2026
- Financial planning clients · 0 to May 14, 2025 to Mar 31, 2026
- State-registered IARs · 4 to 5May 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $31.4M to $371MMay 14, 2025 to Mar 31, 2026
- HNW RAUM · unset to 5994052.0May 14, 2025 to Mar 31, 2026
- Individual RAUM · $13.9M to $103MMay 14, 2025 to Mar 31, 2026
- Pension RAUM · unset to 692698.0May 14, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 0.0May 14, 2025 to Mar 31, 2026
- RAUM · $31.4M to $371MMay 14, 2025 to Mar 31, 2026
- Wrap assets (manager) · $31.4M to $324MMay 14, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to May 14, 2025
- Accounts · unset to 30.0Oct 28, 2024 to Mar 31, 2025
- Advisory employees · 0 to 5Oct 28, 2024 to Mar 31, 2025
- BD registered reps · 0 to 4Oct 28, 2024 to Mar 31, 2025
- Individual clients · 0 to 26Oct 28, 2024 to Mar 31, 2025
- Employees · 5 to 9Oct 28, 2024 to Mar 31, 2025
- Insurance-licensed employees · 0 to 4Oct 28, 2024 to Mar 31, 2025
- State-registered IARs · 0 to 4Oct 28, 2024 to Mar 31, 2025
- Discretionary RAUM · unset to 31443945.0Oct 28, 2024 to Mar 31, 2025
- Individual RAUM · $0 to $13.9MOct 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · unset to 0.0Oct 28, 2024 to Mar 31, 2025
- RAUM · unset to 31443945.0Oct 28, 2024 to Mar 31, 2025
- Wrap assets (manager) · $0 to $31.4MOct 28, 2024 to Mar 31, 2025
- Advisory activities · 1 to 2Aug 1, 2024 to Aug 26, 2024
- Business name · GUGGENHEIM PARTNERS ADVISORS, LLC to GUGGENHEIM WEALTH SOLUTIONS, LLCAug 1, 2024 to Aug 26, 2024
- Individual clients · unset to 0.0Aug 1, 2024 to Aug 26, 2024
- Employees · 1 to 5Aug 1, 2024 to Aug 26, 2024
- Legal name · GUGGENHEIM PARTNERS ADVISORS, LLC to GUGGENHEIM WEALTH SOLUTIONS, LLCAug 1, 2024 to Aug 26, 2024
- Other offices · 0 to 3Aug 1, 2024 to Aug 26, 2024
- Individual RAUM · unset to 0.0Aug 1, 2024 to Aug 26, 2024
- Wrap assets (manager) · unset to 0.0Aug 1, 2024 to Aug 26, 2024
- Wrap assets (sponsor) · unset to 0.0Aug 1, 2024 to Aug 26, 2024
- Advisory employees · 3 to 0Jan 20, 2023 to Mar 31, 2023
Signals
12 dated events
- Andrew Robert Saperstein (Chief Compliance Officer) no longer on Schedule A of Guggenheim Wealth Solutions, Llc (listed 2024-08-01, absent 2024-08-26)Aug 26, 2024 · Control person left · inference
- Marie Joanna Catalucci (Chief Compliance Officer) appeared on Schedule A of Guggenheim Wealth Solutions, LlcAug 26, 2024 · Control person joined · fact
- Marie Dina Dilorenzo (Managing Partner, President) appeared on Schedule A of Guggenheim Wealth Solutions, LlcAug 26, 2024 · Control person joined · fact
- Herschede Steven Brown (Chief Investment Officer For Fixed Income, Guggenheim Wealth Solutions, Llc) appeared on Schedule A of Guggenheim Wealth Solutions, LlcAug 26, 2024 · Control person joined · fact
- Bookwalter Anne Walsh (Managing Partner, Chief Investment Officer, Guggenheim Wealth Solutions, Llc) appeared on Schedule A of Guggenheim Wealth Solutions, LlcAug 26, 2024 · Control person joined · fact
- Suzanne Stone (Head Of Client Service, Guggenheim Wealth Solutions, Llc) appeared on Schedule A of Guggenheim Wealth Solutions, LlcAug 26, 2024 · Control person joined · fact
- Andrew Robert Saperstein (Chief Compliance Officer) appeared on Schedule A of Guggenheim Wealth Solutions, LlcJan 20, 2023 · Control person joined · fact
- Scott Byron Minerd (Managing Partner, Chief Investment Officer Of Gpa, Chief Investment Officer Of Guggenheim Partners) no longer on Schedule A of Guggenheim Wealth Solutions, Llc (listed 2022-11-03, absent 2023-01-20)Jan 20, 2023 · Control person left · inference
- Trevor Robert Jee (Chief Compliance Officer) no longer on Schedule A of Guggenheim Wealth Solutions, Llc (listed 2022-11-03, absent 2023-01-20)Jan 20, 2023 · Control person left · inference
- Maurice Kevin Robinson (Chief Legal Officer) no longer on Schedule A of Guggenheim Wealth Solutions, Llc (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Maurice Kevin Robinson (Chief Legal Officer) appeared on Schedule A of Guggenheim Wealth Solutions, LlcMar 31, 2021 · Control person joined · fact
- Guggenheim Partners Advisor, Llc filed its initial SEC registration (Form ADV)Mar 21, 2016 · First SEC registration · fact
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
- 800-345-7999reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-820-0888reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-384-4277reportedpublished by the firm, firm site, Sep 17, 2026
- 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
- 310-576-1270reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- guggenheiminvestments.com/contact-usreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $371Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026