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 Corporate Funding, LLC
Latest filing Aug 21, 2026
First filing on the tape Mar 25, 2019 · 24 filings
SEC status approved since Apr 25, 2019
RAUM
$11B
reported, Item 5.F
Discretionary
72%
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
16
15 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
18
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$11B as of Aug 21, 2026
Mar 30, 2020$2.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 21, 2026
Mar 30, 20200 then
Employees (5.A)16 as of Aug 21, 2026
Mar 30, 20203 then
Private funds18 as of Aug 21, 2026
Mar 31, 20222 then
RAUM +25% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 21, 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
- $353MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 72%derivedof RAUM
- Institutional
- 2.7%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
- +25%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $4.5B, 23 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
- Pooled investment vehicles$8.0B71%
- Corporations and businesses$3.0B27%
- Insurance companies$300M2.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 32reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.5B for 23 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.71 institutional_share=0.03 related_bd=true related_bank=true bd_reps=2.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Guggenheim Mm Clo 2023-6, LLC | Securitized Asset Fund | $475M | 1 | Mar 29, 2024 |
| Guggenheim Mm-C Clo 2023-5, LLC | Securitized Asset Fund | $443M | 2 | Mar 29, 2024 |
| Guggenheim Mm Clo 2021-4, Ltd. | Securitized Asset Fund | $431M | 2 | Mar 31, 2022 |
| Guggenheim Mm Clo 2021-3, Ltd. | Securitized Asset Fund | $420M | 2 | Mar 31, 2022 |
| Guggenheim Investments Private Debt Fund IV Guardian (U), L.P. | Private Equity Fund | $419M | 1 | Aug 23, 2024 |
| Guggenheim Private Debt Aggregation - A Feeder, L.P. | Private Equity Fund | $295M | 11 | Aug 23, 2024 |
| Guggenheim Private Debt Aggregation - B Feeder, L.P. | Private Equity Fund | $289M | 15 | Aug 23, 2024 |
| Guggenheim Mm Clo 2024-7, LLC | Securitized Asset Fund | $0 | 1 | Mar 29, 2024 |
| Guggenheim Investments Private Debt Fund IV-A, L.P. | Hedge Fund | $0 | 0 | Mar 29, 2024 |
| Guggenheim Investments Private Debt Fund IV-B, L.P. | Hedge Fund | $0 | 0 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- Kevin Hans Gundersen · Senior Managing Director / Senior Executivecontrolsince 12/2019 · owns less than 5%
- Robert Andrew Saperstein · Chief Compliance Officer - Iacontrolsince 01/2023 · owns less than 5%
Entity owners
- Guggenheim Private Investments 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 Gih Borrower, LLC
- Gih Borrower, LLC · Memberindirect · owns 75% or more of Gih Parent, LLC
- Gih Parent, LLC · Memberindirect · owns 75% or more of Guggenheim Investments Holdings, LLC
- Gmi Gpimh, LLC · Managing Memberindirect · owns F of Gih Parent, LLC
- Greatbanc Trust Company, Trustee · Trusteeindirect · owns F of Sammons Enterprises, Inc. Esot
- Guggenheim Capital, LLC · Shareholderindirect · owns 75% or more of Guggenheim Manager, Inc.
- Guggenheim Capital, LLC · Memberindirect · owns 75% or more of Guggenheim Partners, LLC
- Guggenheim Investments Holdings, LLC · Memberindirect · owns 75% or more of Guggenheim Private Investments Holdings, LLC
- 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 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 Investments Private Debt Fund IV Gp, LLCpooled vehicle sponsorn
- Guggenheim Investor Services, LLCbroker-dealern
- Guggenheim Partners Europe, Ltd.investment advisern
- Guggenheim Partners Investment Management, LLCinvestment adviserbankpooled vehicle sponsornRAUM $241B
- Guggenheim Partners Japan, Ltd.broker-dealerinvestment advisern
- Guggenheim Partners Middle East Limitedinvestment advisern
- Guggenheim Private Investments, LLCinvestment adviserpooled vehicle sponsornRAUM $349M
- Guggenheim Real Estate (Ca), Inc.investment companyn
- Guggenheim Securities Europe Limitedbroker-dealern
- Guggenheim Securities International Ltdbroker-dealern
- Guggenheim Securities Research Services, LLCinvestment advisern
- Guggenheim Securities, LLCbroker-dealern
- Guggenheim Wealth Solutions, LLCinvestment advisernRAUM $371M
- Guggenheim Investmentsinvestment adviserbanknRAUM $8.0B
- Transparent Value Private Limitedinvestment advisern
Advisers that list Guggenheim Corporate Funding, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL1 employees
- Santa Monica, CA1 employees
- Stamford, CT1 employees
What changed
consecutive filings, newest first
- Private funds · 17 to 18Jul 30, 2026 to Aug 21, 2026
- Private funds · 16 to 17Mar 31, 2026 to May 29, 2026
- Accounts · 33 to 32Jan 28, 2026 to Mar 31, 2026
- Advisory employees · 13 to 15Jan 28, 2026 to Mar 31, 2026
- Corporate clients · 14 to 12Jan 28, 2026 to Mar 31, 2026
- Assets in custody · $2.3B to $4.5BJan 28, 2026 to Mar 31, 2026
- Employees · 14 to 16Jan 28, 2026 to Mar 31, 2026
- Financial planning clients · 0 to Jan 28, 2026 to Mar 31, 2026
- Discretionary RAUM · $5.8B to $8.1BJan 28, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $3.3B to $3.2BJan 28, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $5.7B to $8.0BJan 28, 2026 to Mar 31, 2026
- RAUM · $9.0B to $11BJan 28, 2026 to Mar 31, 2026
- Financial planning clients · 0 to 0Aug 29, 2025 to Nov 13, 2025
- Private funds · 15 to 16Aug 29, 2025 to Nov 13, 2025
- Private funds · 13 to 15Apr 29, 2025 to Aug 29, 2025
- Accounts · 20 to 33Feb 12, 2025 to Apr 29, 2025
- Advisory employees · 12 to 13Feb 12, 2025 to Apr 29, 2025
- Corporate clients · 10 to 14Feb 12, 2025 to Apr 29, 2025
- Pooled vehicle clients · 6 to 15Feb 12, 2025 to Apr 29, 2025
- Assets in custody · $229,787 to $2.3BFeb 12, 2025 to Apr 29, 2025
- Employees · 13 to 14Feb 12, 2025 to Apr 29, 2025
- Private funds · 12 to 13Feb 12, 2025 to Apr 29, 2025
- Discretionary RAUM · $2.7B to $5.8BFeb 12, 2025 to Apr 29, 2025
- Non-discretionary RAUM · $5.3B to $3.3BFeb 12, 2025 to Apr 29, 2025
- Pooled vehicle RAUM · $3.1B to $5.7BFeb 12, 2025 to Apr 29, 2025
- RAUM · $8.0B to $9.0BFeb 12, 2025 to Apr 29, 2025
- Private funds · 10 to 12Dec 3, 2024 to Feb 12, 2025
- Private funds · 7 to 10Mar 29, 2024 to Aug 23, 2024
- Accounts · 16 to 20Jun 20, 2023 to Mar 29, 2024
- Advisory employees · 11 to 12Jun 20, 2023 to Mar 29, 2024
- BD registered reps · 0 to 2Jun 20, 2023 to Mar 29, 2024
- Corporate clients · 8 to 10Jun 20, 2023 to Mar 29, 2024
- Pooled vehicle clients · 4 to 6Jun 20, 2023 to Mar 29, 2024
- Assets in custody · $74.5M to $229,787Jun 20, 2023 to Mar 29, 2024
- Other offices · 0 to 3Jun 20, 2023 to Mar 29, 2024
- Private funds · 2 to 7Jun 20, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.6B to $2.7BJun 20, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $6.4B to $5.3BJun 20, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $2.6B to $3.1BJun 20, 2023 to Mar 29, 2024
- RAUM · $8.1B to $8.0BJun 20, 2023 to Mar 29, 2024
Signals
12 dated events
- Guggenheim Corporate Funding, Llc reported RAUM $11.3B, up 25% from $9.0B (2026-01-28 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Ying Z Chan (Chief Financial Officer / Finop) no longer on Schedule A of Guggenheim Corporate Funding, Llc (listed 2023-06-20, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Guggenheim Corporate Funding, Llc reported RAUM $8.1B, up 32% from $6.1B (2023-01-20 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Jonathan David Herrick (Chief Compliance Officer - Bd) no longer on Schedule A of Guggenheim Corporate Funding, Llc (listed 2023-01-20, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Robert Andrew Saperstein (Chief Compliance Officer - Ia) appeared on Schedule A of Guggenheim Corporate Funding, LlcJan 20, 2023 · Control person joined · fact
- Robert Trevor Jee (Chief Compliance Officer - Ia) no longer on Schedule A of Guggenheim Corporate Funding, Llc (listed 2022-11-03, absent 2023-01-20)Jan 20, 2023 · Control person left · inference
- Guggenheim Corporate Funding, Llc reported RAUM $6.1B, up 132% from $2.6B (2021-09-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Kevin Maurice Robinson (Chief Legal Officer) no longer on Schedule A of Guggenheim Corporate Funding, Llc (listed 2021-09-30, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Kevin Hans Gundersen (Senior Managing Director / Senior Executive) appeared on Schedule A of Guggenheim Corporate Funding, LlcFeb 2, 2020 · Control person joined · fact
- Ying Z Chan (Chief Financial Officer / Finop) appeared on Schedule A of Guggenheim Corporate Funding, LlcAug 23, 2019 · Control person joined · fact
- Jonathan David Herrick (Chief Compliance Officer - Bd) appeared on Schedule A of Guggenheim Corporate Funding, LlcAug 23, 2019 · Control person joined · fact
- Guggenheim Corporate Funding, Llc filed its initial SEC registration (Form ADV)Mar 25, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Guggenheim Corporate Funding, LLC · Independent Sponsorsshared crd · capital_provider
- Guggenheim Corporate Funding, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- GUGGENHEIMINVESTMENTS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-518-9010reportedpublic record, Form ADV, Aug 21, 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