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.
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SEC-registered adviser
G••••••••• P•••••• I••••••••• L••
Latest filing Jul 30, 2026
First filing on the tape Aug 6, 2024 · 10 filings
SEC status approved since Sep 11, 2024
RAUM
$349M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
3.5%
$12.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$349M as of Jul 30, 2026
Jan 7, 2025$925M then
HNW client RAUM$12.2M as of Jul 30, 2026
Feb 4, 2026$12.2M then
State-registered IARs (5.B.3)2 as of Jul 30, 2026
Jan 7, 20250 then
Employees (5.A)5 as of Jul 30, 2026
Jan 7, 20253 then
Private funds2 as of Jul 30, 2026
Feb 4, 20261 then
RAUM -88% over the last fiscal yearIARs 2 to 2offices 1 to 0
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.2MderivedHNW RAUM over HNW clients
- Average account
- $49.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -88%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%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 businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- yesreportedItem 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$333M95%
- High-net-worth individuals$12.2M3.5%
- Insurance companies$4.3M1.2%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.03 fund_share=0.95 institutional_share=0.01 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
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
- D••••••••• D•••• M•••• · Presidentcontrolsince 08/2024 · owns less than 5%
- S••••••••• R•••••• A••••• · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- S••••• S•••••• · Head Of Client Service, G••••••••• P•••••• I••••••••• L••controlsince 11/2024 · owns less than 5%
Entity owners
- G••••••••• P•••••• I••••••••• H•••••••• L•• · Memberdirect · owns 75% or more
- C••••••••• I••••••••• S•••••••• I••• · Shareholderindirect · owns 75% or more of S••• A•••••• I•••
- G• H••••• I• L•• · Memberindirect · owns 75% or more of G•• B•••••••• L••
- G•• B•••••••• L•• · Memberindirect · owns 75% or more of G•• P•••••• L••
- G•• P•••••• L•• · Memberindirect · owns 75% or more of G••••••••• I••••••••• H•••••••• L••
- G•••••••• T•••• C••••••• T•••••• · T••••••indirect · owns F of S•••••• E••••••••• I••• E•••
- G••••••••• C••••••• L•• · Memberindirect · owns 75% or more of G••••••••• P•••••••• L••
- G••••••••• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of G••••••••• P•••••• I••••••••• H•••••••• L••
- G••••••••• P•••••••• L•• · Memberindirect · owns 75% or more of G• H••••• I• L••
- S••• A•••••• I••• · Memberindirect · owns 25% to 50% of G••••••••• C••••••• L••
- S•••••• C••••••••• · Shareholderindirect · owns 75% or more of C••••••••• I••••••••• S•••••••• I•••
- S•••••• E••••••••• I••• · Shareholderindirect · owns 75% or more of S•••••• C•••••••••
- S•••••• E••••••••• I••• E••• · Shareholderindirect · owns 75% or more of S•••••• E••••••••• I•••
Related persons
Schedule D 7.A
- G•• G•• L•••pooled vehicle sponsorn
- G• G•••• A•••••••• L••investment adviserbanknRAUM $299M
- G••••••••• C•••••••• F••••••• L••investment adviserbanknRAUM $11B
- G••••••••• E•••••• L••pooled vehicle sponsorn
- G••••••••• F•••• D••••••••• L••broker-dealerinvestment advisernRAUM $7.8B
- G••••••••• I•••••••••investment adviserbanknRAUM $4.1B
- G••••••••• I••••••••• A••••••• •••••••• L•••investment advisern
- G••••••••• I••••••••• A•••••••• L••investment adviserbanknRAUM $841M
- G••••••••• I••••••• S•••••••• L••broker-dealern
- G••••••••• P••••••• I••••••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $241B
- G••••••••• P••••••• J••••• L•••broker-dealerinvestment advisern
- G••••••••• P••••••• M••••• E••• L••••••broker-dealerinvestment advisern
- G••••••••• R••• E••••• •••• I•••investment companyn
- G••••••••• S••••••••• L••broker-dealern
- G••••••••• W••••• S••••••••• L••investment advisernRAUM $371M
- G••••••••• I•••••••••investment adviserbanknRAUM $8.0B
Advisers that list G••••••••• P•••••• I••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Stamford, CT1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 100.0% to 1.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: asset managers, $100M to $500M (1,567)
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 0.0% to 95.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: asset managers, $100M to $500M (1,567)
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $2,904,973,114 to $349,486,745 (-88.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +4.0% (1148 comparable advisers, 0.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 0.4% percentile
What changed
consecutive filings, newest first
- Accounts · 6 to 7Feb 4, 2026 to Mar 31, 2026
- Advisory employees · 0 to 2Feb 4, 2026 to Mar 31, 2026
- Advisory activities · 4 to 3Feb 4, 2026 to Mar 31, 2026
- HNW clients · unset to 1.0Feb 4, 2026 to Mar 31, 2026
- Pooled vehicle clients · 1 to 2Feb 4, 2026 to Mar 31, 2026
- Assets in custody · unset to 0.0Feb 4, 2026 to Mar 31, 2026
- Custody of client assets · false to trueFeb 4, 2026 to Mar 31, 2026
- Employees · 3 to 5Feb 4, 2026 to Mar 31, 2026
- Other offices · 1 to 0Feb 4, 2026 to Mar 31, 2026
- Private funds · 1 to 2Feb 4, 2026 to Mar 31, 2026
- Discretionary RAUM · $0 to $333MFeb 4, 2026 to Mar 31, 2026
- HNW RAUM · $12.2M to $12.2MFeb 4, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $216M to $16.5MFeb 4, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $200M to $333MFeb 4, 2026 to Mar 31, 2026
- RAUM · $216M to $349MFeb 4, 2026 to Mar 31, 2026
- Accounts · 3 to 6May 14, 2025 to Feb 4, 2026
- Advisory activities · 3 to 4May 14, 2025 to Feb 4, 2026
- Pooled vehicle clients · unset to 1.0May 14, 2025 to Feb 4, 2026
- Private funds · unset to 1May 14, 2025 to Feb 4, 2026
- HNW RAUM · unset to 12213687.0May 14, 2025 to Feb 4, 2026
- Non-discretionary RAUM · $2.9B to $216MMay 14, 2025 to Feb 4, 2026
- Pooled vehicle RAUM · unset to 200000000.0May 14, 2025 to Feb 4, 2026
- RAUM · $2.9B to $216MMay 14, 2025 to Feb 4, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 14, 2025
- Accounts · 1 to 3Jan 7, 2025 to Mar 31, 2025
- Insurance-licensed employees · 0 to 2Jan 7, 2025 to Mar 31, 2025
- State-registered IARs · 0 to 2Jan 7, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $925M to $2.9BJan 7, 2025 to Mar 31, 2025
- RAUM · $925M to $2.9BJan 7, 2025 to Mar 31, 2025
- Accounts · unset to 1.0Oct 1, 2024 to Nov 4, 2024
- BD registered reps · 2 to 3Oct 1, 2024 to Nov 4, 2024
- Employees · 2 to 3Oct 1, 2024 to Nov 4, 2024
- Discretionary RAUM · unset to 0.0Oct 1, 2024 to Nov 4, 2024
- Non-discretionary RAUM · unset to 925000000.0Oct 1, 2024 to Nov 4, 2024
- RAUM · unset to 925000000.0Oct 1, 2024 to Nov 4, 2024
Signals
5 dated events
- G••••••••• P•••••• I••••••••• L•• reported RAUM $349.5M, up 62% from $216.2M (2026-02-04 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- G••••••••• P•••••• I••••••••• L•• reported RAUM $216.2M, down 93% from $2.9B (2025-05-14 to 2026-02-04)Feb 4, 2026 · RAUM change · derived
- G••••••••• P•••••• I••••••••• L•• reported RAUM $2.9B, up 214% from $925.0M (2025-01-07 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- S•••••• S•••• (Head Of Client Service, G••••••••• P•••••• I••••••••• L••) appeared on Schedule A of G••••••••• P•••••• I••••••••• L••Nov 4, 2024 · Control person joined · fact
- G••••••••• P•••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Aug 6, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G••••••••• P•••••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- G••••••••• P•••••• I••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- guggenheiminvestments.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 2125189010reportedpublic 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
- 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