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 Funds Distributors, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 32 filings
SEC status approved since Aug 26, 1997
RAUM
$7.8B
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
245
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$7.8B as of Mar 31, 2026
Mar 30, 2012$3.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)245 as of Mar 31, 2026
Apr 1, 2013170 then
Private funds: no history
RAUM +14% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- 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
- $26.9MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$7.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 290reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=137.0derived
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
- Nicholas Nmn Dalmaso to Destra Capital Advisors LLCJun 12, 2008 · Other
- Eugene Everett Peroni to Guggenheim InvestmentsJun 5, 2007 · Other
- Daniel Martin Swallow to Guggenheim InvestmentsJul 1, 2004 · Other
- Anthony Robert Saba to Guggenheim InvestmentsJul 1, 2004 · Other
- John Joseph Osullivan to Guggenheim InvestmentsMay 25, 2004 · Other
- Gregory Brian Clarkin to Guggenheim InvestmentsMay 11, 2004 · Other
- John Richard Devries to Guggenheim InvestmentsMay 11, 2004 · Other
- Peter Joseph Catalano to Guggenheim InvestmentsMay 11, 2004 · Other
- Amy Lynn Sullivan to Guggenheim InvestmentsMay 11, 2004 · Other
- Richard Shane Johnson to Guggenheim InvestmentsMay 11, 2004 · Other
- Christopher Mcfaddin Clegg to Guggenheim InvestmentsMay 10, 2004 · Other
- Inger Margit Jansen to Guggenheim InvestmentsMay 10, 2004 · Other
Joined, latest
- Arthur Khaykin from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 4, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ying Chan · Financial And Operations Principalcontrolsince 09/2024 · owns less than 5%
- Dominick Nmn Cogliandro · Chief Operating Officer, Unit Investment Trust Businesscontrolsince 07/2006 · owns less than 5%
- Dina Marie Dilorenzo · President Of The Broker Dealer, Guggenheim Funds Distributors, LLCcontrolsince 03/2021 · owns less than 5%
- Amy Jo Lee · General Counsel, Secretary, And Senior Managing Directorcontrolsince 04/2013 · owns less than 5%
- Dennis Ryan Metzger · Chief Compliance Officercontrolsince 04/2014 · owns less than 5%
- Elisabeth Ann Miller · Senior Managing Directorcontrolsince 04/2014 · owns less than 5%
- Christopher Vito Parisi · Head Of Distribution, Senior Managing Directorcontrolsince 06/2020 · owns less than 5%
Entity owners
- Guggenheim Funds Services, 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 Investment Management Holdings, LLC · Memberindirect · owns 75% or more of Guggenheim Funds Services, 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 Investments 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 Investmentsinvestment adviserbanknRAUM $4.1B
- Guggenheim Investment Advisors (Europe) Limitedinvestment advisern
- Guggenheim Investment Advisors, LLCinvestment adviserbanknRAUM $841M
- Guggenheim Investor Services, LLCbroker-dealern
- Guggenheim Partners Europe Limitedinvestment advisern
- Guggenheim Partners Investment Management, LLCinvestment adviserbankpooled vehicle sponsornRAUM $241B
- Guggenheim Partners Japan, Ltd.broker-dealerinvestment advisern
- Guggenheim Partners Middle East Limitedbroker-dealerinvestment advisern
- 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
Advisers that list Guggenheim Funds Distributors, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 279 to 290May 15, 2025 to Mar 31, 2026
- BD registered reps · 141 to 137May 15, 2025 to Mar 31, 2026
- Employees · 250 to 245May 15, 2025 to Mar 31, 2026
- Insurance-licensed employees · 44 to 40May 15, 2025 to Mar 31, 2026
- Discretionary RAUM · $6.9B to $7.8BMay 15, 2025 to Mar 31, 2026
- RAUM · $6.9B to $7.8BMay 15, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 15, 2025
- Accounts · 281 to 279Oct 1, 2024 to Mar 31, 2025
- Advisory employees · 10 to 8Oct 1, 2024 to Mar 31, 2025
- BD registered reps · 160 to 141Oct 1, 2024 to Mar 31, 2025
- Employees · 232 to 250Oct 1, 2024 to Mar 31, 2025
- Other offices · 1 to 2Oct 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $5.9B to $6.9BOct 1, 2024 to Mar 31, 2025
- RAUM · $5.9B to $6.9BOct 1, 2024 to Mar 31, 2025
- Advisory employees · 9 to 10Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 148 to 160Mar 31, 2023 to Mar 28, 2024
- Employees · 227 to 232Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $5.6B to $5.9BMar 31, 2023 to Mar 28, 2024
- RAUM · $5.6B to $5.9BMar 31, 2023 to Mar 28, 2024
- Accounts · 278 to 281Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 8 to 9Mar 31, 2022 to Mar 31, 2023
- BD registered reps · 162 to 148Mar 31, 2022 to Mar 31, 2023
- Employees · 252 to 227Mar 31, 2022 to Mar 31, 2023
- Insurance-licensed employees · 58 to 44Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $6.7B to $5.6BMar 31, 2022 to Mar 31, 2023
- RAUM · $6.7B to $5.6BMar 31, 2022 to Mar 31, 2023
- Accounts · 319 to 278Mar 31, 2021 to Mar 31, 2022
- BD registered reps · 167 to 162Mar 31, 2021 to Mar 31, 2022
- Employees · 242 to 252Mar 31, 2021 to Mar 31, 2022
- Insurance-licensed employees · 70 to 58Mar 31, 2021 to Mar 31, 2022
- Other offices · 2 to 1Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $5.5B to $6.7BMar 31, 2021 to Mar 31, 2022
- RAUM · $5.5B to $6.7BMar 31, 2021 to Mar 31, 2022
- Accounts · 364 to 319Jul 9, 2020 to Mar 25, 2021
- BD registered reps · 175 to 167Jul 9, 2020 to Mar 25, 2021
- Employees · 283 to 242Jul 9, 2020 to Mar 25, 2021
- Insurance-licensed employees · 62 to 70Jul 9, 2020 to Mar 25, 2021
- Discretionary RAUM · $5.8B to $5.5BJul 9, 2020 to Mar 25, 2021
- RAUM · $5.8B to $5.5BJul 9, 2020 to Mar 25, 2021
- BD registered reps · 191 to 175Mar 30, 2020 to Apr 7, 2020
Signals
8 dated events
- Julie Ann Jacques (Treasurer) no longer on Schedule A of Guggenheim Funds Distributors, Llc (listed 2024-03-28, absent 2024-10-01)Oct 1, 2024 · Control person left · inference
- Ying Chan (Financial And Operations Principal) appeared on Schedule A of Guggenheim Funds Distributors, LlcOct 1, 2024 · Control person joined · fact
- Kevin Michael Mcgovern (Vice President) no longer on Schedule A of Guggenheim Funds Distributors, Llc (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Jerry William Miller (Chief Executive Officer And President) no longer on Schedule A of Guggenheim Funds Distributors, Llc (listed 2021-03-25, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Dina Marie Dilorenzo (President Of Guggenheim Funds Distributors) appeared on Schedule A of Guggenheim Funds Distributors, LlcMar 31, 2021 · Control person joined · fact
- Douglas Clark Mangini (Senior Vice President) no longer on Schedule A of Guggenheim Funds Distributors, Llc (listed 2020-04-07, absent 2020-07-09)Jul 9, 2020 · Control person left · inference
- Christopher Vito Parisi (Senior Vice President) appeared on Schedule A of Guggenheim Funds Distributors, LlcJul 9, 2020 · Control person joined · fact
- Guggenheim Funds Distributors, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 29, 2012 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- Guggenheim Funds Distributors, LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- GUGGENHEIMINVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-357-1007reportedpublic record, Form ADV, Mar 31, 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