Clients
Guggenheim Corporate Funding serves 32 clients, 15 of them pooled investment vehicles. The average client has about $353 million with the firm.
- Pooled investment vehicles15 clients71%
- Insurance companies5 clients3%
- Corporations and other businesses12 clients27%
Show client breakdownHide client breakdown
| Client type | Clients | Regulatory AUM | Share | Avg. per client |
|---|---|---|---|---|
| Pooled investment vehicles | 15 | $7,976,601,348 | 70.6% | $531.8M |
| Insurance companies | 5 | $299,684,890 | 2.7% | $59.9M |
| Corporations and other businesses | 12 | $3,016,645,483 | 26.7% | $251.4M |
| Total | 32 | $11,292,931,721 | 100% | $352.9M |
- Clients
- 15
- Regulatory AUM
- $7,976,601,348
- Share
- 70.6%
- Avg. per client
- $531.8M
- Clients
- 5
- Regulatory AUM
- $299,684,890
- Share
- 2.7%
- Avg. per client
- $59.9M
- Clients
- 12
- Regulatory AUM
- $3,016,645,483
- Share
- 26.7%
- Avg. per client
- $251.4M
Total
- Clients
- 32
- Regulatory AUM
- $11,292,931,721
- Share
- 100%
- Avg. per client
- $352.9M
What it does
Guggenheim Corporate Funding provides portfolio management for pooled vehicles, portfolio management for institutions and other activities. It is paid through a percentage of assets and performance-based fees.
Guggenheim Corporate Funding advises 18 private funds.
71.8% of assets ($8.11B across 21 accounts) are managed with discretion; $3.19B across 11 accounts are not. 9% of clients are outside the U.S., and 0 clients received advice without assets under management last fiscal year.
What the accounts hold
- Stocks4%
- Funds1%
- Bonds10%
- Cash7%
- Other78%
- Bank loans, private placements, and uncalled capital commitments78%
Custodians
Guggenheim Corporate Funding’s client accounts are held mainly at The Bank of New York Mellon, with 23% of managed assets, and U.S. Bank Trust Company, National Association, with 5%. Guggenheim Corporate Funding has custody of $4.54B for 23 clients.
- U.S. Bank Trust Company, National AssociationU.S. Bank Trust Company, National Association · Houston, TX · $545.4M5%
- The Bank of New York MellonThe Bank of New York Mellon · New York, NY · $2.60B23%
- All other custodians$8.15B72%
Ownership and leadership
Guggenheim Private Investments Holdings, LLC owns 75% or more of Guggenheim Corporate Funding.
- Owns 75% or more of Guggenheim Corporate Funding, LLC
Guggenheim Private Investments Holdings, LLC
Control person · since November 2024
- Owns 75% or more of Guggenheim Private Investments Holdings, LLC
Guggenheim Investments Holdings, LLC
Control person · since November 2024
- Owns 75% or more of Guggenheim Investments Holdings, LLC
Gih Parent, LLC
Control person · since August 2024
- Owns 75% or more of Gih Parent, LLC
Gih Borrower, LLC
Control person · since August 2024
- Owns 75% or more of Gih Borrower, LLC
Gi Holdco LLC
Control person · since November 2024
- Owns 75% or more of Gi Holdco LLC
Gi Holdco II LLC
Control person · since July 2013
- Owns 75% or more of Gi Holdco II LLC
Guggenheim Partners, LLC
Control person · since July 2013
Gmi Gpimh, LLC
Managing member · Control person · since November 2024
- Owns 75% or more of Gmi Gpimh, LLC
Guggenheim Manager, Inc.
Control person · since July 2013
- Owns 75% or more of Guggenheim Manager, Inc.
Guggenheim Capital, LLC
Control person · since November 2000
Leadership
- Kerri CainChief Compliance Officer
- Kevin Hans GundersenSenior Managing Director / Senior Executive
- Joseph Robert McCurdySenior Managing Director
Staff
- 16 employees
- 15 in advisory functions
- 2 broker-dealer reps
- 5 soliciting firms
Fees
Guggenheim Corporate Funding is paid through a percentage of assets under management and performance-based fees.
Guggenheim Corporate Funding’s fee rates are not included in this profile. Find its brochure on the SEC’s site.
Offices and registrations
Besides its headquarters, Guggenheim Corporate Funding has 3 offices, with 4 listed addresses across 4 states.
California · 1 listed address
- 100 Wilshire BLVD, Santa Monica
Connecticut · 1 listed address
- 300 First Stamford Place, Stamford
Illinois · 1 listed address
- 227 West Monroe Street, Chicago
New York · 1 listed address
- 330 Madison Avenue, 10th Floor, New YorkHQ
Other business names
Guggenheim Corporate Funding has reported 1 other business name to the SEC.
- Guggenheim Investments
Registration details
- Legal name
- Guggenheim Corporate Funding, LLC
- Headquarters
- 330 Madison Avenue, 10th Floor, New York, NY 10017
- Phone
- 212-518-9010
- Website
- Not reported
- SEC file
- 801-115064
- Structure
- Delaware LLC
- Fiscal year end
- December
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. See this firm's record on adviserinfo.sec.gov
Common questions
How many clients does Guggenheim Corporate Funding have?
Guggenheim Corporate Funding has 32 clients and manages $11.3 billion for them, as of August 2026. They include 15 pooled investment vehicles, 12 corporations and other businesses and 5 insurance companies.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 21 August 2026
What services does Guggenheim Corporate Funding offer?
Guggenheim Corporate Funding provides portfolio management for pooled vehicles, portfolio management for institutions and other activities.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Guggenheim Corporate Funding use?
Guggenheim Corporate Funding’s separately managed account assets are held at The Bank of New York Mellon (New York, NY), with $2,597,302,319 and U.S. Bank Trust Company, National Association (Houston, TX), with $545,359,618. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 21 August 2026
How many financial advisors does Guggenheim Corporate Funding have?
Guggenheim Corporate Funding has 0 investment adviser representatives registered with state securities authorities, out of 16 employees, and 15 perform investment advisory functions. 2 are registered representatives of a broker-dealer and 0 are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Guggenheim Corporate Funding invest in?
At the end of its last fiscal year, Guggenheim Corporate Funding’s separately managed accounts held 78% bank loans, private placements, and uncalled capital commitments, 10% investment grade corporate bonds, 7% cash and equivalents, 4% non-exchange-traded equities and 1% pooled vehicles (private funds and similar). It advises 18 private funds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Guggenheim Corporate Funding?
Guggenheim Corporate Funding is owned through a chain of holding companies by Guggenheim Capital, LLC and Guggenheim Partners, LLC. Its direct owner is Guggenheim Private Investments Holdings, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 21 August 2026
How does Guggenheim Corporate Funding get paid?
Guggenheim Corporate Funding is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file