{"url":"https://nivawealth.com/firms/guggenheim-corporate-funding-300895","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/300895","regulatoryAum":11292931721,"crd":"300895","secFileNumber":"801-115064","legalName":"Guggenheim Corporate Funding, LLC","displayName":"Guggenheim Corporate Funding","website":null,"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"330 Madison Avenue, 10th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10017"},"tradeNames":["Guggenheim Investments"],"registration":{"secApproved":"25 April 2019","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":16,"advisory":15,"brokerDealerReps":2,"insuranceAgents":0,"promoters":5},"aum":{"discretionary":8105317094,"discretionaryAccounts":21,"nonDiscretionary":3187614627,"nonDiscretionaryAccounts":11,"wrapProgram":null,"nonUsClientsPct":9,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":15,"regulatoryAum":7976601348},{"label":"Insurance companies","clients":5,"regulatoryAum":299684890},{"label":"Corporations and other businesses","clients":12,"regulatoryAum":3016645483}],"fees":[],"feeNotes":[],"custodians":[{"name":"U.S. Bank Trust Company, National Association","shortName":"U.S. Bank Trust Company, National Association","location":"Houston, TX","smaAssets":545359618},{"name":"The Bank of New York Mellon","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":2597302319}],"custodyNote":"Guggenheim Corporate Funding has custody of $4.54B for 23 clients.","otherCustodians":[],"leadership":[{"name":"Kerri Cain","title":"Chief Compliance Officer","crd":"2920203"},{"name":"Kevin Hans Gundersen","title":"Senior Managing Director / Senior Executive","crd":"6524795"},{"name":"Joseph Robert McCurdy","title":"Senior Managing Director","crd":"7180412"}],"ownership":[{"label":"Guggenheim Private Investments Holdings, LLC","detail":"Member in the 75% or more ownership band and a control person, since November 2024."},{"label":"Gmi Gpimh, LLC","detail":"Indirect owner: managing member of Gih Parent, LLC and a control person, since November 2024.","parent":"Gih Parent, LLC"},{"label":"Gi Holdco LLC","detail":"Indirect owner: a member of Gih Borrower, LLC in the 75% or more band and a control person, since November 2024.","parent":"Gih Borrower, LLC"},{"label":"Guggenheim Manager, Inc.","detail":"Indirect owner: a member of Gmi Gpimh, LLC in the 75% or more band and a control person, since July 2013.","parent":"Gmi Gpimh, LLC"},{"label":"Guggenheim Capital, LLC","detail":"Indirect owner: a shareholder of Guggenheim Manager, Inc. in the 75% or more band and a control person, since November 2000. Also a member of Guggenheim Partners, LLC in the 75% or more band and a control person, since October 2005.","parent":"Guggenheim Manager, Inc."},{"label":"Gi Holdco II LLC","detail":"Indirect owner: a member of Gi Holdco LLC in the 75% or more band and a control person, since July 2013.","parent":"Gi Holdco LLC"},{"label":"Guggenheim Partners, LLC","detail":"Indirect owner: a member of Gi Holdco II LLC in the 75% or more band and a control person, since July 2013.","parent":"Gi Holdco II LLC"},{"label":"Guggenheim Investments Holdings, LLC","detail":"Indirect owner: a member of Guggenheim Private Investments Holdings, LLC in the 75% or more band and a control person, since November 2024.","parent":"Guggenheim Private Investments Holdings, LLC"},{"label":"Gih Parent, LLC","detail":"Indirect owner: a member of Guggenheim Investments Holdings, LLC in the 75% or more band and a control person, since August 2024.","parent":"Guggenheim Investments Holdings, LLC"},{"label":"Gih Borrower, LLC","detail":"Indirect owner: a member of Gih Parent, LLC in the 75% or more band and a control person, since August 2024.","parent":"Gih Parent, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":0},"listedOfficeAddresses":4,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"100 Wilshire BLVD","city":"Santa Monica"}]},{"state":"Connecticut","offices":1,"addresses":[{"street":"300 First Stamford Place","city":"Stamford"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"227 West Monroe Street","city":"Chicago"}]},{"state":"New York","offices":1,"addresses":[{"street":"330 Madison Avenue, 10th Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-518-9010","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Non-exchange-traded equity securities","percent":4},{"label":"Investment grade corporate bonds","percent":10},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":7},{"label":"Other","percent":78,"detail":"Bank Loans, Private Placements, and Uncalled Capital Commitments"}],"privateFunds":18},"sources":{"adv1FilingDate":"21 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/300895/PDF/300895.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Guggenheim Corporate Funding have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Guggenheim Corporate Funding offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Guggenheim Corporate Funding use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Guggenheim Corporate Funding have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Guggenheim Corporate Funding invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Guggenheim Corporate Funding?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Guggenheim Corporate Funding get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}