Guggenheim Investment Advisors provides portfolio management for individuals and small businesses and portfolio management for institutions.
Guggenheim Investment Advisors reports 25 clients. They include 25 corporations and other businesses. Of its assets, 67.9% ($571M across 33 accounts) are managed with discretion; $270M across 25 accounts are not. Of its clients, 80% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| High-net-worth individuals | Fewer than 5 | 2% |
| Insurance companies | Fewer than 5 | 0% |
| Corporations and other businesses | 100% | 98% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| High-net-worth individuals | Fewer than 5 | $15M | 1.8% | — |
| Insurance companies | Fewer than 5 | $0 | 0.0% | — |
| Corporations and other businesses | 25 | $826M | 98.2% | $33M |
| Total | 25 | $841M | 100% | — |
- Clients
- Fewer than 5
- Regulatory AUM
- $15M
- AUM share
- 1.8%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- 25
- Regulatory AUM
- $826M
- AUM share
- 98.2%
- Avg. per client
- $33M
Total
- Clients
- 25
- Regulatory AUM
- $841M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 80%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Guggenheim Investment Advisors is paid through a percentage of assets under management; its fees and minimums are set out in its brochures on the SEC website.
GWM Holdco, LLC owns 75% or more of Guggenheim Investment Advisors and is in turn owned by Guggenheim Partners, LLC (75% or more). The leadership team of Guggenheim Investment Advisors includes Chief Compliance Officer Lisa Kost. It has 9 employees, 8 of them in advisory roles.
Leadership
- Lisa KostChief Compliance Officer
Dina DilorenzoHead
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
- Jairo Nahuel Cipolla
- Dina Marie Dilorenzo
- Suzanne Stone
Staff
- 9 employees
- 8 in advisory functions
- 3 state-registered reps
- 2 broker-dealer reps
- Owns 75% or more of Guggenheim Investment Advisors, LLC
GWM Holdco, LLC
Control person · since December 2008
- Owns 75% or more of GWM Holdco, LLC
Guggenheim Partners, LLC
Control person · since December 2008
Guggenheim Manager, Inc.
Managing member · Control person · since January 2011
- Owns 75% or more of Guggenheim Manager, Inc.
Guggenheim Capital, LLC
Control person · since November 2000
Guggenheim Investment Advisors’ regulatory assets fell from $2.29B (March 2021) to $841M (March 2026); employees fell from 12 to 9.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $841M | 25 | 9 | 3 |
| May 2025 | $522M | 23 | 10 | 3 |
| March 2024 | $876M | 23 | 11 | 3 |
| June 2023 | $392M | 0 | 10 | 3 |
| March 2022 | $439M | 0 | 10 | 2 |
| March 2021 | $2.29B | 0 | 12 | 2 |
Besides its headquarters, Guggenheim Investment Advisors has 2 offices, with 3 listed addresses in Connecticut, Illinois and New York.
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
Contact and registration details
- Legal name
- Guggenheim Investment Advisors, LLC
- Headquarters
- 330 Madison Avenue, 10th Floor, New York, NY 10017
- Website
- Not reported
- Phone
- 212-739-0700
- @guggenheim-partners
- SEC file
- 801-57781
- Structure
- Delaware LLC
- Fiscal year end
- December
Guggenheim Investment Advisors uses Bank J. Safra Sarasin (Bahamas) ($112M) as custodian for its separately managed accounts. Guggenheim Investment Advisors does not have custody of client assets.
- Bank J. Safra Sarasin (Bahamas)Bank J. Safra Sarasin (Bahamas) LTD. · Nassau · $112M100%
At year end, Guggenheim Investment Advisors’ separately managed accounts were largely in funds (20%) and stocks (10%).
What the accounts hold
- Stocks10%
- Funds20%
- Pooled vehicles15%
- Registered funds5%
- Cash1%
- Other69%
- Derivatives45%
- "other" includes unfunded commitments and investments in private placements and other exchange-traded products24%
How many clients does Guggenheim Investment Advisors have?
Guggenheim Investment Advisors has 25 clients and manages $841 million for them, as of March 2026. They include 25 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Guggenheim Investment Advisors offer?
Guggenheim Investment Advisors provides portfolio management for individuals and small businesses and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Guggenheim Investment Advisors use?
Guggenheim Investment Advisors’ separately managed account assets are held at Bank J. Safra Sarasin (Bahamas) LTD. (Nassau), with $112M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does Guggenheim Investment Advisors have?
Guggenheim Investment Advisors has 3 investment adviser representatives registered with state securities authorities, out of 9 employees, and 8 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 0 employees 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 Investment Advisors invest in?
At the end of its last fiscal year, Guggenheim Investment Advisors’ separately managed accounts held 45% derivatives, 24% other, 15% pooled vehicles (private funds and similar), 10% exchange-traded equities, 5% registered funds (mutual funds, ETFs, BDCs) and 1% cash and equivalents. The 24% other category is described as: "Other" Includes Unfunded Commitments and Investments in Private Placements and Other Exchange-Traded Products.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Guggenheim Investment Advisors?
Guggenheim Investment Advisors is owned through a chain of holding companies by Guggenheim Capital, LLC and Guggenheim Partners, LLC. Its direct owner is GWM Holdco, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Guggenheim Investment Advisors get paid?
Guggenheim Investment Advisors is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Guggenheim Investment Advisors?
Guggenheim Investment Advisors’ main office is at 330 Madison Avenue, 10th Floor, New York, NY 10017. Its phone number is 212-739-0700.