{"url":"https://nivawealth.com/firms/guggenheim-investment-advisors-108263","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/108263","regulatoryAum":840888223,"crd":"108263","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5770045","suffix":null,"lastName":"CIPOLLA","firstName":"JAIRO","middleName":"NAHUEL"},{"crd":"2664787","suffix":null,"lastName":"DILORENZO","firstName":"DINA","middleName":"MARIE"},{"crd":"5558728","suffix":null,"lastName":"Stone","firstName":"Suzanne","middleName":null}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-31","regulatoryAum":2292641541,"clients":0,"employees":12,"offices":2},{"filedOn":"2022-03-31","regulatoryAum":439317379,"clients":0,"employees":10,"offices":2},{"filedOn":"2023-06-20","regulatoryAum":391643442,"clients":0,"employees":10,"offices":3},{"filedOn":"2024-03-28","regulatoryAum":876486420,"clients":23,"employees":11,"offices":3},{"filedOn":"2025-05-14","regulatoryAum":521966834,"clients":23,"employees":10,"offices":3},{"filedOn":"2026-03-31","regulatoryAum":840888223,"clients":25,"employees":9,"offices":3}],"secFileNumber":"801-57781","legalName":"Guggenheim Investment Advisors, LLC","displayName":"Guggenheim Investment Advisors","slug":"guggenheim-investment-advisors-108263","website":null,"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/guggenheim-partners","xUrl":"https://x.com/GuggenheimPtnrs","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":[],"registration":{"secApproved":"18 July 2000","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":9,"advisory":8,"brokerDealerReps":2,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":840888223,"discretionary":570679491,"discretionaryAccounts":33,"nonDiscretionary":270208732,"nonDiscretionaryAccounts":25,"wrapProgram":null,"nonUsClientsPct":80,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":null,"fewerThan5":true,"regulatoryAum":14961378},{"label":"Insurance companies","clients":null,"fewerThan5":true,"regulatoryAum":0},{"label":"Corporations and other businesses","clients":25,"regulatoryAum":825926845}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Bank J. Safra Sarasin (Bahamas) LTD.","shortName":"Bank J. Safra Sarasin (Bahamas)","location":"Nassau","smaAssets":112270698}],"custodyNote":"Guggenheim Investment Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Lisa Kost","title":"Chief Compliance Officer","crd":"5039313"},{"name":"Dina Dilorenzo","title":"Head","crd":"2664787"}],"ownership":[{"label":"GWM Holdco, LLC","detail":"Member in the 75% or more ownership band and a control person, since December 2008."},{"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":"Guggenheim Partners, LLC","detail":"Indirect owner: a member of GWM Holdco, LLC in the 75% or more band and a control person, since December 2008.","parent":"GWM Holdco, LLC"},{"label":"Guggenheim Manager, Inc.","detail":"Indirect owner: managing member of GWM Holdco, LLC and a control person, since January 2011.","parent":"GWM Holdco, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"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":"212-739-0700","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":10},{"label":"Derivatives","percent":45},{"label":"Securities issued by registered investment companies or business development companies","percent":5},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":15},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":24,"detail":"\"Other\" Includes Unfunded Commitments and Investments in Private Placements and Other Exchange-Traded Products"}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/108263/PDF/108263.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Guggenheim Investment Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Guggenheim Investment Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Guggenheim Investment Advisors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Guggenheim Investment Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Guggenheim Investment Advisors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Guggenheim Investment Advisors?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Guggenheim Investment Advisors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Guggenheim Investment Advisors?","answer":"Guggenheim Investment Advisors’ main office is at 330 Madison Avenue, 10th Floor, New York, NY 10017. Its phone number is 212-739-0700.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"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 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."}