Clients
Guggenheim Partners Investment Management serves 440 clients, 210 of them other individuals. The average client has about $547 million with the firm, and high-net-worth clients hold 0% of its $240.7 billion in assets.
- Banking or thrift institutions17 clients7%
- Investment companies22 clients29%
- Pooled investment vehicles65 clients3%
- Insurance companies61 clients56%
- OtherIndividuals, High-net-worth individuals, Business development companies, Pension and profit-sharing plans, Charitable organizations, State or municipal government entities, Other investment advisers, Sovereign wealth funds and foreign official institutions, Corporations and other businesses, Other4%
Show client breakdownHide client breakdown
| Client type | Clients | Regulatory AUM | Share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 210 | $102,869,944 | 0.0% | $490K |
| High-net-worth individuals | 5 | $454,897,123 | 0.2% | $91.0M |
| Banking or thrift institutions | 17 | $17,969,523,232 | 7.5% | $1.06B |
| Investment companies | 22 | $70,711,073,819 | 29.4% | $3.21B |
| Business development companies | 1 | $155,562 | 0.0% | $156K |
| Pooled investment vehicles | 65 | $7,547,724,149 | 3.1% | $116.1M |
| Pension and profit-sharing plans | 4 | $646,718,210 | 0.3% | $161.7M |
| Charitable organizations | 18 | $562,261,168 | 0.2% | $31.2M |
| State or municipal government entities | 11 | $4,007,433,868 | 1.7% | $364.3M |
| Other investment advisers | 2 | $333,230,589 | 0.1% | $166.6M |
| Insurance companies | 61 | $134,698,423,555 | 56.0% | $2.21B |
| Sovereign wealth funds and foreign official institutions | 1 | $1,457,383,445 | 0.6% | $1.46B |
| Corporations and other businesses | 20 | $1,928,073,539 | 0.8% | $96.4M |
| Other | 3 | $239,431,370 | 0.1% | $79.8M |
| Total | 440 | $240,659,199,573 | 100% | $547.0M |
- Clients
- 210
- Regulatory AUM
- $102,869,944
- Share
- 0.0%
- Avg. per client
- $490K
- Clients
- 5
- Regulatory AUM
- $454,897,123
- Share
- 0.2%
- Avg. per client
- $91.0M
- Clients
- 17
- Regulatory AUM
- $17,969,523,232
- Share
- 7.5%
- Avg. per client
- $1.06B
- Clients
- 22
- Regulatory AUM
- $70,711,073,819
- Share
- 29.4%
- Avg. per client
- $3.21B
- Clients
- 1
- Regulatory AUM
- $155,562
- Share
- 0.0%
- Avg. per client
- $156K
- Clients
- 65
- Regulatory AUM
- $7,547,724,149
- Share
- 3.1%
- Avg. per client
- $116.1M
- Clients
- 4
- Regulatory AUM
- $646,718,210
- Share
- 0.3%
- Avg. per client
- $161.7M
- Clients
- 18
- Regulatory AUM
- $562,261,168
- Share
- 0.2%
- Avg. per client
- $31.2M
- Clients
- 11
- Regulatory AUM
- $4,007,433,868
- Share
- 1.7%
- Avg. per client
- $364.3M
- Clients
- 2
- Regulatory AUM
- $333,230,589
- Share
- 0.1%
- Avg. per client
- $166.6M
- Clients
- 61
- Regulatory AUM
- $134,698,423,555
- Share
- 56.0%
- Avg. per client
- $2.21B
- Clients
- 1
- Regulatory AUM
- $1,457,383,445
- Share
- 0.6%
- Avg. per client
- $1.46B
- Clients
- 20
- Regulatory AUM
- $1,928,073,539
- Share
- 0.8%
- Avg. per client
- $96.4M
- Clients
- 3
- Regulatory AUM
- $239,431,370
- Share
- 0.1%
- Avg. per client
- $79.8M
Total
- Clients
- 440
- Regulatory AUM
- $240,659,199,573
- Share
- 100%
- Avg. per client
- $547.0M
What it does
Guggenheim Partners Investment Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions and other activities. It is paid through a percentage of assets, fixed fees and performance-based fees.
Guggenheim Partners Investment Management advises 73 private funds.
99.9% of assets ($240.38B across 432 accounts) are managed with discretion; $277.5M across 8 accounts are not. $323.8M sits in a wrap fee program the firm both sponsors and manages. 67% of clients are outside the U.S., and 0 clients received advice without assets under management last fiscal year.
What the accounts hold
- Stocks3%
- Funds14%
- Bonds65%
- Investment grade corporate bonds38%
- U.S. government and agency bonds17%
- State and local bonds6%
- High-yield corporate bonds3%
- Sovereign bonds1%
- Cash2%
- Other16%
- Military housing, private placements, cmls, bank loans, ctls, real estate15%
- Derivatives1%
Custodians
Guggenheim Partners Investment Management’s client accounts are held mainly at Citibank, National Association, with 44% of managed assets, and Brown Brothers Harriman &, with 7%. Guggenheim Partners Investment Management has custody of $10.33B for 56 clients.
- Citibank, National AssociationCitibank, National Association · New York, NY · $106.82B44%
- Brown Brothers Harriman &Brown Brothers Harriman & Co · New York, NY · $17.92B7%
- All other custodians$115.91B48%
Ownership and leadership
Guggenheim Partners Investment Management Holdings, LLC owns 75% or more of Guggenheim Partners Investment Management.
- Owns 75% or more of Guggenheim Partners Investment Management, LLC
Guggenheim Partners Investment Management Holdings, LLC
Control person · since December 2009
- Owns 75% or more of Guggenheim Partners Investment Management 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
- Owns 75% or more of Guggenheim Partners, LLC
Guggenheim Capital, LLC
Control person · since October 2005
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
Leadership
- Brian BinderPresident, Mutual Funds Boards and SR. Managing Director
- Dina DilorenzoManaging Partner, President
- Robert SapersteinChief Compliance Officer
- Steven BrownChief Investment Officer for Fixed Income, Guggenheim Partners Investment Management
- Suzanne StoneHead of Client Service
- Anne WalshManaging Partner, Chief Investment Officer, Guggenheim Partners Investment Management
Staff
- 588 employees
- 166 in advisory functions
- 8 state-registered reps
- 56 broker-dealer reps
- 6 soliciting firms
Fees
Guggenheim Partners Investment Management is paid through a percentage of assets under management, fixed fees (other than subscription fees) and performance-based fees.
Guggenheim Partners Investment Management’s fee rates are not included in this profile. Find its brochure on the SEC’s site.
Offices and registrations
Besides its headquarters, Guggenheim Partners Investment Management has 4 offices, with 5 listed addresses across 5 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
Missouri · 1 listed address
- One North Brentwood Boulevard, Clayton
New York · 1 listed address
- 330 Madison Avenue, 10th Floor, New YorkHQ
Other business names
Guggenheim Partners Investment Management has reported 2 other business names to the SEC.
- Guggenheim Investments
- Guggenheim Investments Asset Management
Registration details
- Legal name
- Guggenheim Partners Investment Management, LLC
- Headquarters
- 330 Madison Avenue, 10th Floor, New York, NY 10017
- Phone
- 212-739-0700
- Website
- Not reported
- SEC file
- 801-66786
- 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 Partners Investment Management have?
Guggenheim Partners Investment Management has 440 clients and manages $240.7 billion for them, as of July 2026. They include 210 other individuals, 65 pooled investment vehicles and 61 insurance companies.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 July 2026
What services does Guggenheim Partners Investment Management offer?
Guggenheim Partners Investment Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, 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 Partners Investment Management use?
Guggenheim Partners Investment Management’s separately managed account assets are held at Citibank, National Association (New York, NY), with $106,824,217,938 and Brown Brothers Harriman & Co (New York, NY), with $17,923,973,722. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 July 2026
How many financial advisors does Guggenheim Partners Investment Management have?
Guggenheim Partners Investment Management has 8 investment adviser representatives registered with state securities authorities, out of 588 employees, and 166 perform investment advisory functions. 56 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 Partners Investment Management invest in?
At the end of its last fiscal year, Guggenheim Partners Investment Management’s separately managed accounts held 38% investment grade corporate bonds, 17% U.S. government and agency bonds, 15% military housing, private placements, cmls, bank loans, ctls, real estate, 14% pooled vehicles (private funds and similar), 6% state and local bonds, 3% non-exchange-traded equities, 3% high-yield corporate bonds, 2% cash and equivalents, 1% sovereign bonds and 1% derivatives. It advises 73 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 Partners Investment Management?
Guggenheim Partners Investment Management is owned through a chain of holding companies by Guggenheim Capital, LLC and Guggenheim Manager, Inc. Its direct owner is Guggenheim Partners Investment Management Holdings, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 30 July 2026
How does Guggenheim Partners Investment Management get paid?
Guggenheim Partners Investment Management is paid through a percentage of assets under management, fixed fees 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