{"url":"https://nivawealth.com/firms/guggenheim-partners-investment-management-137432","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/137432","regulatoryAum":240659199573,"crd":"137432","secFileNumber":"801-66786","legalName":"Guggenheim Partners Investment Management, LLC","displayName":"Guggenheim Partners Investment Management","website":null,"linkedinUrl":"https://www.linkedin.com/company/guggenheim-investments","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","Guggenheim Investments Asset Management"],"registration":{"secApproved":"14 June 2006","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":588,"advisory":166,"brokerDealerReps":56,"insuranceAgents":0,"promoters":6},"aum":{"discretionary":240381728169,"discretionaryAccounts":432,"nonDiscretionary":277471404,"nonDiscretionaryAccounts":8,"wrapProgram":323824033,"nonUsClientsPct":67,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":210,"regulatoryAum":102869944},{"label":"High-net-worth individuals","clients":5,"regulatoryAum":454897123},{"label":"Banking or thrift institutions","clients":17,"regulatoryAum":17969523232},{"label":"Investment companies","clients":22,"regulatoryAum":70711073819},{"label":"Business development companies","clients":1,"regulatoryAum":155562},{"label":"Pooled investment vehicles","clients":65,"regulatoryAum":7547724149},{"label":"Pension and profit-sharing plans","clients":4,"regulatoryAum":646718210},{"label":"Charitable organizations","clients":18,"regulatoryAum":562261168},{"label":"State or municipal government entities","clients":11,"regulatoryAum":4007433868},{"label":"Other investment advisers","clients":2,"regulatoryAum":333230589},{"label":"Insurance companies","clients":61,"regulatoryAum":134698423555},{"label":"Sovereign wealth funds and foreign official institutions","clients":1,"regulatoryAum":1457383445},{"label":"Corporations and other businesses","clients":20,"regulatoryAum":1928073539},{"label":"Other","clients":3,"regulatoryAum":239431370}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Citibank, National Association","shortName":"Citibank, National Association","location":"New York, NY","smaAssets":106824217938},{"name":"Brown Brothers Harriman & Co","shortName":"Brown Brothers Harriman &","location":"New York, NY","smaAssets":17923973722}],"custodyNote":"Guggenheim Partners Investment Management has custody of $10.33B for 56 clients.","otherCustodians":[],"leadership":[{"name":"Brian Binder","title":"President, Mutual Funds Boards and SR. Managing Director","crd":"2466834"},{"name":"Dina Dilorenzo","title":"Managing Partner, President","crd":"2664787"},{"name":"Robert Saperstein","title":"Chief Compliance Officer","crd":"2567876"},{"name":"Steven Brown","title":"Chief Investment Officer for Fixed Income, Guggenheim Partners Investment Management","crd":"7245822"},{"name":"Suzanne Stone","title":"Head of Client Service","crd":"5558728"},{"name":"Anne Walsh","title":"Managing Partner, Chief Investment Officer, Guggenheim Partners Investment Management","crd":"2671132"}],"ownership":[{"label":"Guggenheim Partners Investment Management Holdings, LLC","detail":"Member in the 75% or more ownership band and a control person, since December 2009."},{"label":"Guggenheim Capital, LLC","detail":"Indirect owner: a member of Guggenheim Partners, LLC in the 75% or more band and a control person, since October 2005. Also a shareholder of Guggenheim Manager, Inc. in the 75% or more band and a control person, since November 2000.","parent":"Guggenheim Partners, 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":"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":"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":"Gmi Gpimh, LLC","detail":"Indirect owner: managing member of Gih Parent, LLC and a control person, since November 2024.","parent":"Gih Parent, 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 Investments Holdings, LLC","detail":"Indirect owner: a member of Guggenheim Partners Investment Management Holdings, LLC in the 75% or more band and a control person, since November 2024.","parent":"Guggenheim Partners Investment Management 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":4,"privateResidences":0},"listedOfficeAddresses":5,"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":"Missouri","offices":1,"addresses":[{"street":"One North Brentwood Boulevard","city":"Clayton"}]},{"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":8,"otherAdviserReps":5,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","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":3},{"label":"U.S. government/agency bonds","percent":17},{"label":"U.S. state and local bonds","percent":6},{"label":"Sovereign bonds","percent":1},{"label":"Investment grade corporate bonds","percent":38},{"label":"Non-investment grade corporate bonds","percent":3},{"label":"Derivatives","percent":1},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":14},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":15,"detail":"Military Housing, Private Placements, CMLS, Bank Loans, CTLS, Real Estate"}],"privateFunds":73},"sources":{"adv1FilingDate":"30 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/137432/PDF/137432.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 Partners Investment Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Guggenheim Partners Investment Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Guggenheim Partners Investment Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Guggenheim Partners Investment Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Guggenheim Partners Investment Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Guggenheim Partners Investment Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Guggenheim Partners Investment Management get paid?","answer":"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","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."}