{ "crd_number": 340242, "slug": "guggenheim-asset-backed-finance-company-llc-new-york-ny-340242", "primary_business_name": "GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC", "legal_name": "GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC", "dbas": [], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2026-04-20", "years_registered": 0, "period": "2026-10-01", "filing_date": "2026-08-17", "carried_forward": false, "raum_total": 1437839500.0, "raum_discretionary": 1212839500.0, "raum_non_discretionary": 225000000.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 9, "advisory_employees": 6, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "insurance_companies": { "raum": 1437839500.0, "count": null, "fewer_than_5": true } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "NY" ], "websites": [ "https://guggenheimpartners.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/340242", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/guggenheim-asset-backed-finance-company-llc-new-york-ny-340242", "display_name": "Guggenheim Asset-Backed Finance Company, LLC", "summary": "Guggenheim Asset-Backed Finance Company, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2026, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated August 17, 2026.", "citation": "AdvisorCensus. Guggenheim Asset-Backed Finance Company, LLC (CRD 340242): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Guggenheim Asset-Backed Finance Company, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Guggenheim Asset-Backed Finance Company, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees." }, { "q": "Where is Guggenheim Asset-Backed Finance Company, LLC located?", "a": "Guggenheim Asset-Backed Finance Company, LLC's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Guggenheim Asset-Backed Finance Company, LLC registered with the SEC or a state?", "a": "Guggenheim Asset-Backed Finance Company, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 340242." }, { "q": "How much does Guggenheim Asset-Backed Finance Company, LLC manage?", "a": "Guggenheim Asset-Backed Finance Company, LLC reports $1,437,839,500 in regulatory assets under management in its Form ADV filing dated August 17, 2026 (84% discretionary)." }, { "q": "Does Guggenheim Asset-Backed Finance Company, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/340242" }, { "q": "Does Guggenheim Asset-Backed Finance Company, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 18, 2026 says: \"GABFC does not expect to have stated account minimums.\"" }, { "q": "What changed in Guggenheim Asset-Backed Finance Company, LLC's recent Form ADV filings?", "a": "In the September 2026 filing data: Employees performing advisory functions went from 0 to 6. Regulatory assets under management went from $0 to $1,437,839,500. Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [], "recent_changes": [ { "period": "2026-09-01", "period_label": "September 2026", "notes": [ "Employees performing advisory functions went from 0 to 6.", "Regulatory assets under management went from $0 to $1,437,839,500.", "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-05-01", "period_label": "May 2026", "notes": [ "Newly registered with the SEC." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 18, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "GABFC does not expect to have stated account minimums." ] } ], "quotes": [ "GABFC does not expect to have stated account minimums." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/guggenheim-asset-backed-finance-company-llc-new-york-ny-340242.md", "clients": [ { "type": "insurance_companies", "label": "Insurance companies", "count": null, "fewer_than_5": true, "raum": 1437839500.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/340242", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }