# Guggenheim Asset-Backed Finance Company, LLC

> 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.

- CRD: 340242
- Filed as: GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: August 17, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/340242
- AdvisorCensus page: https://advisorcensus.com/firm/guggenheim-asset-backed-finance-company-llc-new-york-ny-340242

## Quick answers

**How is Guggenheim Asset-Backed Finance Company, LLC compensated?**
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.

**Where is Guggenheim Asset-Backed Finance Company, LLC located?**
Guggenheim Asset-Backed Finance Company, LLC's principal office is in New York, NY, according to its Form ADV.

**Is Guggenheim Asset-Backed Finance Company, LLC registered with the SEC or a state?**
Guggenheim Asset-Backed Finance Company, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 340242.

**How much does Guggenheim Asset-Backed Finance Company, LLC manage?**
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).

**Does Guggenheim Asset-Backed Finance Company, LLC report any disciplinary disclosures?**
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

**Does Guggenheim Asset-Backed Finance Company, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 18, 2026 says: "GABFC does not expect to have stated account minimums."

**What changed in Guggenheim Asset-Backed Finance Company, LLC's recent Form ADV filings?**
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).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Fees and minimums (Form ADV Part 2A brochure dated March 18, 2026)

- Account minimum: None

> GABFC does not expect to have stated account minimums.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $1,437,839,500
- Discretionary: $1,212,839,500
- Non-discretionary: $225,000,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Insurance companies | Fewer than 5 | $1,437,839,500 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2026 (0 years)
- Employees: 9 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- guggenheimpartners.com

## Changes in the filing (last 12 months)

### September 2026
- 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).

### May 2026
- Newly registered with the SEC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Guggenheim Asset-Backed Finance Company, LLC (CRD 340242): Form ADV filing data as of October 2026.