# Guggenheim Corporate Funding, LLC

> Guggenheim Corporate Funding, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2019, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 21, 2026.

- CRD: 300895
- Filed as: GUGGENHEIM CORPORATE FUNDING, LLC
- Also doing business as: GUGGENHEIM INVESTMENTS
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: August 21, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/300895
- AdvisorCensus page: https://advisorcensus.com/firm/guggenheim-corporate-funding-llc-new-york-ny-300895

## Quick answers

**How is Guggenheim Corporate Funding, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Guggenheim Corporate Funding, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees.

**How much does Guggenheim Corporate Funding, LLC charge?**
Its Form ADV Part 2A brochure dated July 30, 2026 states: Asset-based fee: up to 1% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Guggenheim Corporate Funding, LLC located?**
Guggenheim Corporate Funding, LLC's principal office is in New York, NY, according to its Form ADV; the September 2026 filing also lists 3 other offices (Schedule D, Section 1.F).

**Is Guggenheim Corporate Funding, LLC registered with the SEC or a state?**
Guggenheim Corporate Funding, LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 300895.

**How much does Guggenheim Corporate Funding, LLC manage?**
Guggenheim Corporate Funding, LLC reports $11,292,931,721 in regulatory assets under management in its Form ADV filing dated August 21, 2026 (72% discretionary).

**How have Guggenheim Corporate Funding, LLC's assets and staff changed since 2021?**
In the Form ADV data for Guggenheim Corporate Funding, LLC: Regulatory assets under management: $2,631,512,502 in the October 2021 data and $11,292,931,721 in the October 2026 data, up 329%. Total employees: 3 in October 2021 and 16 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Guggenheim Corporate Funding, LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (15); corporations or other businesses not listed above (12); insurance companies (5).

**Which custodians does Guggenheim Corporate Funding, LLC use?**
Guggenheim Corporate Funding, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists The Bank of New York Mellon and U.S. Bank Trust Company, National Association as custodians holding 10% or more of its separately managed account assets.

**Does Guggenheim Corporate Funding, 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/300895

**What changed in Guggenheim Corporate Funding, LLC's recent Form ADV filings?**
In the April 2026 filing data: Added the business name Guggenheim Investments. Employees performing advisory functions went from 13 to 15. Regulatory assets under management went from $9,032,910,414 to $11,292,931,721 (+25%). Changed its office addresses in Chicago, IL. Changed its office addresses in Stamford, CT. 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 July 30, 2026)

- Asset-based fee: up to 1% of assets a year (the maximum the brochure states)

> Standard management fees for investment advisory services provided to SMA clients generally range up to 1.00 percent annually of AUM, NAV, or Committed Capital Amount.

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

### Custodians (Schedule D, Section 5.K(3))
- The Bank of New York Mellon
- U.S. Bank Trust Company, National Association

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $11,292,931,721
- Discretionary: $8,105,317,094
- Non-discretionary: $3,187,614,627

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 15 | $7,976,601,348 |
| Insurance companies | 5 | $299,684,890 |
| Corporations or other businesses not listed above | 12 | $3,016,645,483 |

### 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
- Other

### Firm details
- Registered since: 2019 (7 years)
- Employees: 16 total, 15 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the September 2026 filing
- Chicago, IL
- Santa Monica, CA
- Stamford, CT

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $2,631,512,502 | 3 | September 30, 2021 |
| October 2022 | $6,114,936,079 | 9 | March 31, 2022 |
| October 2023 | $8,078,530,662 | 13 | June 20, 2023 |
| October 2024 | $8,002,128,043 | 13 | August 23, 2024 |
| October 2025 | $9,032,910,414 | 14 | April 29, 2025 |
| October 2026 | $11,292,931,721 | 16 | August 21, 2026 |

Regulatory assets under management: $2,631,512,502 in the October 2021 data and $11,292,931,721 in the October 2026 data, up 329%.
Total employees: 3 in October 2021 and 16 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Added the business name Guggenheim Investments.
- Employees performing advisory functions went from 13 to 15.
- Regulatory assets under management went from $9,032,910,414 to $11,292,931,721 (+25%).
- Changed its office addresses in Chicago, IL.
- Changed its office addresses in Stamford, CT.
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Guggenheim Corporate Funding, LLC (CRD 300895): Form ADV filing data as of October 2026.