{ "crd_number": 39805, "slug": "guggenheim-funds-distributors-llc-chicago-il-39805", "primary_business_name": "GUGGENHEIM FUNDS DISTRIBUTORS, LLC", "legal_name": "GUGGENHEIM FUNDS DISTRIBUTORS, LLC", "dbas": [ "GUGGENHEIM INVESTMENTS", "GUGGENHEIM PARTNERS" ], "city": "Chicago", "state": "IL", "country": "United States", "cbsa_code": "16980", "metro": { "cbsa_code": "16980", "common_name": "Chicago", "msa_name": "Chicago-Naperville-Elgin, IL-IN", "path": "/advisors/il/chicago" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1997-08-26", "years_registered": 29, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 7800735582.0, "raum_discretionary": 7800735582.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 245, "advisory_employees": 8, "client_count_bucket": null, "clients_by_type": { "investment_companies": { "raum": 7800735582.0, "count": 1 } }, "compensation_types": [ "other", "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_investment_companies" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "IL", "NY" ], "websites": [ "https://guggenheiminvestments.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/39805", "city_as_filed": "CHICAGO", "url": "https://advisorcensus.com/firm/guggenheim-funds-distributors-llc-chicago-il-39805", "display_name": "Guggenheim Funds Distributors, LLC", "summary": "Guggenheim Funds Distributors, LLC is an SEC-registered investment advisory firm in Chicago, IL, registered since 1997, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Guggenheim Funds Distributors, LLC (CRD 39805): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Other" ], "advisory_activity_labels": [ "Portfolio management for investment companies (and business development companies)" ], "quick_answers": [ { "q": "How is Guggenheim Funds Distributors, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Guggenheim Funds Distributors, LLC reports these compensation arrangements: a percentage of assets under its management; other. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Guggenheim Funds Distributors, LLC located?", "a": "Guggenheim Funds Distributors, LLC's principal office is in Chicago, IL, according to its Form ADV; the April 2026 filing also lists 2 other offices (Schedule D, Section 1.F)." }, { "q": "Is Guggenheim Funds Distributors, LLC registered with the SEC or a state?", "a": "Guggenheim Funds Distributors, LLC is an SEC-registered investment advisory firm, registered since 1997. Status as filed: Approved. CRD 39805." }, { "q": "How much does Guggenheim Funds Distributors, LLC manage?", "a": "Guggenheim Funds Distributors, LLC reports $7,800,735,582 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)." }, { "q": "How have Guggenheim Funds Distributors, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Guggenheim Funds Distributors, LLC: Regulatory assets under management: $5,518,083,809 in the October 2021 data and $7,800,735,582 in the October 2026 data, up 41%. Total employees: 242 in October 2021 and 245 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Guggenheim Funds Distributors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: investment companies (1)." }, { "q": "Does Guggenheim Funds Distributors, 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/39805" }, { "q": "What changed in Guggenheim Funds Distributors, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $6,850,185,742 to $7,800,735,582 (+14%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 5518083809.0, "total_employees": 242, "filing_date": "2021-03-31" }, { "period": "2022-10-01", "regulatory_assets_under_management": 6701002733.0, "total_employees": 252, "filing_date": "2022-03-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": 5588039645.0, "total_employees": 227, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 5881943581.0, "total_employees": 232, "filing_date": "2024-03-28" }, { "period": "2025-10-01", "regulatory_assets_under_management": 6850185742.0, "total_employees": 250, "filing_date": "2025-05-15" }, { "period": "2026-10-01", "regulatory_assets_under_management": 7800735582.0, "total_employees": 245, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $6,850,185,742 to $7,800,735,582 (+14%)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/guggenheim-funds-distributors-llc-chicago-il-39805.md", "clients": [ { "type": "investment_companies", "label": "Investment companies", "count": 1, "fewer_than_5": false, "raum": 7800735582.0 } ], "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/39805", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }