# Guggenheim Funds Distributors, LLC

> 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.

- CRD: 39805
- Filed as: GUGGENHEIM FUNDS DISTRIBUTORS, LLC
- Also doing business as: GUGGENHEIM INVESTMENTS, GUGGENHEIM PARTNERS
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Chicago, IL
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/39805
- AdvisorCensus page: https://advisorcensus.com/firm/guggenheim-funds-distributors-llc-chicago-il-39805

## Quick answers

**How is Guggenheim Funds Distributors, LLC compensated?**
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.

**Where is Guggenheim Funds Distributors, LLC located?**
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).

**Is Guggenheim Funds Distributors, LLC registered with the SEC or a state?**
Guggenheim Funds Distributors, LLC is an SEC-registered investment advisory firm, registered since 1997. Status as filed: Approved. CRD 39805.

**How much does Guggenheim Funds Distributors, LLC manage?**
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).

**How have Guggenheim Funds Distributors, LLC's assets and staff changed since 2021?**
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.

**What types of clients does Guggenheim Funds Distributors, LLC serve?**
By number of clients on Form ADV Item 5.D: investment companies (1).

**Does Guggenheim Funds Distributors, 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/39805

**What changed in Guggenheim Funds Distributors, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $6,850,185,742 to $7,800,735,582 (+14%).

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $7,800,735,582
- Discretionary: $7,800,735,582
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 1 | $7,800,735,582 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)

### Firm details
- Registered since: 1997 (29 years)
- Employees: 245 total, 8 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: IL, NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Bayside, NY
- Lisle, IL

### 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 | $5,518,083,809 | 242 | March 31, 2021 |
| October 2022 | $6,701,002,733 | 252 | March 31, 2022 |
| October 2023 | $5,588,039,645 | 227 | March 31, 2023 |
| October 2024 | $5,881,943,581 | 232 | March 28, 2024 |
| October 2025 | $6,850,185,742 | 250 | May 15, 2025 |
| October 2026 | $7,800,735,582 | 245 | March 31, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $6,850,185,742 to $7,800,735,582 (+14%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Guggenheim Funds Distributors, LLC (CRD 39805): Form ADV filing data as of October 2026.