# Guggenheim Investments

> Guggenheim Investments is an SEC-registered investment advisory firm in Chicago, IL, registered since 2003, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 129288
- Filed as: GUGGENHEIM INVESTMENTS
- Legal name: Guggenheim Funds Investment Advisors, 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/129288
- AdvisorCensus page: https://advisorcensus.com/firm/guggenheim-investments-chicago-il-129288

## Quick answers

**How is Guggenheim Investments compensated?**
On its Form ADV (Item 5.E, October 2026), Guggenheim Investments reports these compensation arrangements: a percentage of assets under its management.

**Where is Guggenheim Investments located?**
Guggenheim Investments' principal office is in Chicago, IL, according to its Form ADV; the April 2026 filing also lists 3 other offices (Schedule D, Section 1.F).

**Is Guggenheim Investments registered with the SEC or a state?**
Guggenheim Investments is an SEC-registered investment advisory firm, registered since 2003. Status as filed: Approved. CRD 129288.

**How much does Guggenheim Investments manage?**
Guggenheim Investments reports $4,118,720,575 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**How have Guggenheim Investments' assets and staff changed since 2021?**
In the Form ADV data for Guggenheim Investments: Regulatory assets under management: $2,807,568,325 in the October 2021 data and $4,118,720,575 in the October 2026 data, up 47%. Total employees: 7 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Guggenheim Investments serve?**
By number of clients on Form ADV Item 5.D: investment companies (3).

**Does Guggenheim Investments 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/129288

**What changed in Guggenheim Investments' recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $3,723,432,251 to $4,118,720,575 (+11%). 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

### Regulatory assets under management (Item 5.F)
- Total: $4,118,720,575
- Discretionary: $4,118,720,575
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $4,118,720,575 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2003 (22 years)
- Employees: 5 total, 0 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, IL, MD, 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
- New York, NY
- Rockville, MD
- Santa Monica, CA

### 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 | $2,807,568,325 | 7 | May 7, 2021 |
| October 2022 | $3,675,514,797 | 8 | March 31, 2022 |
| October 2023 | $3,162,942,963 | 6 | April 3, 2023 |
| October 2024 | $3,307,434,836 | 6 | March 28, 2024 |
| October 2025 | $3,723,432,251 | 5 | May 14, 2025 |
| October 2026 | $4,118,720,575 | 5 | March 31, 2026 |

Regulatory assets under management: $2,807,568,325 in the October 2021 data and $4,118,720,575 in the October 2026 data, up 47%.
Total employees: 7 in October 2021 and 5 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $3,723,432,251 to $4,118,720,575 (+11%).
- 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 Investments (CRD 129288): Form ADV filing data as of October 2026.