{
  "crd_number": 339528,
  "slug": "guggenheim-investments-loan-advisors-llc-stamford-ct-339528",
  "primary_business_name": "GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC",
  "legal_name": "GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC",
  "dbas": [
    "GUGGENHEIM INVESTMENTS"
  ],
  "city": "Stamford",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "14860",
  "metro": {
    "cbsa_code": "14860",
    "common_name": "Bridgeport",
    "msa_name": "Bridgeport-Stamford-Danbury, CT",
    "path": "/advisors/ct/bridgeport"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2026-01-06",
  "years_registered": 0,
  "period": "2026-10-01",
  "filing_date": "2026-07-30",
  "carried_forward": false,
  "raum_total": 155438401.0,
  "raum_discretionary": 155438401.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 10,
  "advisory_employees": 8,
  "client_count_bucket": null,
  "clients_by_type": {
    "pooled_investment_vehicles": {
      "raum": 155438401.0,
      "count": 3
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CT",
    "NY"
  ],
  "websites": [
    "https://guggenheiminvestments.com",
    "https://linkedin.com/in/zable"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/339528",
  "city_as_filed": "STAMFORD",
  "url": "https://advisorcensus.com/firm/guggenheim-investments-loan-advisors-llc-stamford-ct-339528",
  "display_name": "Guggenheim Investments Loan Advisors, LLC",
  "summary": "Guggenheim Investments Loan Advisors, LLC is an SEC-registered investment advisory firm in Stamford, CT, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 30, 2026.",
  "citation": "AdvisorCensus. Guggenheim Investments Loan Advisors, LLC (CRD 339528): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Guggenheim Investments Loan Advisors, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Guggenheim Investments Loan Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees."
    },
    {
      "q": "How much does Guggenheim Investments Loan Advisors, LLC charge?",
      "a": "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."
    },
    {
      "q": "Where is Guggenheim Investments Loan Advisors, LLC located?",
      "a": "Guggenheim Investments Loan Advisors, LLC's principal office is in Stamford, CT, according to its Form ADV."
    },
    {
      "q": "Is Guggenheim Investments Loan Advisors, LLC registered with the SEC or a state?",
      "a": "Guggenheim Investments Loan Advisors, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 339528."
    },
    {
      "q": "How much does Guggenheim Investments Loan Advisors, LLC manage?",
      "a": "Guggenheim Investments Loan Advisors, LLC reports $155,438,401 in regulatory assets under management in its Form ADV filing dated July 30, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Guggenheim Investments Loan Advisors, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (3)."
    },
    {
      "q": "Does Guggenheim Investments Loan Advisors, 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/339528"
    },
    {
      "q": "What changed in Guggenheim Investments Loan Advisors, LLC's recent Form ADV filings?",
      "a": "In the May 2026 filing data: Employees performing advisory functions went from 2 to 8. Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Employees performing advisory functions went from 2 to 8.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Newly registered with the SEC."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated July 30, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": "1% of assets a year",
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: up to 1% of assets a year (the maximum the brochure states)"
        ],
        "quotes": [
          "Standard management fees for investment advisory services provided to SMA clients will generally range up to 1.00 percent annually of AUM or NAV. However, some of GILA’s fees can be higher than this, and, as described above, SMA fees are generally negotiable."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": 1.0,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "Standard management fees for investment advisory services provided to SMA clients will generally range up to 1.00 percent annually of AUM or NAV. However, some of GILA’s fees can be higher than this, and, as described above, SMA fees are generally negotiable."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/guggenheim-investments-loan-advisors-llc-stamford-ct-339528.md",
  "clients": [
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 3,
      "fewer_than_5": false,
      "raum": 155438401.0
    }
  ],
  "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/339528",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}