{
  "crd_number": 137432,
  "slug": "guggenheim-partners-investment-management-llc-new-york-ny-137432",
  "primary_business_name": "GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC",
  "legal_name": "GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC",
  "dbas": [
    "GUGGENHEIM INVESTMENTS",
    "GUGGENHEIM INVESTMENTS ASSET MANAGEMENT"
  ],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2006-06-14",
  "years_registered": 20,
  "period": "2026-10-01",
  "filing_date": "2026-07-30",
  "carried_forward": false,
  "raum_total": 240659199573.0,
  "raum_discretionary": 240381728169.0,
  "raum_non_discretionary": 277471404.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 588,
  "advisory_employees": 166,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 239431370.0,
      "count": 3,
      "description": "LIMITED PARTNERSHIPS, WELFARE BENEFIT FUNDS, EMPLOYEE HEALTH PLANS",
      "fewer_than_5": true
    },
    "charitable": {
      "raum": 562261168.0,
      "count": 18
    },
    "individuals": {
      "raum": 102869944.0,
      "count": 210
    },
    "banking_thrift": {
      "raum": 17969523232.0,
      "count": 17
    },
    "state_municipal": {
      "raum": 4007433868.0,
      "count": 11
    },
    "insurance_companies": {
      "raum": 134698423555.0,
      "count": 61
    },
    "investment_companies": {
      "raum": 70711073819.0,
      "count": 22
    },
    "pension_profit_sharing": {
      "raum": 646718210.0,
      "count": 4,
      "fewer_than_5": true
    },
    "other_investment_advisers": {
      "raum": 333230589.0,
      "count": 2,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 454897123.0,
      "count": 5
    },
    "pooled_investment_vehicles": {
      "raum": 7547724149.0,
      "count": 65
    },
    "corporations_other_businesses": {
      "raum": 1928073539.0,
      "count": 20
    },
    "business_development_companies": {
      "raum": 155562.0,
      "count": 1
    },
    "sovereign_wealth_foreign_official": {
      "raum": 1457383445.0,
      "count": 1,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "other",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 3,
  "states_registered": [
    "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"
  ],
  "websites": [
    "https://guggenheiminvestments.com",
    "https://instagram.com/guggenheiminvestments_official",
    "https://linkedin.com/COMPANY/GUGGENHEIM-INVESTMENTS",
    "https://linkedin.com/in/anne-walsh-4878111b7",
    "https://linkedin.com/in/dinadilorenzo",
    "https://youtube.com/@guggenheiminvestments"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/137432",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/guggenheim-partners-investment-management-llc-new-york-ny-137432",
  "display_name": "Guggenheim Partners Investment Management, LLC",
  "summary": "Guggenheim Partners Investment Management, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2006, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated July 30, 2026.",
  "citation": "AdvisorCensus. Guggenheim Partners Investment Management, LLC (CRD 137432): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Guggenheim Partners Investment Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Guggenheim Partners Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees."
    },
    {
      "q": "Where is Guggenheim Partners Investment Management, LLC located?",
      "a": "Guggenheim Partners Investment Management, LLC's principal office is in New York, NY, according to its Form ADV; the August 2026 filing also lists 4 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Guggenheim Partners Investment Management, LLC registered with the SEC or a state?",
      "a": "Guggenheim Partners Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 137432."
    },
    {
      "q": "How much does Guggenheim Partners Investment Management, LLC manage?",
      "a": "Guggenheim Partners Investment Management, LLC reports $240,659,199,573 in regulatory assets under management in its Form ADV filing dated July 30, 2026 (100% discretionary)."
    },
    {
      "q": "How have Guggenheim Partners Investment Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Guggenheim Partners Investment Management, LLC: Regulatory assets under management: $231,209,726,564 in the October 2021 data and $240,659,199,573 in the October 2026 data, up 4%. Total employees: 572 in October 2021 and 588 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Guggenheim Partners Investment Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (210); pooled investment vehicles (other than investment companies and business development companies) (65); insurance companies (61)."
    },
    {
      "q": "Which custodians does Guggenheim Partners Investment Management, LLC use?",
      "a": "Guggenheim Partners Investment Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Brown Brothers Harriman & Co and Citibank, National Association as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Guggenheim Partners Investment Management, LLC report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/137432"
    },
    {
      "q": "What changed in Guggenheim Partners Investment Management, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: No longer lists the business name Guggenheim Partners. Employees performing advisory functions went from 173 to 166. Changed its office addresses in Stamford, CT. No longer lists an office in Rockville, MD."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 231209726564.0,
      "total_employees": 572,
      "filing_date": "2021-04-30"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 251040322545.0,
      "total_employees": 572,
      "filing_date": "2022-03-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 198110444376.0,
      "total_employees": 549,
      "filing_date": "2023-06-20"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 208753633756.0,
      "total_employees": 562,
      "filing_date": "2024-04-05"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 228739114272.0,
      "total_employees": 575,
      "filing_date": "2025-06-05"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 240659199573.0,
      "total_employees": 588,
      "filing_date": "2026-07-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "No longer lists the business name Guggenheim Partners.",
        "Employees performing advisory functions went from 173 to 166.",
        "Changed its office addresses in Stamford, CT.",
        "No longer lists an office in Rockville, MD."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Brown Brothers Harriman & Co",
      "name_as_filed": "BROWN BROTHERS HARRIMAN & CO",
      "affiliated": false
    },
    {
      "name": "Citibank, National Association",
      "name_as_filed": "CITIBANK, NATIONAL ASSOCIATION",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/guggenheim-partners-investment-management-llc-new-york-ny-137432.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 210,
      "fewer_than_5": false,
      "raum": 102869944.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 5,
      "fewer_than_5": false,
      "raum": 454897123.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 17,
      "fewer_than_5": false,
      "raum": 17969523232.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 22,
      "fewer_than_5": false,
      "raum": 70711073819.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 1,
      "fewer_than_5": false,
      "raum": 155562.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 65,
      "fewer_than_5": false,
      "raum": 7547724149.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 4,
      "fewer_than_5": true,
      "raum": 646718210.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 18,
      "fewer_than_5": false,
      "raum": 562261168.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 11,
      "fewer_than_5": false,
      "raum": 4007433868.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 2,
      "fewer_than_5": true,
      "raum": 333230589.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 61,
      "fewer_than_5": false,
      "raum": 134698423555.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 1,
      "fewer_than_5": true,
      "raum": 1457383445.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 20,
      "fewer_than_5": false,
      "raum": 1928073539.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 3,
      "fewer_than_5": true,
      "raum": 239431370.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "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/137432",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}