{
  "crd_number": 331479,
  "slug": "guggenheim-private-investments-llc-new-york-ny-331479",
  "primary_business_name": "GUGGENHEIM PRIVATE INVESTMENTS, LLC",
  "legal_name": "GUGGENHEIM PRIVATE INVESTMENTS, LLC",
  "dbas": [
    "GUGGENHEIM INVESTMENTS"
  ],
  "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": "2024-09-11",
  "years_registered": 2,
  "period": "2026-10-01",
  "filing_date": "2026-07-30",
  "carried_forward": false,
  "raum_total": 349486745.0,
  "raum_discretionary": 333000000.0,
  "raum_non_discretionary": 16486745.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 5,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "insurance_companies": {
      "raum": 4325848.0,
      "count": 4,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 12160897.0,
      "count": 1,
      "fewer_than_5": true
    },
    "pooled_investment_vehicles": {
      "raum": 333000000.0,
      "count": 2
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "other",
    "portfolio_management_businesses_institutional",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "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"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/331479",
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/guggenheim-private-investments-llc-new-york-ny-331479",
  "display_name": "Guggenheim Private Investments, LLC",
  "summary": "Guggenheim Private Investments, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 30, 2026.",
  "citation": "AdvisorCensus. Guggenheim Private Investments, LLC (CRD 331479): 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 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 Private Investments, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Guggenheim Private Investments, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees."
    },
    {
      "q": "What does Guggenheim Private Investments, LLC's brochure say about its fees?",
      "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 Private Investments, LLC located?",
      "a": "Guggenheim Private Investments, LLC's principal office is in New York, NY, according to its Form ADV; the March 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Guggenheim Private Investments, LLC registered with the SEC or a state?",
      "a": "Guggenheim Private Investments, LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 331479."
    },
    {
      "q": "How much does Guggenheim Private Investments, LLC manage?",
      "a": "Guggenheim Private Investments, LLC reports $349,486,745 in regulatory assets under management in its Form ADV filing dated July 30, 2026 (95% discretionary)."
    },
    {
      "q": "How have Guggenheim Private Investments, LLC's assets and staff changed since 2024?",
      "a": "In the Form ADV data for Guggenheim Private Investments, LLC: Regulatory assets under management: $2,904,973,114 in the October 2025 data and $349,486,745 in the October 2026 data, down 88%. Total employees: 2 in October 2024 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Guggenheim Private Investments, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: insurance companies (4); pooled investment vehicles (other than investment companies and business development companies) (2); high net worth individuals (1)."
    },
    {
      "q": "Which custodians does Guggenheim Private Investments, LLC use?",
      "a": "Guggenheim Private Investments, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists JP Morgan Chase as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Guggenheim Private Investments, 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/331479"
    },
    {
      "q": "What changed in Guggenheim Private Investments, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Added the business name Guggenheim Investments. Employees performing advisory functions went from 0 to 2. Regulatory assets under management went from $216,205,823 to $349,486,745 (+62%). No longer lists an office in Stamford, CT."
    }
  ],
  "filing_history": [
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 2,
      "filing_date": "2024-08-06"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 2904973114.0,
      "total_employees": 3,
      "filing_date": "2025-05-14"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 349486745.0,
      "total_employees": 5,
      "filing_date": "2026-07-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Added the business name Guggenheim Investments.",
        "Employees performing advisory functions went from 0 to 2.",
        "Regulatory assets under management went from $216,205,823 to $349,486,745 (+62%).",
        "No longer lists an office in Stamford, CT."
      ]
    },
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Regulatory assets under management went from $2,904,973,114 to $216,205,823 (-93%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated July 30, 2026",
    "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,
    "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 generally range up to 1.00 percent annually of AUM, NAV, or Committed Capital Amount. However, some of GPI’s fees can be higher than this, and, as described above, SMA fees are generally negotiable."
        ]
      }
    ],
    "quotes": [
      "Standard management fees for investment advisory services provided to SMA clients generally range up to 1.00 percent annually of AUM, NAV, or Committed Capital Amount. However, some of GPI’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": [
    {
      "name": "JP Morgan Chase",
      "name_as_filed": "JP MORGAN CHASE",
      "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-private-investments-llc-new-york-ny-331479.md",
  "clients": [
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 1,
      "fewer_than_5": true,
      "raum": 12160897.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 2,
      "fewer_than_5": false,
      "raum": 333000000.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 4,
      "fewer_than_5": true,
      "raum": 4325848.0
    }
  ],
  "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/331479",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}