# Guggenheim Wealth Solutions, LLC

> Guggenheim Wealth Solutions, LLC is an SEC-registered investment advisory firm in Santa Monica, CA, registered since 2016, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 283238
- Filed as: GUGGENHEIM WEALTH SOLUTIONS, LLC
- Also doing business as: GUGGENHEIM INVESTMENTS, GUGGENHEIM INVESTMENTS ASSET MANAGEMENT, GUGGENHEIM PARTNERS
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Santa Monica, CA
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/283238
- AdvisorCensus page: https://advisorcensus.com/firm/guggenheim-wealth-solutions-llc-santa-monica-ca-283238

## Quick answers

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

**Where is Guggenheim Wealth Solutions, LLC located?**
Guggenheim Wealth Solutions, LLC's principal office is in Santa Monica, CA, according to its Form ADV; the April 2026 filing also lists 3 other offices (Schedule D, Section 1.F).

**Is Guggenheim Wealth Solutions, LLC registered with the SEC or a state?**
Guggenheim Wealth Solutions, LLC is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 283238.

**How much does Guggenheim Wealth Solutions, LLC manage?**
Guggenheim Wealth Solutions, LLC reports $371,322,262 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**How have Guggenheim Wealth Solutions, LLC's assets and staff changed since 2021?**
In the Form ADV data for Guggenheim Wealth Solutions, LLC: Regulatory assets under management: $31,443,945 in the October 2025 data and $371,322,262 in the October 2026 data, up 1081%. Total employees: 3 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Guggenheim Wealth Solutions, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (210); charitable organizations (14); corporations or other businesses not listed above (9).

**Which custodians does Guggenheim Wealth Solutions, LLC use?**
Guggenheim Wealth Solutions, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Morgan Stanley as custodians holding 10% or more of its separately managed account assets.

**Does Guggenheim Wealth Solutions, 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/283238

**What changed in Guggenheim Wealth Solutions, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 5 to 6. Regulatory assets under management went from $31,443,945 to $371,322,262 (+1081%). Changed its office addresses in Clayton, MO. Changed its office addresses in New York, NY. Changed its office addresses in Stamford, CT.

## From the Form ADV filing

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

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Morgan Stanley

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.

### Regulatory assets under management (Item 5.F)
- Total: $371,322,262
- Discretionary: $371,322,262
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 210 | $102,869,944 |
| High net worth individuals | Fewer than 5 | $5,994,052 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| 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) | Fewer than 5 | $692,698 |
| Charitable organizations | 14 | $84,416,584 |
| State or municipal government entities (including government pension plans) | Fewer than 5 | $9,244,980 |
| Other investment advisers | Fewer than 5 | $303,881 |
| Insurance companies | Fewer than 5 | $607,144 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 9 | $6,925,727 |
| Other | Fewer than 5 | $160,267,252 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2016 (10 years)
- Employees: 10 total, 6 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: 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
- 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
- Clayton, MO
- New York, NY
- Stamford, CT

### Websites listed on Form ADV (Item 1.I)
- guggenheiminvestments.com
- Instagram @guggenheiminvestments_official
- LinkedIn @Guggenheim-Investments
- LinkedIn @anne-walsh-4878111b7
- LinkedIn @dinadilorenzo
- YouTube @guggenheiminvestments

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | Not reported | 3 | March 31, 2021 |
| October 2022 | Not reported | 20 | March 31, 2022 |
| October 2023 | Not reported | 1 | June 20, 2023 |
| October 2024 | Not reported | 5 | August 26, 2024 |
| October 2025 | $31,443,945 | 9 | May 14, 2025 |
| October 2026 | $371,322,262 | 10 | March 31, 2026 |

Regulatory assets under management: $31,443,945 in the October 2025 data and $371,322,262 in the October 2026 data, up 1081%.
Total employees: 3 in October 2021 and 10 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 5 to 6.
- Regulatory assets under management went from $31,443,945 to $371,322,262 (+1081%).
- Changed its office addresses in Clayton, MO.
- Changed its office addresses in New York, NY.
- Changed its office addresses in Stamford, CT.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Guggenheim Wealth Solutions, LLC (CRD 283238): Form ADV filing data as of October 2026.