Guggenheim Investments is an SEC registered investment adviser organized as a limited liability company with a primary office location in New York, NY. Its latest Form ADV filing, dated March 31, 2026, reports $8.0B in regulatory assets under management, 20 employees, 3 offices, and 107 accounts.
Assets Under Management
$8.0B
Employees
20
Offices
3 offices
Total Clients
107
Primary office
NEW YORK, NY
330 MADISON AVENUE, 10TH FLOOR, NEW YORK, NY, United States
Portfolio management for pooled investment vehicles
Fee models offered
1 types reported
Asset based fees
Sources checked May 13, 2026
Client Coverage Demographics
Top client segmentInvestment Cos. represent 100.0% of total clients.
Top client categories% of clientsClients
1
Investment Cos.
100.0%
107
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$8.0Bas of March 31, 2026
Discretionary100.0%
$8.0B
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Latest AUM$8.0B
Total Accounts107
10Y AUM Change$-23.0B (-74.3%)
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees20
Clients per Employee5:1
10Y Employee Change-23 (-53.5%)
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.