Guggenheim Investment Advisors, LLC 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 $841M in regulatory assets under management, 9 employees, 2 offices, and 58 accounts.
Assets Under Management
$841M
Employees
9
Offices
2 offices
Total Clients
25
Primary office
NEW YORK, NY
330 MADISON AVENUE, 10TH FLOOR, NEW YORK, NY, United States
Portfolio management for individuals and small businesses
Fee models offered
1 types reported
Asset based fees
Sources checked May 13, 2026
Client Coverage Demographics
Top client segmentCorporations represent 100.0% of total clients.
Top client categories% of clientsClients
1
Corporations
100.0%
25
Categories with <5 clients
High net worth individuals (HNWI)<5 clients
Insurance companies<5 clients
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$841Mas of March 31, 2026
Discretionary67.9%
$571M
68% of total RAUM67.9%
Non-discretionary32.1%
$270M
32% of total RAUM32.1%
Regulatory assets under management are split between discretionary and non-discretionary assets.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Latest AUM$841M
Total Accounts58
10Y AUM Change$-8.0B (-90.5%)
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees9
Clients per Employee3:1
10Y Employee Change-7 (-43.8%)
* 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.