Firm profile

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

NEW YORK, NYCRD 137432Latest ADV March 31, 2026

Guggenheim Partners Investment Management, 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 $240.7B in regulatory assets under management, 588 employees, 4 offices, and 440 accounts.

Assets Under Management
$240.7B
Employees
588
Offices
4 offices
Total Clients
440
Primary office
NEW YORK, NY
330 MADISON AVENUE, 10TH FLOOR, NEW YORK, NY, United States
ADV Item 1F location record

Contact and digital presence

ADV profile links

Leadership

3 roles identified
CCORobert A. Saperstein
CIOAnne B. Walsh
CIOSteven H. Brown

Advisory services offered

5 types reported
Other advisory services
Portfolio management for businesses
Portfolio management for individuals and small businesses

Fee models offered

3 types reported
Asset based fees
Fixed fees
Performance-based fees
Sources checked May 14, 2026

Client Coverage Demographics

Top client segmentIndividuals represent 47.7% of total clients.
Top client categories% of clientsClients
1
Individuals
47.7%
210
2
Pooled Investment Vehicles
14.8%
65
3
Insurance Cos.
13.9%
61
4
Investment Cos.
5.0%
22
5
Corporations
4.5%
20
Categories with <5 clients
Other investment advisers<5 clients
Pension and profit sharing plans<5 clients
Sovereign wealth funds and foreign official institutions<5 clients

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$240.7Bas of March 31, 2026
Discretionary99.9%
$240.4B
100% of total RAUM99.9%
Non-discretionary0.1%
$277M
0% of total RAUM0.1%
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$240.7B
Total Accounts440
10Y AUM Change+$81.1B (+50.8%)

Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees588
Clients per Employee1:1
10Y Employee Change+33 (+5.9%)

* 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.