Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Private Funds
Private funds reported by Guggenheim Funds Distributors, LLC
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Guggenheim Funds Distributors, LLC.
Reported ownership and control details
Form ADV · Filing date 2026-03-31 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | DOMINICK NMN COGLIANDROCHIEF OPERATING OFFICER, UNIT INVESTMENT TRUST BUSINESSIndividual | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | Less than 5%Code NA | Yes | CHIEF OPERATING OFFICER, UNIT INVESTMENT TRUST BUSINESS07/2006 | Schedule APDF page 39 |
| 2 | GUGGENHEIM FUNDS SERVICES, LLCMEMBERDomestic entity | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | 75% or moreCode E | Yes | MEMBER04/2013 | Schedule APDF page 39 |
| 3 | AMY JO LEEGENERAL COUNSEL, SECRETARY, AND SENIOR MANAGING DIRECTORIndividual | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | Less than 5%Code NA | Yes | GENERAL COUNSEL, SECRETARY, AND SENIOR MANAGING DIRECTOR04/2013 | Schedule APDF page 39 |
| 4 | DENNIS RYAN METZGERCHIEF COMPLIANCE OFFICERIndividual | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER04/2014 | Schedule APDF page 39 |
| 5 | ELISABETH ANN MILLERSENIOR MANAGING DIRECTORIndividual | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | Less than 5%Code NA | Yes | SENIOR MANAGING DIRECTOR04/2014 | Schedule APDF page 39 |
| 6 | CHRISTOPHER VITO PARISIHEAD OF DISTRIBUTION, SENIOR MANAGING DIRECTORIndividual | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | Less than 5%Code NA | Yes | HEAD OF DISTRIBUTION, SENIOR MANAGING DIRECTOR06/2020 | Schedule APDF page 39 |
| 7 | DINA MARIE DILORENZOPRESIDENT OF THE BROKER DEALER, GUGGENHEIM FUNDS DISTRIBUTORS, LLCIndividual | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | Less than 5%Code NA | Yes | PRESIDENT OF THE BROKER DEALER, GUGGENHEIM FUNDS DISTRIBUTORS, LLC03/2021 | Schedule APDF page 39 |
| 8 | YING CHANFINANCIAL AND OPERATIONS PRINCIPALIndividual | GUGGENHEIM FUNDS DISTRIBUTORS, LLC | Less than 5%Code NA | Yes | FINANCIAL AND OPERATIONS PRINCIPAL09/2024 | Schedule APDF page 40 |
| 9 | GUGGENHEIM PARTNERS, LLCMEMBERDomestic entity | GI HOLDCO II LLC | 75% or moreCode E | Yes | MEMBER07/2013 | Schedule BPDF page 40 |
| 10 | GUGGENHEIM CAPITAL, LLCMEMBERDomestic entity | GUGGENHEIM PARTNERS, LLC | 75% or moreCode E | Yes | MEMBER10/2005 | Schedule BPDF page 40 |
| 11 | GUGGENHEIM MANAGER, INC.MEMBERDomestic entity | GMI GPIMH, LLC | 75% or moreCode E | Yes | MEMBER07/2013 | Schedule BPDF page 40 |
| 12 | GUGGENHEIM CAPITAL, LLCSHAREHOLDERDomestic entity | GUGGENHEIM MANAGER, INC. | 75% or moreCode E | Yes | SHAREHOLDER11/2000 | Schedule BPDF page 40 |
| 13 | GI HOLDCO II LLCMEMBERDomestic entity | GI HOLDCO LLC | 75% or moreCode E | Yes | MEMBER07/2013 | Schedule BPDF page 40 |
| 14 | GI HOLDCO LLCMEMBERDomestic entity | GIH BORROWER, LLC | 75% or moreCode E | Yes | MEMBER07/2013 | Schedule BPDF page 40 |
| 15 | GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLCMEMBERDomestic entity | GUGGENHEIM FUNDS SERVICES, LLC | 75% or moreCode E | Yes | MEMBER10/2016 | Schedule BPDF page 40 |
| 16 | GMI GPIMH, LLCMANAGING MEMBERDomestic entity | GIH PARENT, LLC | Percentage not specifiedCode F | Yes | MANAGING MEMBER11/2024 | Schedule BPDF page 40 |
| 17 | GUGGENHEIM INVESTMENTS HOLDINGS, LLCMEMBERDomestic entity | GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC | 75% or moreCode E | Yes | MEMBER11/2024 | Schedule BPDF page 40 |
| 18 | GIH PARENT, LLCMEMBERDomestic entity | GUGGENHEIM INVESTMENTS HOLDINGS, LLC | 75% or moreCode E | Yes | MEMBER08/2024 | Schedule BPDF page 40 |
| 19 | GIH BORROWER, LLCMEMBERDomestic entity | GIH PARENT, LLC | 75% or moreCode E | Yes | MEMBER08/2024 | Schedule BPDF page 40 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 3/31/2026 2:53:31 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* 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.