SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Guggenheim Partners Investment Management, LLC
New York, NY
CRD 137432
Firm filing updated July 30, 2026 ·
- $240.7BAssets
- 166Advisory staff
- 440Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Performance-based feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- Individuals210
- Pooled vehicles65
- Insurance companies61
- Investment companies22
- Corporations or other businesses20
- and 5 more52
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 210 | $102.9 million |
| High net worth individuals | 5 | $454.9 million |
| Banking or thrift institutions | 17 | $18.0 billion |
| Investment companies | 22 | $70.7 billion |
| Business development companies | 1 | $155,562 |
| Pooled investment vehicles (other than investment companies and business development companies) | 65 | $7.5 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $646.7 million |
| Charitable organizations | 18 | $562.3 million |
| State or municipal government entities (including government pension plans) | 11 | $4.0 billion |
| Other investment advisors | Fewer than 5 clients | $333.2 million |
| Insurance companies | 61 | $134.7 billion |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | $1.5 billion |
| Corporations or other businesses not listed above | 20 | $1.9 billion |
| Other: "LIMITED PARTNERSHIPS, WELFARE BENEFIT FUNDS, EMPLOYEE HEALTH PLANS" | Fewer than 5 clients | $239.4 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 5 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other: "CONSULTATION/ADVISEMENT ON TRANSACTIONS/STRUCTURING PORTFOLIOS"
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other: "CONSULTATION/ADVISEMENT ON TRANSACTIONS/STRUCTURING PORTFOLIOS"
Assets and accounts
- Regulatory assets$240.7 billion
- Accounts440
- Discretionary$240.4 billion · 432 accounts
- Non-discretionary$277.5 million · 8 accounts
People
- Employees588
- Advisory staff166
- Broker-dealer reps56
- Licensed insurance agents0
Advisors
2 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 137432, SEC file 801-66786.
- Registered with the SEC as an investment advisor (status date on record: June 14, 2006).
Is Guggenheim Partners Investment Management, LLC a fiduciary?
Short answer: Guggenheim Partners Investment Management, LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 56 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.