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 Private Investments, LLC
New York, NY
CRD 331479
Firm filing updated July 30, 2026 ·
- $349.5MAssets
- 2Advisory staff
- 7Accounts
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
- Pooled vehicles2
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | Fewer than 5 clients | $12.2 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 2 | $333.0 million |
| Insurance companies | Fewer than 5 clients | $4.3 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 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/ PRODUCT DEVELOPMENT"
- 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/ PRODUCT DEVELOPMENT"
Assets and accounts
- Regulatory assets$349.5 million
- Accounts7
- Discretionary$333.0 million · 2 accounts
- Non-discretionary$16.5 million · 5 accounts
People
- Employees5
- Advisory staff2
- Broker-dealer reps3
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 331479, SEC file 801-131052.
- Registered with the SEC as an investment advisor (status date on record: September 11, 2024).
Is Guggenheim Private Investments, LLC a fiduciary?
Short answer: Guggenheim Private Investments, 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: 3 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.