GUGGENHEIM INVESTMENT ADVISORS, LLC

RIASEC RegisteredEst. 2000

Total AUM

$841M

Discretionary

$571M

68% of AUM

Avg account

$14.5M

Accounts

Employees

Advisory reps

Firm details

Headquarters: New York, New York
CRD number: 108263
Registered since: July 18, 2000
Website: www.guggenheiminvestments.com
Custodians: BANK J. SAFRA SARASIN (BAHAMAS) LTD.
Fee structure: Percentage of AUM
Client types: Corporations / Businesses98.22%
HNWI1.78%
Services: Portfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Guggenheim Investment Advisors, LLC is a limited liability company registered with the SEC since 2000 that provides portfolio management for both smaller-scale individual/small-business clients and institutional or business clients. The firm operates with an asset-based fee model and is engaged as a commodity pool operator/commodity trading advisor (CPO/CTA). Its client mix is described as institutional, and it does not identify as an active ESG investor. The firm holds multiple industry affiliations that extend beyond pure advisory work — these include broker-dealer relationships, roles as sponsor/GP/managing member of pooled investment vehicles, and registrations tied to municipal advisory, security-based swaps, insurance company activities, and pension consulting. That mix points to a platform that both allocates to and sponsors pooled products while providing discretionary portfolio services.