GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
Firm details
- Headquarters
- New York, New York
- CRD number
- 137432
- Registered since
- June 14, 2006
- Website
- www.guggenheimpartners.com
- Custodians
- CITI PRIVATE BANK, BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
- Fee structure
- Percentage of AUM, Fixed Fees, Performance Based Fees
- Client types
- Insurance Companies55.97%
- Investment Companies29.38%
- Banking / Thrift Institutions7.47%
- Pooled Investment Vehicles3.14%
- State / Municipal Government1.67%
- Services
- Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients
Firm profile
FINTRXOverview
Guggenheim Partners Investment Management, LLC is a multi-strategy asset manager that runs both traditional and alternative products for individual, family and institutional clients. The firm is structured as a limited liability company and operates across hedge fund, private equity, real estate and securitized-asset strategies, and it acts as sponsor or manager of pooled vehicles. Its advisory work spans direct portfolio management for individuals and small businesses through to management of investment companies and pooled investment vehicles. Fee arrangements include percentage-of-AUM, fixed fees and performance-based fees, and the firm reports active ESG investment activity as part of its process. Guggenheim also engages in commodity, credit and structured-product markets and maintains business activity registrations consistent with CPO/CTA operations and other dealer/sponsor roles. Investment focus is tilted toward fixed income and structured credit, with a large institutional-scale allocation to investment‑grade corporate bonds alongside multi-asset and opportunistic strategies. The firm both manages proprietary funds and allocates to third‑party alternative managers across private equity, venture capital, private credit and hedge funds when those exposures complement its internal strategies.
Assets & Accounts
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Investment Grade Corp Bonds38%
- US Government Bonds17%
- Other15%
- Private Funds14%
- State & Local Bonds6%
Owners & executives
3 of 3STEVEN BROWN
Chief Investment OfficerCRD 7245822
ROBERT SAPERSTEIN
Chief Compliance OfficerCRD 2567876
ANNE WALSH
Chief Investment OfficerCRD 2671132
Contacts
3 of 5LEIGH POGGIO
Managing DirectorCRD 2660890
QI YAN
Managing DirectorCRD 5338547
Suzanne Stone
DirectorCRD 5558728
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
New York, NY
NEW YORK
Location
New York, NY
Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- NEW YORK
- Address
- 330 Madison Ave
- Time zone
- ET (UTC-5)
- Office locations
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