Guggenheim Partners Investment Management, LLC

RIASEC Registered

Total AUM

$241B

Discretionary

$240B

100% of AUM

Avg account

$547M

Accounts

440

Employees

588

Advisory reps

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

FINTRX

Overview

Guggenheim Partners Investment Management, LLC is an investment manager organized as an LLC that operates across multiple product types, including hedge funds, private equity, real estate, securitized-asset strategies and other pooled vehicles. The firm is registered with the SEC (registration year 2006) and serves both individual/family clients and institutional investors. It provides portfolio management for individuals and small businesses, investment companies, pooled investment vehicles and institutional clients, and it also functions in commodity pool/CTA capacities. The firm charges a mix of percentage-of-AUM, fixed fees and performance-based fees. It describes itself as an active ESG investor and maintains a broad set of industry roles and affiliations—including broker-dealer relationships, sponsor/GP activity for pooled vehicles, insurance-company relationships and roles as a registered municipal advisor and security-based swap dealer.