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 an LLC-structured asset manager that operates a range of pooled vehicles and discretionary portfolios across public and private markets. Registered with the SEC since 2006, the firm is organized as a multifaceted fund manager—running hedge, private equity, real estate and securitized-asset strategies—and also functions as a sponsor/GP and other roles across pooled vehicles. Its client base spans high-net-worth individuals and families as well as institutional investors. The firm charges a mix of percentage-of-AUM, fixed and performance-based fees, serves in CPO/CTA capacities, and lists portfolio management for individuals, pooled vehicles, investment companies and institutions among its advisory activities. It identifies as an active ESG investor. Guggenheim maintains a broad set of industry affiliations beyond traditional advising, including broker-dealer and insurance company relationships and registration as a registered security-based swap dealer and registered municipal advisor, reflecting a diversified set of business lines and distribution channels.
Assets & Accounts
Investments & Alternatives
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 3
Steven 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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