Guggenheim Partners Investment Management, LLC

Registered investment adviser · New York, NY · CRD #137432

Form ADV data as of 2026-09-01

Regulatory assets

$240.66 billion

Total accounts

440

Employees

588

Disclosure events

Firm details

Website: https://www.youtube.com/@guggenheiminvestments
Telephone: 212-739-0700
SEC file number: 801-66786
Most recent Form ADV filing: 2026-07-30
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 3 disclosure questions answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$240.38 billion
Non-discretionary regulatory assets under management	$277.5 million
Total regulatory assets under management	$240.66 billion
Discretionary accounts	432
Non-discretionary accounts	8
Total accounts	440
Regulatory assets under management attributable to non-U.S. persons	$31.30 billion

People

Total employees (excluding clerical)	588
Employees performing investment advisory functions (including research)	166
Employees who are registered representatives of a broker-dealer	56
Employees registered as investment adviser representatives with a state	8
Employees registered as IARs for another investment adviser	5
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	6

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$10.33 billion
Clients for whom the firm has custody	56
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	5

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)Performance-based fees

Advisory services offered

Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsOther

Other business activities

Commodity pool operator or commodity trading advisor

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered municipal advisorRegistered security-based swap dealerCommodity pool operator or commodity trading advisorInsurance company or agencyPension consultantReal estate broker or dealerSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys securities from or sells securities to advisory clients (principal transactions)
Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Brokers or dealers selected under 8.C.(3) are related persons
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	210	$102.9 million
High net worth individuals	5	$454.9 million
Banking or thrift institutions	17	$17.97 billion
Investment companies	22	$70.71 billion
Business development companies	1	$155,562
Pooled investment vehicles (other than investment companies and BDCs)	65	$7.55 billion
Pension and profit sharing plans (not the participants or government plans)	4	$646.7 million
Charitable organizations	18	$562.3 million
State or municipal government entities (including government pension plans)	11	$4.01 billion
Other investment advisers	2	$333.2 million
Insurance companies	61	$134.70 billion
Sovereign wealth funds and foreign official institutions	1	$1.46 billion
Corporations or other businesses not listed above	20	$1.93 billion
Other	3	$239.4 million