AdvisorGrade
Fee-basedFiduciaryNationalInternational

Guggenheim Partners Investment Management, LLC

Guggenheim Partners Investment Management, LLC is a fee-based, SEC-registered investment adviser in New York, New York, registered with the SEC since 2006, managing approximately $240.7B. As an SEC-registered adviser it is held to a fiduciary standard. Its exact fee schedule and account minimums are disclosed in Form ADV Part 2A.

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Source: SEC Form ADV · CRD #137432 · SEC #801-66786 · SEC-registered since 2006 (20 yrs) · Last filing data January 1, 2026

AUM
$240.7B

as of 2026

Fee model
Fee-based

per Form ADV 5.E

Clients
Not reported

Form ADV 5.C — may be institutional

Employees
588

166 advisers

Assets per adviser

$1.4Bper adviser

A scale-normalized measure that lets you compare large and small firms. The typical firm in our directory manages about $102M per adviser — this firm runs leaner (more assets per adviser).

Overview

AI-generated summary

Guggenheim Partners Investment Management, LLC is a fee-based, SEC-registered investment adviser based in New York, New York. It reported approximately $240.7B in regulatory assets under management on its most recent Form ADV. The firm reports one or more disclosure events on Form ADV Item 11 — see the disclosures section below.

This summary is generated from Form ADV data and may not capture all nuances. Always review the complete SEC filing before making decisions.

Firm details

CRD #
137432
SEC #
801-66786
Headquarters
New York, NY
Employees
588

Clients served

Client types not reported on this filing.

Fees & compensation

  • Compensation model: Fee-based — the firm reports client fees and may also receive commissions on certain products.
  • Typical fee range: See Part 2A. Exact advisory fee rates are reported in Form ADV Part 2A, not Part 1.
  • Account minimum: See Part 2A. Minimums are disclosed in the firm's Part 2A brochure.
  • Custodial, trading, and fund expenses may apply in addition to advisory fees. See the firm's Form ADV Part 2A for the complete fee schedule.

Assets under management

2026$240.7B
Assets under management by year
YearReported AUM
2026$240.7B

Reflects the most recent Form ADV filing. Multi-year history is added as additional historical filings are ingested.

Disclosures

  • 2026 · SEC or CFTC regulatory disclosure

    Guggenheim Partners Investment Management, LLC reported one or more matters in this category on Form ADV Item 11. Form ADV Part 1 indicates that a disclosure exists but not its outcome; review the full Disclosure Reporting Pages on the SEC IAPD record for details and resolution.

  • Detailed, AI-summarized breakdowns of each event are being rolled out across the directory. For now, review the full Disclosure Reporting Pages on the SEC IAPD record.

Frequently asked questions

Is Guggenheim Partners Investment Management, LLC a fiduciary?+

Yes. Guggenheim Partners Investment Management, LLC is an SEC-registered investment adviser (CRD #137432), which means it is held to a fiduciary standard and must act in its clients' best interest. Verify its current status on the SEC's Investment Adviser Public Disclosure (IAPD) site.

How is Guggenheim Partners Investment Management, LLC compensated?+

Guggenheim Partners Investment Management, LLC reports a fee-based compensation model on its Form ADV. Fee-based advisers charge client fees and may also earn commissions on certain products. Exact fee rates and account minimums are disclosed in the firm's Form ADV Part 2A brochure.

How much money does Guggenheim Partners Investment Management, LLC manage?+

Guggenheim Partners Investment Management, LLC reported approximately $240.7B in regulatory assets under management as of its most recent Form ADV filing.

Does Guggenheim Partners Investment Management, LLC have any disclosures?+

Guggenheim Partners Investment Management, LLC reported one or more disclosure events on Form ADV Item 11 (sec or cftc regulatory disclosure). A disclosure is not by itself a finding of wrongdoing; review the full Disclosure Reporting Pages on the SEC IAPD site.

This profile is generated from publicly available SEC filings. Guggenheim Partners Investment Management, LLC has not verified or endorsed this information. Last updated from filings: January 1, 2026. View the official filing at SEC IAPD.

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