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Chief Compliance Officer · Guggenheim Investments

Margaux M. Misantone

CRD 4949669 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Guggenheim Investments, an SEC-registered asset manager based in New York, NY with $8.0 billion in regulatory assets, lists Margaux M. Misantone on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Margaux at 1 other registered adviser.

Firms and roles

AtlasMembers

Margaux’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
2 firmsLocked
Control-person status
2 firmsLocked
When each role began
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Each firm’s assets and growth
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Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (6)

1 more person named with Margaux on the same filings, with titles and firms. Free in Atlas with a free account.

See all 6 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Margaux’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.