Broker-dealer firm · Chicago, IL
Guggenheim Funds Distributors, LLC
SEC-registered investment adviser · CRD 39805 · SEC 801-54810
At a glance
Guggenheim Funds Distributors, LLC is an SEC-registered investment adviser based in Chicago, Illinois, with $7.8 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is investment companies. By Form ADV it is a broker-dealer firm, ranked 81st of 391 broker-dealer firms and 1,595th of 17,210 SEC-registered advisers by assets.
Main office 312-357-1007guggenheiminvestments.comAs filed on Form ADV
- Regulatory AUM
- $7.8B
- Rank among broker-dealer firms
- #81 of 391
- Rank among all SEC RIAs
- #1,595 of 17,210
- Rank in Illinois
- #87 of 684
- Clients
- 1
- Accounts
- 290
- Discretionary
- 100% of AUM
- Employees
- 245
- Advisory staff
- 8
- Offices
- 3
Owners and executives on its Form ADV
- Dominick Nmn CogliandroChief Operating Officer, Unit Investment Trust Business
- Amy Jo LeeGeneral Counsel, Secretary, and Senior Managing Director
- Dennis Ryan MetzgerChief Compliance Officer
- Elisabeth Ann MillerSenior Managing Director
- Christopher Vito ParisiHead of Distribution, Senior Managing Director
- Dina Marie DilorenzoPresident of the Broker Dealer, Guggenheim Funds Distributors, LLC
- Ying ChanFinancial and Operations Principal
Custody and brokerage
Custodian
Guggenheim Funds Distributors, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Guggenheim Funds Distributors, LLC is a hybrid RIA: 137 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Guggenheim Investor Services, LLC, Guggenheim Partners Japan, LTD. and Guggenheim Securities, LLC.
- Guggenheim Investor Services, LLC ↗CRD 30096
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
- Guggenheim Partners Japan, LTD.
- Guggenheim Securities, LLC ↗CRD 40638
An introducing broker-dealer: its trades clear through Pershing, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 1 | $7.8B | 100% |
Disciplinary disclosures
Guggenheim Funds Distributors, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for investment companies
How it’s paid
- A percentage of assets under management
- Other
Form ADV and brochures on the SEC’s adviser search ↗guggenheiminvestments.com ↗
AtlasMembers
The full record on Guggenheim Funds Distributors, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
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- Rank against 75 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Guggenheim Funds Distributors, LLC manage?
Guggenheim Funds Distributors, LLC reports $7.8 billion in regulatory assets under management across 290 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Guggenheim Funds Distributors, LLC?
Guggenheim Funds Distributors, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Guggenheim Funds Distributors, LLC’s clients?
By assets, its largest client types are investment companies ($7.8 billion, 1 clients).
Does Guggenheim Funds Distributors, LLC have any disciplinary history?
Guggenheim Funds Distributors, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Guggenheim Funds Distributors, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →