Asset manager · New York, NY
Guggenheim Investment Advisors, LLC
SEC-registered investment adviser · CRD 108263 · SEC 801-57781
At a glance
Guggenheim Investment Advisors, LLC is an SEC-registered investment adviser based in New York, New York, with $841 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is corporations or other businesses. By Form ADV it is a asset manager, ranked 1,442nd of 3,218 asset managers and 5,930th of 17,210 SEC-registered advisers by assets.
Main office 212-739-0700guggenheimpartners.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $841M
- Rank among asset managers
- #1,442 of 3,218
- Rank among all SEC RIAs
- #5,930 of 17,210
- Rank in New York
- #1,238 of 2,591
- Clients
- 25
- Accounts
- 58
- Discretionary
- 68% of AUM
- Employees
- 9
- Advisory staff
- 8
- Offices
- 3
Owners and executives on its Form ADV
- Dina Marie DilorenzoHead
- Lisa B. KostChief Compliance Officer
Custody and brokerage
Custodian
- Bank J. Safra Sarasin (bahamas) LTD.$112M
Broker-dealer
Hybrid RIA
Guggenheim Investment Advisors, LLC is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Guggenheim Funds Distributors, LLC, Guggenheim Investor Services, LLC, Guggenheim Partners Japan, LTD. and Guggenheim Securities, LLC.
- Guggenheim Funds Distributors, LLC ↗CRD 39805
- 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 |
|---|---|---|---|
| Corporations or other businesses | 25 | $826M | 98% |
| High-net-worth individuals | – | $15M | 2% |
Disciplinary disclosures
Guggenheim Investment Advisors, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗guggenheimpartners.com ↗
AtlasMembers
The full record on Guggenheim Investment Advisors, 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
- Locked
- Rank against 1,014 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 2 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 Investment Advisors, LLC manage?
Guggenheim Investment Advisors, LLC reports $841 million in regulatory assets under management across 58 accounts, 68% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Guggenheim Investment Advisors, LLC?
Guggenheim Investment Advisors, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Guggenheim Investment Advisors, LLC’s clients?
By assets, its largest client types are corporations or other businesses ($826 million, 25 clients); high-net-worth individuals ($15 million).
Does Guggenheim Investment Advisors, LLC have any disciplinary history?
Guggenheim Investment Advisors, 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 Investment Advisors, 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 →