Private fund adviser · Stamford, CT
Guggenheim Investments Loan Advisors, LLC
SEC-registered investment adviser · CRD 339528 · SEC 801-135074
At a glance
Guggenheim Investments Loan Advisors, LLC is an SEC-registered investment adviser based in Stamford, Connecticut, with $155 million in regulatory assets under management as of its Form ADV filed July 30, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 4,264th of 4,686 private fund advisers and 13,507th of 17,210 SEC-registered advisers by assets.
Main office 203-202-8606guggenheiminvestments.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $155M
- Rank among private fund advisers
- #4,264 of 4,686
- Rank among all SEC RIAs
- #13,507 of 17,210
- Rank in Connecticut
- #447 of 507
- Clients
- 3
- Accounts
- 3
- Discretionary
- 100% of AUM
- Employees
- 10
- Advisory staff
- 8
- Offices
- 1
Owners and executives on its Form ADV
- Dina Marie DilorenzoPresident
- Robert D. ZableGlobal Head of Clos & Liquid Bank Loans
- Thomas L. IannaroneChief Operating Officer
- Maria O. RosenChief Compliance Officer
Custody and brokerage
Custodian
Guggenheim Investments Loan Advisors, 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 Investments Loan Advisors, LLC is a hybrid RIA: 1 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 |
|---|---|---|---|
| Pooled investment vehicles | 3 | $155M | 100% |
Private funds
Guggenheim Investments Loan Advisors, LLC reports 3 private funds with $155M in gross assets: securitized asset funds (Form ADV Item 7.B).
Disciplinary disclosures
Guggenheim Investments Loan 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 pooled investment vehicles
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗guggenheiminvestments.com ↗
AtlasMembers
The full record on Guggenheim Investments Loan 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, 1 years of filings
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- Growth over one, three and five years
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- Rank against 1,452 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Guggenheim Investments Loan Advisors, LLC manage?
Guggenheim Investments Loan Advisors, LLC reports $155 million in regulatory assets under management across 3 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 30, 2026.
What kind of firm is Guggenheim Investments Loan Advisors, LLC?
Guggenheim Investments Loan Advisors, LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Guggenheim Investments Loan Advisors, LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($155 million, 3 clients).
Does Guggenheim Investments Loan Advisors, LLC manage private funds?
Yes. It reports 3 private funds with $155 million in gross assets, including securitized asset funds.
Does Guggenheim Investments Loan Advisors, LLC have any disciplinary history?
Guggenheim Investments Loan 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 Investments Loan 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 (2026-07-30), 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 →