Asset manager · New York, NY
Guggenheim Partners Investment Management, LLC
SEC-registered investment adviser · CRD 137432 · SEC 801-66786
At a glance
Guggenheim Partners Investment Management, LLC is an SEC-registered investment adviser based in New York, New York, with $240.7 billion in regulatory assets under management as of its Form ADV filed July 30, 2026. Its largest client group by assets is insurance companies, and it reports 215 individual clients. By Form ADV it is a asset manager, ranked 65th of 3,218 asset managers and 107th of 17,210 SEC-registered advisers by assets.
Main office 212-739-0700guggenheiminvestments.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $241B
- Rank among asset managers
- #65 of 3,218
- Rank among all SEC RIAs
- #107 of 17,210
- Rank in New York
- #20 of 2,591
- Individual clients
- 215
- High-net-worth clients
- 5
- Accounts
- 440
- Discretionary
- 100% of AUM
- Employees
- 588
- Advisory staff
- 166
- Offices
- 5
Owners and executives on its Form ADV
- Brian E. BinderPresident, Mutual Funds Boards and SR. Managing Director
- Dina Marie DilorenzoManaging Partner, President
- Anne B. WalshManaging Partner, Chief Investment Officer, Guggenheim Partners Investment Management
- Steven H. BrownChief Investment Officer for Fixed Income, Guggenheim Partners Investment Management
- Robert A. SapersteinChief Compliance Officer
- Suzanne StoneHead of Client Service
Custody and brokerage
Broker-dealer
Hybrid RIA
Guggenheim Partners Investment Management, LLC is a hybrid RIA: 56 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
Its Form ADV brochure (filed July 2026) names Guggenheim Investor Services as the broker-dealer its advisers are registered with.
Certain GPIM employees who are (a) members of investment teams responsible for identifying and diligencing investment opportunities and (b) members of GPIM investment committees responsible for approving investment opportunities for investm
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Insurance companies | 61 | $135B | 56% |
| Investment companies | 22 | $71B | 29% |
| Banking or thrift institutions | 17 | $18B | 7% |
| Pooled investment vehicles | 65 | $7.5B | 3% |
| State or municipal government entities | 11 | $4.0B | 2% |
| Corporations or other businesses | 20 | $1.9B | <1% |
| Sovereign wealth funds and foreign official institutions | 1 | $1.5B | <1% |
| Pension and profit sharing plans | 4 | $647M | <1% |
| Charitable organizations | 18 | $562M | <1% |
| High-net-worth individuals | 5 | $455M | <1% |
| Other investment advisers | 2 | $333M | <1% |
| Other | 3 | $239M | <1% |
| Individuals | 210 | $103M | <1% |
| Business development companies | 1 | $0M | <1% |
Private funds
Guggenheim Partners Investment Management, LLC reports 73 private funds with $9.0B in gross assets: hedge funds, private equity funds, real estate funds, securitized asset funds (Form ADV Item 7.B).
Disciplinary disclosures
Guggenheim Partners Investment Management, LLC answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗guggenheiminvestments.com ↗
AtlasMembers
The full record on Guggenheim Partners Investment Management, 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
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- Growth over one, three and five years
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- Rank against 134 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Guggenheim Partners Investment Management, LLC manage?
Guggenheim Partners Investment Management, LLC reports $240.7 billion in regulatory assets under management across 440 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 30, 2026.
What kind of firm is Guggenheim Partners Investment Management, LLC?
Guggenheim Partners Investment Management, 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 Partners Investment Management, LLC’s clients?
By assets, its largest client types are insurance companies ($134.7 billion, 61 clients); investment companies ($70.7 billion, 22 clients); banking or thrift institutions ($18.0 billion, 17 clients).
Does Guggenheim Partners Investment Management, LLC manage private funds?
Yes. It reports 73 private funds with $9.0 billion in gross assets, including hedge funds, private equity funds, real estate funds, securitized asset funds.
Does Guggenheim Partners Investment Management, LLC have any disciplinary history?
Guggenheim Partners Investment Management, LLC answers yes to 3 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Guggenheim Partners Investment Management, 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 →