Private fund adviser · New York, NY
Guggenheim Private Investments, LLC
SEC-registered investment adviser · CRD 331479 · SEC 801-131052
At a glance
Guggenheim Private Investments, LLC is an SEC-registered investment adviser based in New York, New York, with $349 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, and it reports 1 individual clients. By Form ADV it is a private fund adviser, ranked 3,418th of 4,686 private fund advisers and 9,413th of 17,210 SEC-registered advisers by assets.
Main office 212-518-9010guggenheiminvestments.comAs filed on Form ADV
- Regulatory AUM
- $349M
- Rank among private fund advisers
- #3,418 of 4,686
- Rank among all SEC RIAs
- #9,413 of 17,210
- Rank in New York
- #1,660 of 2,591
- Individual clients
- 1
- High-net-worth clients
- 1
- Accounts
- 7
- Discretionary
- 95% of AUM
- Employees
- 5
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Dina Marie DilorenzoPresident
- Robert A. SapersteinChief Compliance Officer
- Suzanne StoneHead of Client Service, Guggenheim Private Investments, LLC
Custody and brokerage
Broker-dealer
Hybrid RIA
Guggenheim Private Investments, LLC is a hybrid RIA: 3 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 Europe Limited, 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 Europe Limited
- 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 GPI officers are also registered representatives of GIS.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 2 | $333M | 95% |
| High-net-worth individuals | 1 | $12M | 3% |
| Insurance companies | 4 | $4M | 1% |
Private funds
Guggenheim Private Investments, LLC reports 2 private funds with $333M in gross assets: private equity funds, real estate funds (Form ADV Item 7.B).
Disciplinary disclosures
Guggenheim Private Investments, 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
- 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 ↗
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The full record on Guggenheim Private Investments, 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, 2 years of filings
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- Growth over one, three and five years
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- Rank against 2,165 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 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 Private Investments, LLC manage?
Guggenheim Private Investments, LLC reports $349 million in regulatory assets under management across 7 accounts, 95% of it on a discretionary basis, on its Form ADV filed July 30, 2026.
What kind of firm is Guggenheim Private Investments, LLC?
Guggenheim Private Investments, 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 Private Investments, LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($333 million, 2 clients); high-net-worth individuals ($12 million, 1 clients); insurance companies ($4 million, 4 clients).
Does Guggenheim Private Investments, LLC manage private funds?
Yes. It reports 2 private funds with $333 million in gross assets, including private equity funds, real estate funds.
Does Guggenheim Private Investments, LLC have any disciplinary history?
Guggenheim Private Investments, 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 Private Investments, 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 →