Asset manager · Santa Monica, CA
Guggenheim Wealth Solutions, LLC
SEC-registered investment adviser · CRD 283238 · SEC 801-107511
At a glance
Guggenheim Wealth Solutions, LLC is an SEC-registered investment adviser based in Santa Monica, California, with $371 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is other, and it reports 210 individual clients. By Form ADV it is a asset manager, ranked 1,824th of 3,218 asset managers and 9,143rd of 17,210 SEC-registered advisers by assets.
Main office 310-576-1270guggenheiminvestments.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $371M
- Rank among asset managers
- #1,824 of 3,218
- Rank among all SEC RIAs
- #9,143 of 17,210
- Rank in California
- #1,054 of 1,873
- Individual clients
- 210
- High-net-worth clients
- 0
- Accounts
- 242
- Discretionary
- 100% of AUM
- Employees
- 10
- Advisory staff
- 6
- Offices
- 4
Owners and executives on its Form ADV
- Joanna M. CatalucciChief Compliance Officer
- Dina Marie DilorenzoManaging Partner, President
- Steven H. BrownChief Investment Officer for Fixed Income, Guggenheim Wealth Solutions, LLC
- Anne B. WalshManaging Partner, Chief Investment Officer, Guggenheim Wealth Solutions, LLC
- Suzanne StoneHead of Client Service, Guggenheim Wealth Solutions, LLC
Custody and brokerage
Broker-dealer
Hybrid RIA
Guggenheim Wealth Solutions, LLC is a hybrid RIA: 4 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 March 2026) names Guggenheim Funds Distributors as the broker-dealer its advisers are registered with.
Certain of the Adviser’s supervised persons and related sales personnel are associated with GFD, and in that capacity engage in marketing or selling activities with respect to shares or interests in Guggenheim Funds advised or sub-advised b
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Other | – | $160M | 43% |
| Individuals | 210 | $103M | 28% |
| Charitable organizations | 14 | $84M | 23% |
| State or municipal government entities | – | $9M | 2% |
| Corporations or other businesses | 9 | $7M | 2% |
| High-net-worth individuals | – | $6M | 2% |
| Pension and profit sharing plans | – | $1M | <1% |
| Insurance companies | – | $1M | <1% |
| Other investment advisers | – | $0M | <1% |
Disciplinary disclosures
Guggenheim Wealth Solutions, 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
- Selecting other advisers
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗guggenheiminvestments.com ↗
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The full record on Guggenheim Wealth Solutions, 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, 9 years of filings
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- Growth over one, three and five years
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- Rank against 963 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 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 Wealth Solutions, LLC manage?
Guggenheim Wealth Solutions, LLC reports $371 million in regulatory assets under management across 242 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Guggenheim Wealth Solutions, LLC?
Guggenheim Wealth Solutions, 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 Wealth Solutions, LLC’s clients?
By assets, its largest client types are other ($160 million); individuals ($103 million, 210 clients); charitable organizations ($84 million, 14 clients).
Does Guggenheim Wealth Solutions, LLC have any disciplinary history?
Guggenheim Wealth Solutions, 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 Wealth Solutions, 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 →