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GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC

dba GUGGENHEIM INVESTMENTS · CRD 129288 · Registered Investment Adviser

GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC is a Registered Investment Adviser headquartered in CHICAGO, IL. The firm reports $4,118,720,575 in regulatory assets under management across 3 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$4,118,720,575
Non-discretionary$0
Total RAUM$4,118,720,575
Accounts3

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 129288. adviserinfo.sec.gov/firm/summary/129288.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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