Guggenheim Investment Management LLC

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Guggenheim Investment Management LLC ✚
CRD #	117827
SEC #	801-60745
CIK #
AUM
Employees
Phone	212-644-2876
Address	135 E 57th Street New York, NY 10022
Source	[IAPD] [Website]

Total AUM ($B) Copy

Type	Form D Funds	Date	Sold	AUM
Other	1888 Fund Ltd	2012-03-30		127.8 M
Other	Green Lane CLO Ltd	2012-03-30		336.8 M
HF	Guggenheim High-Yield Plus Fund LLC - Class B	[2012-03-30]	571.2 M	19.7 M
	Filed 2014-09-11 (D/A) · Exemption 506(b), 3(c), 3(c)(1), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Guggenheim High-Yield Plus Fund LLC - Class C	[2012-03-30]	571.2 M	5.8 M
	Filed 2014-09-11 (D/A) · Exemption 506(b), 3(c), 3(c)(1), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Guggenheim High-Yield Plus Fund SPC - Segregated Portfolio B	[2012-03-30]	571.2 M	20.7 M
	Filed 2014-09-11 (D/A) · Exemption 506(b), 3(c), 3(c)(1), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Guggenheim High-Yield Plus Fund SPC - Segregated Portfolio C	[2012-03-30]	571.2 M	1.0 M
	Filed 2014-09-11 (D/A) · Exemption 506(b), 3(c), 3(c)(1), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	High-Yield Loan Plus Class	[2012-03-30]	571.2 M	69.0 M
	Filed 2014-09-11 (D/A) · Exemption 506(b), 3(c), 3(c)(1), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	High-Yield Loan Plus Segregated Portfolio	[2012-03-30]	571.2 M	21.3 M
	Filed 2014-09-11 (D/A) · Exemption 506(b), 3(c), 3(c)(1), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Minerva Holdings Ltd	2012-03-30		53.2 M
HF	NZC Guggenheim Fund LLC	[2012-03-30]	1,112.4 M	779.9 M
	Filed 2025-10-14 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Commission $113,500 · Net Assets Decline to Disclose
View All

AUM Breakdown	Accounts	AUM ($B)
By Client Type
(a) Individuals (other than high net worth individuals)	0	0.0
(b) Individuals (high net worth individuals)	0	0.0
(c) Banking or thrift institutions	0	0.0
(d) Investment companies	0	0.0
(e) Business development companies	0	0.0
(f) Pooled investment vehicles	0	0.0
(g) Pension and profit sharing plans	0	0.0
(h) Charitable organizations	0	0.0
(i) State or municipal government entities	0	0.0
(j) Other investment advisers	0	0.0
(k) Insurance companies	0	0.0
(l) Sovereign wealth funds and foreign official institutions	0	0.0
(m) Corporations or other businesses not listed above	0	0.0
(n) Other	0	0.0
Total	5	4.2
By Discretionary
Discretionary	5	4.2
Non-Discretionary	0	0.0
Total	5	4.2
By Non-United States Persons
Non-United States Persons		0.0
United States Persons		4.2
Total	5	4.2

Form D Directors	Role	# Filings	# Firms
Anthony Minella	Executive Officer	23	6
James Freeland	Executive Officer	42	5
Gregg Nardone	Executive Officer	39	5
Todd Hearle	Executive Officer	28	5
Michael Damaso	Executive Officer	14	5
Guggenheim Partners Investment Management LLC	Executive Officer	36	4
Christopher Boyle	Executive Officer	19	4
Kevin Gundersen	Executive Officer	18	4
Alastair McKeever	Executive Officer	17	4
Adrian Duffy	Executive Officer	11	4
View All

Firm Profile (Form ADV)
Discretionary AUM	$10.9B
Serves	Institutional, Retail
Fund Types	Hedge Fund, Private Equity

Guggenheim Investment Management LLC

Assets, Funds, Holdings