Guggenheim Investment Management LLC

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Assets, Funds, Holdings

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Guggenheim Investment Management LLC
CRD #117827
SEC #801-60745
CIK #
AUM
Employees
Phone212-644-2876
Address135 E 57th Street
New York, NY 10022
Source [IAPD] [Website]
Total AUM ($BB)
40322416802000200720152023
Type Form D Funds Date Sold ($MM) AUM ($MM)
Other 1888 Fund Ltd 2012-03-30 127.8
Other Green Lane CLO Ltd 2012-03-30 336.8
HF Guggenheim High-Yield Plus Fund LLC - Class B [2012-03-30] 571.2 19.7
HF Guggenheim High-Yield Plus Fund LLC - Class C [2012-03-30] 571.2 5.8
HF Guggenheim High-Yield Plus Fund SPC - Segregated Portfolio B [2012-03-30] 571.2 20.7
HF Guggenheim High-Yield Plus Fund SPC - Segregated Portfolio C [2012-03-30] 571.2 1.0
HF High-Yield Loan Plus Class [2012-03-30] 571.2 69.0
HF High-Yield Loan Plus Segregated Portfolio [2012-03-30] 571.2 21.3
HF Minerva Holdings Ltd 2012-03-30 53.2
HF NZC Guggenheim Fund LLC [2012-03-30] 1,112.4 779.9
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AUM Breakdown Accounts AUM ($BB)
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 # Filings # Firms 2011 - 2024
William Shaw 90
Kevin Solomon 94
Sherri Fleming 46
Christopher Lebeau 34
James Freeland 42
Gregg Nardone 39
Todd Hearle 28
Patrick Mitchell 12
Guggenheim Partners Investment Management LLC 34
Christopher Boyle 15
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