Guggenheim Partners Investment Management LLC

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Guggenheim Partners Investment Management LLC ✚
CRD #	137432
SEC #	801-66786
CIK #	0001425498, 0001425852
AUM	$228.7 B (2025-06-05)
Employees	575 (30% Investors, 9% Brokers)
Phone	212-739-0700
Address	330 Madison Avenue New York, NY 10017
Source	[IAPD] [EDGAR] [Website] [Twitter] [LinkedIn] [Instagram]

Total AUM ($B) Copy

Sector	Form 13F Holdings	Value ($B)
	Nvidia Corp	0.6
	Microsoft Corp	0.5
	Apple Inc	0.4
	Broadcom Inc	0.3
	Amazon Com Inc	0.3
	Facebook Inc	0.3
	Alphabet Inc	0.2
	Costco Wholesale Corp /NEW	0.1
	Netflix Inc	0.1
	Cisco Systems Inc	0.1
View All

Holdings by Sector ($B)

Type	Form D Funds	Date	Sold ($M)	AUM ($M)
PE	ACRI Holdings II LLC	2025-03-31		80.6
PE	ACRI Holdings LLC	2025-03-31		373.4
PE	Bronco Media Holdings LLC	2025-03-31		18.2
RE	Campa Funding LLC	2025-03-31		278.0
RE	Fitzcarraldo Funding LLC	2025-03-31		288.6
PE	Gies LLC	2025-03-31		214.1
SA	GLAM Milhsg FEE LLC	2025-03-31		261.4
PE	G-One Holdings LLC	2025-03-31		32.2
PE	G-Puff 2 LLC	2025-03-31		330.4
PE	G-Puff 3 LLC	2025-03-31		19.6
PE	G-Puff LLC	2025-03-31		25.7
RE	Gre-Aspen Funding LLC	2025-03-31		169.1
RE	Gre-Birch Funding LLC	2025-03-31		173.5
RE	Gre-Harbor 22 Funding LLC	2025-03-31		173.7
RE	Gre-Iviron Funding LLC	2025-03-31		206.5
RE	Gre-Monarch 22 Funding LLC	2025-03-31		98.3
RE	Gre-Pine Funding LLC	2025-03-31		161.3
RE	Gre-Samara Funding LLC	2025-03-31		145.3
RE	Gre-Spruce Funding LLC	2025-03-31		152.9
PE	Guggenheim Foundations Fund AGG 1 LP	[2025-03-31]	0.0	0.0
SA	Guggenheim Partners Opportunistic Rated Note Feeder LLC	2025-03-31		0.0
PE	Gulf of Mexico Energy Infrastructure Platform LLC S-1	2025-03-31		207.8
PE	Gulf of Mexico Energy Infrastructure Platform LLC S-2	2025-03-31		13.0
PE	Hyperscale Funding LLC	2025-03-31		78.3
PE	Hypnos Funding LLC	2025-03-31		92.0
RE	Molly AIDA Funding LLC	2025-03-31		293.1
RE	Orinoco Funding LLC	2025-03-31		292.3
RE	Promenade Funding LLC	2025-03-31		57.4
RE	Rosales Funding LLC	2025-03-31		185.0
PE	SB Tech Holdings I LLC	2025-03-31		117.1
PE	Short Line RAIL Transportation LLC	2025-03-31		108.7
PE	Teton Holdings I LLC	2025-03-31		81.4
RE	Ulmus Funding LLC	2025-03-31		173.8
SA	Guggenheim CLO 2022-2 Ltd	2024-03-29		407.1
SA	Guggenheim CLO 2022-1 Stat Ltd	2023-03-31		2.5
SA	Guggenheim CLO 2020-1 Ltd	2021-03-31		189.2
HF	Guggenheim Partners Opportunistic Investment Grade Securities Offshore Master Fund Ltd	[2020-08-24]	556.0	484.5
SA	Artemis Aircraft Investments LLC	2020-03-30		89.2
SA	Gibsl SN LLC	2020-03-30		0.1
SA	Guggenheim CLO 2019-1 Ltd	2020-03-30		398.7
SA	Guggenheim MM CLO 2019-2 Ltd	2020-03-30		415.6
SA	GIMM CN LLC	2019-03-31		159.1
SA	Guggenheim MM CLO 2018-1 Ltd	2019-03-31		247.0
SA	Rest-Ny LLC	2019-03-31		74.5
SA	Shepard Aircraft Investment LLC	2019-03-31		68.3
SA	Auburn CLO Ltd	2018-03-30		0.0
PE	Guggenheim Corporate Opportunity Fund Investment Vehicle LP	2018-03-30		50.0
PE	Guggenheim Corporate Opportunity Fund LP	[2018-03-30]	200.0	205.0
SA	Hempstead II CLO Ltd	2018-03-30		0.6
SA	Mercer Field II CLO Ltd	2018-03-30		0.8
SA	OP-IG Fund Alternative Investment Company LLC	[2018-03-30]	248.6	70.7
SA	Aecorn LLC	2017-03-31		0.0
SA	Aircraft Lease Securitisation Limited	2017-03-31		59.4
SA	GCN I LLC	2017-03-31		123.2
PE	GHW HoldCo LLC	2017-03-31		22.4
SA	Rest-At LLC	2017-03-31		27.5
PE	Wattage Finance-Nc LLC	[2017-03-31]	116.3	62.4
SA	Guggenheim Private Debt Fund Note Issuer 20 LLC	[2016-08-24]	1,148.9	50.8
HF	Guggenheim Private Debt Master Fund 20 LLC	[2016-08-24]	90.0	692.4
SA	1828 CLO Ltd	2016-03-30		263.7
SA	5180-2 CLO LP	2016-03-30		0.1
SA	CSCN LLC	2016-03-30		3.7
SA	GRX LLC	2016-03-30		2.5
HF	Guggenheim Core Plus Master Fund Ltd	[2016-03-30]	96.4	0.0
HF	Guggenheim Loan Master Fund Ltd	[2016-03-30]	454.9	296.3
SA	KHCN LLC	2016-03-30		137.4
SA	Kitty Hawk CLO 2015-1 LLC	2016-03-30		553.3
SA	Meburb LLC	2016-03-30		127.4
SA	Merlin Series 2015-A LLC	2016-03-30		0.0
SA	Merlin Series 2015-B LLC	2016-03-30		0.0
SA	Merlin Series 2015-C LLC	2016-03-30		0.0
SA	NZCG Funding 2 Limited	2016-03-30		851.7
SA	OM2 Limited	2016-03-30		1.1
SA	Paris Finance III LLC	[2016-03-30]	135.5	68.2
SA	Sail VFN Note Issuer Ltd	[2016-03-30]	282.0	77.3
SA	Salem Fields CLO Ltd	2016-03-30		0.3
SA	Seven Sticks CLO Ltd	2016-03-30		3.8
SA	Voltage Finance LLC	[2016-03-30]	136.1	0.0
PE	Wattage Finance-Oh LLC	[2016-03-30]	131.6	94.9
SA	at Funding Note Issuer LLC	[2015-03-31]	290.2	150.5
SA	I-Sail LLC	[2015-03-31]	27.3	0.0
SA	Paris Finance II LLC	[2015-03-31]	125.1	141.4
SA	Paris Finance I LLC	[2015-03-31]	145.6	0.2
SA	Rest-Av LLC	2015-03-31		10.8
PE	REST LLC	[2015-03-31]	206.0	28.5
SA	Sail 4 VFN Note Issuer LLC	[2015-03-31]	282.0	13.0
SA	Sailes 4-O LLC	[2015-03-31]	86.7	0.0
SA	Sails-3 LLC	[2015-03-31]	43.4	3.2
PE	Trigger Investco LLC	2015-03-31		5.0
PE	US Builder Services Holdings LLC	2015-03-31		0.0
PE	Wattage Finance LLC	2015-03-31		0.2
SA	Ziggurat CLO Ltd	2015-03-02		2.8
HF	Bandera Strategic Credit Partners II LP	[2014-11-26]	50.2	438.5
HF	Guggenheim Partners Opportunistic Investment Grade Securities Private Pensions Fund LLC	2014-11-26		0.0
PE	Cardcash Holdings LLC	2014-02-28		0.0
HF	Guggenheim Concinnity Capital Stewardship Fund LLC	[2014-02-28]	10.0	0.0
HF	Guggenheim Concinnity Strategy Fund LP - Multi-Cap Series	2014-02-28		216.0
HF	Guggenheim Concinnity Strategy Fund LP - Tactical Series	2014-02-28		3.1
HF	Guggenheim Loan Fund LLC	[2014-02-28]	454.9	137.2
SA	HCN LLC	[2014-02-28]	234.2	0.0
SA	Hempstead CLO LP	[2014-02-28]	431.7	2.7
HF	Guggenheim Alpha Solutions Fund LLC	[2013-11-26]	1.5	0.0
HF	Guggenheim High-Yield Fund LLC	[2013-11-26]	267.8	68.6
PE	Internet Radio Funding II LLC	2013-11-26		0.1
PE	Guggenheim Aircraft Opportunity Fund LP	[2013-02-28]	45.0	150.0
HF	Guggenheim Aircraft Opportunity Master Fund LP	[2013-02-28]	45.0	24.4
SA	Mercer Field CLO LP	2013-02-28		1,077.1
HF	Guggenheim Concinnity Multi-Strategy Fund LP	2012-11-27		221.5
HF	Guggenheim Concinnity Strategy Fund LP - Market Neutral Series	2012-11-27		13.0
HF	Guggenheim Concinnity Strategy Fund LP - Multi-Cap Series	2012-11-27		209.3
HF	Guggenheim Concinnity Strategy Fund LP - Tactical Series	2012-11-27		0.0
PE	Guggenheim Investors Fund LLC	2012-11-27		107.1
Other	Guggenheim Private Debt Fund LLC	2012-11-27		0.0
Other	Guggenheim Private Debt Fund Ltd	[2012-11-27]	100.0	50.0
SA	Guggenheim Private Debt Fund Note Issuer LLC	[2012-11-27]	952.0	3.2
HF	Guggenheim Private Debt Master Fund LLC	[2012-11-27]	10.0	0.0
SA	Bingham CDO LP	2012-08-20		0.0
HF	Guggenheim Stella Fund LP	2012-08-20		51.8
HF	Guggenheim Stella Master Fund SPC	2012-08-20		5.9
HF	Guggenheim Stella Multi Strategy Fund LP	2012-08-20		5.9
HF	Guggenheim IQ Equity Fund Ltd	2012-07-13		0.1
HF	Guggenheim IQ Equity Master Fund Ltd	2012-07-13		0.2
HF	Guggenheim Partners Opportunistic Investment Grade Securities Fund LLC	[2012-07-13]	1,383.6	1,593.4
HF	Guggenheim Partners Opportunistic Investment Grade Securities Fund Ltd	2012-07-13		108.9
SA	5180 CLO LP	2012-03-30		0.7
SA	Adams Street CBO 1998-1 Ltd	2012-03-30		0.1
SA	Copper River CLO Ltd	2012-03-30		4.2
SA	Fortwirth CDO Ltd	2012-03-30		0.0
PE	Gpm-Center Court LLC	2012-03-30		4.9
HF	Guggenheim Alpha Segregated Portfolio - Wilshire Institutional Master Fund SPC	2012-03-30		403.2
HF	Guggenheim Apsley Fund LP	[2012-03-30]	14.3	0.0
HF	Guggenheim Beta Plus Solution Fund SPC - Segregated Portfolio 1	2012-03-30		47.7
HF	Guggenheim Beta Plus Solution Fund SPC - Segregated Portfolio 2	2012-03-30		53.7
HF	Guggenheim Beta Plus Solution Fund SPC - Segregated Portfolio 3	2012-03-30		49.8
HF	Guggenheim Beta Plus Solution Fund SPC - Segregated Portfolio 4	2012-03-30		60.7
HF	Guggenheim Concinnity Master Strategy Fund SPC - Market Neutral	2012-03-30		24.3
HF	Guggenheim Concinnity Master Strategy Fund SPC - Multi-Cap	2012-03-30		3.2
HF	Guggenheim Concinnity Master Strategy Fund SPC - Tactical	2012-03-30		3.2
PE	Guggenheim Energy Opportunities Fund LP	[2012-03-30]	175.0	42.9
HF	Guggenheim High-Yield Plus Master Fund SPC High Yield Loan Plus Master Segregated Portfolio	[2012-03-30]	571.2	0.0
HF	Guggenheim High-Yield Plus Master Fund SPC Master Segregated Portfolio B	[2012-03-30]	571.2	1.1
HF	Guggenheim High-Yield Plus Master Fund SPC Master Segregated Portfolio C	[2012-03-30]	571.2	0.1
HF	Guggenheim Partners Covered Call Fund LP	[2012-03-30]		48.9
HF	Guggenheim Partners Opportunistic Investment Grade Securities Master Fund Ltd	[2012-03-30]	312.7	1,072.7
PE	Internet Radio Funding LLC	2012-03-30		0.0
SA	Kennecott Funding Ltd	2012-03-30		0.9
SA	Magma CDO Ltd	2012-03-30		0.3
PE	Minerva Holdings LLC	2012-03-30		59.1
SA	NZCG Funding Ltd	2012-03-30		0.0
HF	NZC Guggenheim Master Fund Ltd	[2012-03-30]	1,112.4	203.9
HF	Orpheus Funding LLC	2012-03-30		1.2
HF	Orpheus Holdings LLC	2012-03-30		6.5
HF	Orpheus Holdings Ltd	[2012-03-30]	194.6	0.9
SA	Sands Point Funding Ltd	2012-03-30		0.6
SA	Stellar Funding Ltd	2012-03-30		0.4

AUM Breakdown	Accounts	AUM ($B)
By Client Type
(a) Individuals (other than high net worth individuals)	23	0.0
(b) Individuals (high net worth individuals)	0	0.4
(c) Banking or thrift institutions	18	17.3
(d) Investment companies	21	55.6
(e) Business development companies	1	0.0
(f) Pooled investment vehicles	71	8.3
(g) Pension and profit sharing plans	0	1.3
(h) Charitable organizations	6	0.5
(i) State or municipal government entities	8	2.9
(j) Other investment advisers	0	0.3
(k) Insurance companies	60	138.8
(l) Sovereign wealth funds and foreign official institutions	0	1.3
(m) Corporations or other businesses not listed above	14	2.0
(n) Other	0	0.1
Total	232	228.7
By Discretionary
Discretionary	224	228.5
Non-Discretionary	8	0.3
Total	232	228.7
By Non-United States Persons
Non-United States Persons		31.5
United States Persons		197.2
Total	232	228.7

Limited Partners	2011 - 2025
Alaska Division of Retirement and Benefits
California Public Employees' Retirement System
Illinois Municipal Retirement Fund
Los Angeles Fire and Police Pensions
Massachusetts Pension Reserves Investment Management
Minnesota State Board of Investment
New Jersey Division of Investment
New York City Employees' Retirement System
New York State and Local Retirement System
New York State Common Retirement Fund
Oregon Public Employees Retirement Fund
Teachers' Retirement System of the City of New York

Form D Directors	# Filings	# Firms	2011 - 2025
Roger Hanson	255
Don Seymour	315
Amber Ramsey	72
William Shaw	92
Paras Malde	75
Nicole Ramroop	42
Sam Ellis	106
Kevin Solomon	97
Christopher Lebeau	34
The Bank of New York Mellon	23
View All

EDGAR Form	CIK	2011 - 2025
3	[0001425498]
4	[0001425498]
13F-NT	[0001425852]
3	[0001425852]
4	[0001425852]

Form 3/4/5 Subject	2011 - 2025
Guggenheim Active Allocation Fund
Guggenheim Partners Investment Management, LLC
Guggenheim Partners Investment Management Holdings, LLC
Guggenheim Capital LLC
Diamond Resorts International, Inc.
Guggenheim Partners, LLC
Merge Healthcare Inc

Comparable Firms	State	AUM ($B)
JP Morgan Private Investments Inc ✚	NY	375.6
FIAM LLC ✚	RI	270.7
DWS Investment Management Americas Inc ✚	NY	193.1
Oaktree Capital Management LP ✚	CA	171.0
Brown Advisory LLC ✚	MD	121.9
General Atlantic Service Company LP ✚	NY	105.7
Principal Real Estate Investors LLC ✚	IA	99.4
Iconiq Capital LLC ✚	CA	95.1
PineBridge Investments LLC ✚	NY	73.2
Hall Capital Partners LLC ✚	CA	50.3

Guggenheim Partners Investment Management LLC

Assets, Funds, Holdings