Guggenheim Partners Investment Management LLC

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Guggenheim Partners Investment Management LLC ✚
CRD #	137432
SEC #	801-66786
CIK #	0001425498, 0001425852
AUM	240.66 B (2026-03-31)
Employees	588 (28% Investors, 10% Brokers)
Phone	212-739-0700
Address	330 Madison Avenue New York, NY 10017
Source	[IAPD] [EDGAR] [Website] [LinkedIn] [Instagram]

Total AUM ($B) Copy

Sector	Form 13F Holdings	Value ($B)
	Nvidia Corp	0.5
	Apple Inc	0.4
	Microsoft Corp	0.3
	Broadcom Inc	0.2
	Amazon Com Inc	0.2
	Alphabet Inc	0.2
	Facebook Inc	0.2
	Lam Research Corp	0.2
	Wal Mart Stores Inc	0.2
	Micron Technology Inc	0.1
View All

Holdings by Sector ($B)

Type	Form D Funds	Date	Sold	AUM
PE	Omaha Beach Investment Holdings LLC	2026-03-31		33.7 M
PE	ACRI Holdings II LLC	2025-03-31		104.7 M
PE	ACRI Holdings LLC	2025-03-31		425.6 M
PE	Bronco Media Holdings LLC	2025-03-31		16.6 M
RE	Campa Funding LLC	2025-03-31		285.7 M
RE	Fitzcarraldo Funding LLC	2025-03-31		295.2 M
PE	Gies LLC	2025-03-31		219.2 M
SA	GLAM Milhsg Fee LLC	2025-03-31		263.9 M
PE	G-One Holdings LLC	2025-03-31		21.9 M
PE	G-Puff 2 LLC	2025-03-31		309.2 M
PE	G-Puff 3 LLC	2025-03-31		26.1 M
PE	G-Puff LLC	2025-03-31		22.5 M
RE	Gre-Aspen Funding LLC	2025-03-31		166.8 M
RE	Gre-Birch Funding LLC	2025-03-31		187.9 M
RE	Gre-Harbor 22 Funding LLC	2025-03-31		188.8 M
RE	Gre-Iviron Funding LLC	2025-03-31		204.8 M
RE	Gre-Monarch 22 Funding LLC	2025-03-31		104.8 M
RE	Gre-Pine Funding LLC	2025-03-31		173.8 M
RE	Gre-Samara Funding LLC	2025-03-31		159.2 M
RE	Gre-Spruce Funding LLC	2025-03-31		164.8 M
PE	Guggenheim Foundations Fund AGG 1 LP	[2025-03-31]	88.6 M	120.2 M
	Filed 2026-01-15 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Revenue Decline to Disclose
SA	Guggenheim Partners Opportunistic Rated Note Feeder LLC	2025-03-31		0.0 M
PE	Gulf of Mexico Energy Infrastructure Platform LLC S-1	2025-03-31		201.9 M
PE	Gulf of Mexico Energy Infrastructure Platform LLC S-2	2025-03-31		12.6 M
PE	Hyperscale Funding LLC	2025-03-31		82.5 M
PE	Hypnos Funding LLC	2025-03-31		78.5 M
RE	Molly AIDA Funding LLC	2025-03-31		301.1 M
RE	Orinoco Funding LLC	2025-03-31		301.4 M
RE	Promenade Funding LLC	2025-03-31		48.9 M
RE	Rosales Funding LLC	2025-03-31		181.9 M
PE	SB Tech Holdings I LLC	2025-03-31		117.0 M
PE	Short Line Rail Transportation LLC	2025-03-31		116.4 M
PE	Teton Holdings I LLC	2025-03-31		46.3 M
RE	Ulmus Funding LLC	2025-03-31		169.2 M
SA	Guggenheim CLO 2022-2 Ltd	2024-03-29		388.6 M
SA	Guggenheim CLO 2022-1 Stat Ltd	2023-03-31		0.0 M
SA	Guggenheim CLO 2020-1 Ltd	2021-03-31		92.5 M
HF	Guggenheim Partners Opportunistic Investment Grade Securities Offshore Master Fund Ltd	[2020-08-24]	556.0 M	507.2 M
	Filed 2025-10-14 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $5,000,000 · Remaining Indefinite · Duration More than one year · Commission $22,500 · Net Assets Decline to Disclose
SA	Artemis Aircraft Investments LLC	2020-03-30		89.1 M
SA	Gibsl SN LLC	2020-03-30		0.1 M
SA	Guggenheim CLO 2019-1 Ltd	2020-03-30		10.2 M
SA	Guggenheim MM CLO 2019-2 Ltd	2020-03-30		415.6 M
SA	GIMM CN LLC	2019-03-31		139.8 M
SA	Guggenheim MM CLO 2018-1 Ltd	2019-03-31		157.1 M
SA	Rest-Ny LLC	2019-03-31		74.5 M
SA	Shepard Aircraft Investment LLC	2019-03-31		68.7 M
SA	Auburn CLO Ltd	2018-03-30
PE	Guggenheim Corporate Opportunity Fund Investment Vehicle LP	2018-03-30		50.0 M
PE	Guggenheim Corporate Opportunity Fund LP	[2018-03-30]	200.0 M	205.0 M
	Filed 2017-10-06 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $5,000,000 · Remaining Indefinite · Duration More than one year · Commission $9,918,750 · Revenue Decline to Disclose
SA	Hempstead II CLO Ltd	2018-03-30		0.5 M
SA	Mercer Field II CLO Ltd	2018-03-30		0.7 M
SA	OP-IG Fund Alternative Investment Company LLC	[2018-03-30]	248.6 M	70.7 M
	Offered $248,637,950 · Filed 2017-12-15 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $1,500,000 · Duration One year or less · Net Assets Decline to Disclose
SA	Aecorn LLC	2017-03-31		0.0 M
SA	Aircraft Lease Securitisation Limited	2017-03-31		11.1 M
SA	GCN I LLC	2017-03-31		123.2 M
PE	GHW HoldCo LLC	2017-03-31		22.4 M
SA	Rest-At LLC	2017-03-31		27.5 M
PE	Wattage Finance-NC LLC	[2017-03-31]	116.3 M	58.3 M
	Offered $116,326,728 · Filed 2016-06-17 (D) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $1,000,000 · Duration One year or less · Revenue Decline to Disclose
SA	Guggenheim Private Debt Fund Note Issuer 20 LLC	[2016-08-24]	1,148.9 M	32.5 M
	Offered $2,000,000,000 · Filed 2017-09-22 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $851,052,631 · Duration More than one year · Commission $683,000 · Net Assets Decline to Disclose
HF	Guggenheim Private Debt Master Fund 20 LLC	[2016-08-24]	386.5 M	43.5 M
	Offered $2,000,000,000 · Filed 2017-09-22 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $5,000,000 · Remaining $1,613,500,000 · Duration More than one year · Commission $683,000 · Net Assets Decline to Disclose
SA	1828 CLO Ltd	2016-03-30		132.7 M
SA	5180-2 CLO LP	2016-03-30		0.1 M
SA	CSCN LLC	2016-03-30		2.5 M
SA	GRX LLC	2016-03-30		2.4 M
HF	Guggenheim Core Plus Master Fund Ltd	[2016-03-30]	96.4 M
	Filed 2023-01-10 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Commission $126,323 · Net Assets Decline to Disclose
HF	Guggenheim Loan Master Fund Ltd	[2016-03-30]	577.6 M	505.7 M
	Filed 2025-10-14 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Commission $741,249 · Net Assets Decline to Disclose
SA	KHCN LLC	2016-03-30		137.4 M
SA	Kitty Hawk CLO 2015-1 LLC	2016-03-30		553.3 M
SA	Meburb LLC	2016-03-30		127.4 M
SA	Merlin Series 2015-A LLC	2016-03-30
SA	Merlin Series 2015-B LLC	2016-03-30
SA	Merlin Series 2015-C LLC	2016-03-30
SA	NZCG Funding 2 Limited	2016-03-30		851.7 M
SA	OM2 Limited	2016-03-30		1.1 M
SA	Paris Finance III LLC	[2016-03-30]	135.5 M	68.2 M
	Offered $135,500,000 · Filed 2016-05-26 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Duration One year or less · Net Assets Decline to Disclose
SA	Sail VFN Note Issuer Ltd	[2016-03-30]	282.0 M	77.3 M
	Offered $282,000,000 · Filed 2013-11-22 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Duration One year or less · Net Assets Decline to Disclose
SA	Salem Fields CLO Ltd	2016-03-30		0.0 M
SA	Seven Sticks CLO Ltd	2016-03-30		4.0 M
SA	Voltage Finance LLC	[2016-03-30]	136.1 M
	Offered $136,056,298 · Filed 2013-11-07 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Duration One year or less · Net Assets Decline to Disclose
PE	Wattage Finance-Oh LLC	[2016-03-30]	131.6 M	1.6 M
	Offered $131,612,334 · Filed 2015-11-02 (D) · Exemption 506(b), 3(c), 3(c)(7) · Duration One year or less · Revenue Decline to Disclose
SA	at Funding Note Issuer LLC	[2015-03-31]	290.2 M	150.5 M
	Offered $290,209,174 · Filed 2013-08-06 (D) · Exemption 506, 3(c), 3(c)(7) · Minimum $250,000 · Duration One year or less · Net Assets Decline to Disclose
SA	I-Sail LLC	[2015-03-31]	27.3 M	0.0 M
	Offered $114,586,035 · Filed 2013-06-20 (D) · Exemption 506, 3(c), 3(c)(7) · Minimum $500,000 · Remaining $87,316,875 · Duration More than one year · Net Assets Decline to Disclose
SA	Paris Finance II LLC	[2015-03-31]	125.1 M	141.4 M
	Offered $125,099,948 · Filed 2014-04-25 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Duration One year or less · Net Assets Decline to Disclose
SA	Paris Finance I LLC	[2015-03-31]	145.6 M	0.2 M
	Offered $145,563,883 · Filed 2014-04-25 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Duration One year or less · Net Assets Decline to Disclose
SA	Rest-Av LLC	2015-03-31		10.8 M
PE	Rest LLC	[2015-03-31]	206.0 M	28.5 M
	Offered $206,043,400 · Filed 2014-10-16 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Duration One year or less · Net Assets Decline to Disclose
SA	Sail 4 VFN Note Issuer LLC	[2015-03-31]	282.0 M	13.0 M
	Offered $282,000,000 · Filed 2013-11-22 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Duration One year or less · Net Assets Decline to Disclose
SA	Sailes 4-O LLC	[2015-03-31]	86.7 M
	Offered $86,700,000 · Filed 2013-11-22 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Duration One year or less · Net Assets Decline to Disclose
SA	Sails-3 LLC	[2015-03-31]	43.4 M	3.2 M
	Offered $43,449,254 · Filed 2013-08-06 (D) · Exemption 506, 3(c), 3(c)(7) · Minimum $250,000 · Duration One year or less · Net Assets Decline to Disclose
PE	Trigger Investco LLC	2015-03-31		5.0 M
PE	US Builder Services Holdings LLC	2015-03-31
PE	Wattage Finance LLC	2015-03-31		0.2 M
SA	Ziggurat CLO Ltd	2015-03-02		2.8 M
HF	Bandera Strategic Credit Partners II LP	[2014-11-26]	50.2 M	438.5 M
	Filed 2014-10-10 (D) · Exemption 3(c), 3(c)(7) · Minimum $250,000 · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
HF	Guggenheim Partners Opportunistic Investment Grade Securities Private Pensions Fund LLC	2014-11-26
PE	Cardcash Holdings LLC	2014-02-28
HF	Guggenheim Concinnity Capital Stewardship Fund LLC	[2014-02-28]	10.0 M
	Filed 2013-10-28 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $5,000,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Guggenheim Concinnity Strategy Fund LP - Multi-Cap Series	2014-02-28		216.0 M
HF	Guggenheim Concinnity Strategy Fund LP - Tactical Series	2014-02-28		3.1 M
HF	Guggenheim Loan Fund LLC	[2014-02-28]	454.9 M	137.2 M
	Filed 2025-10-14 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Commission $594,920 · Net Assets Decline to Disclose
SA	HCN LLC	[2014-02-28]	234.2 M
	Offered $234,204,287 · Filed 2014-03-10 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $7,500,000 · Duration One year or less · Net Assets Decline to Disclose
SA	Hempstead CLO LP	[2014-02-28]	431.7 M	2.7 M
	Offered $431,700,000 · Filed 2014-03-10 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $250,000 · Duration One year or less · Net Assets Decline to Disclose
HF	Guggenheim Alpha Solutions Fund LLC	[2013-11-26]	1.5 M	0.0 M
	Filed 2013-07-15 (D) · Exemption 506, 3(c), 3(c)(7) · Minimum $10,000,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Guggenheim High-Yield Fund LLC	[2013-11-26]	16.6 M	71.8 M
	Filed 2024-03-15 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Commission $37,500 · Net Assets Decline to Disclose
PE	Internet Radio Funding II LLC	2013-11-26		0.1 M
PE	Guggenheim Aircraft Opportunity Fund LP	[2013-02-28]	45.0 M	150.0 M
	Filed 2013-01-11 (D) · Exemption 506, 3(c), 3(c)(7) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
HF	Guggenheim Aircraft Opportunity Master Fund LP	[2013-02-28]	45.0 M	24.4 M
	Filed 2013-01-11 (D) · Exemption 506, 3(c), 3(c)(7) · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose
SA	Mercer Field CLO LP	2013-02-28		1,077.1 M
HF	Guggenheim Concinnity Multi-Strategy Fund LP	2012-11-27		221.5 M
HF	Guggenheim Concinnity Strategy Fund LP - Market Neutral Series	2012-11-27		13.0 M
HF	Guggenheim Concinnity Strategy Fund LP - Multi-Cap Series	2012-11-27		209.3 M
HF	Guggenheim Concinnity Strategy Fund LP - Tactical Series	2012-11-27
PE	Guggenheim Investors Fund LLC	2012-11-27		107.1 M
Other	Guggenheim Private Debt Fund LLC	2012-11-27
Other	Guggenheim Private Debt Fund Ltd	[2012-11-27]	100.0 M	50.0 M
	Offered $1,400,000,000 · Filed 2013-10-11 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $5,000,000 · Remaining $1,300,000,000 · Duration More than one year · Net Assets Decline to Disclose
SA	Guggenheim Private Debt Fund Note Issuer LLC	[2012-11-27]	952.0 M	3.2 M
	Offered $1,350,000,000 · Filed 2013-07-25 (D/A) · Exemption 506, 3(c), 3(c)(7) · Minimum $160,000 · Remaining $398,000,000 · Duration More than one year · Net Assets Decline to Disclose
HF	Guggenheim Private Debt Master Fund LLC	[2012-11-27]	100.0 M
	Offered $1,400,000,000 · Filed 2013-10-11 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $5,000,000 · Remaining $1,300,000,000 · Duration More than one year · Net Assets Decline to Disclose
SA	Bingham CDO LP	2012-08-20
HF	Guggenheim Stella Fund LP	2012-08-20		51.8 M
HF	Guggenheim Stella Master Fund SPC	2012-08-20		5.9 M
HF	Guggenheim Stella Multi Strategy Fund LP	2012-08-20		5.9 M
HF	Guggenheim IQ Equity Fund Ltd	2012-07-13		0.1 M
HF	Guggenheim IQ Equity Master Fund Ltd	2012-07-13		0.2 M
HF	Guggenheim Partners Opportunistic Investment Grade Securities Fund LLC	[2012-07-13]	1,383.6 M	1,593.4 M
	Filed 2012-06-28 (D/A) · Exemption 506, 3(c)(7) · Minimum $25,000,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Guggenheim Partners Opportunistic Investment Grade Securities Fund Ltd	2012-07-13		108.9 M
SA	5180 CLO LP	2012-03-30		0.7 M
SA	Adams Street CBO 1998-1 Ltd	2012-03-30		0.1 M
SA	Copper River CLO Ltd	2012-03-30		4.2 M
SA	Fortwirth CDO Ltd	2012-03-30
PE	GPM-Center Court LLC	2012-03-30		4.9 M
HF	Guggenheim Alpha Segregated Portfolio - Wilshire Institutional Master Fund SPC	2012-03-30		403.2 M
HF	Guggenheim Apsley Fund LP	[2012-03-30]	14.3 M	0.0 M
	Filed 2009-07-21 (D) · Exemption 506 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Guggenheim Beta Plus Solution Fund SPC - Segregated Portfolio 1	2012-03-30		43.0 M
HF	Guggenheim Beta Plus Solution Fund SPC - Segregated Portfolio 2	2012-03-30		50.4 M
HF	Guggenheim Beta Plus Solution Fund SPC - Segregated Portfolio 3	2012-03-30		48.8 M
HF	Guggenheim Beta Plus Solution Fund SPC - Segregated Portfolio 4	2012-03-30		59.2 M
HF	Guggenheim Concinnity Master Strategy Fund SPC - Market Neutral	2012-03-30		24.3 M
HF	Guggenheim Concinnity Master Strategy Fund SPC - Multi-Cap	2012-03-30		3.2 M
HF	Guggenheim Concinnity Master Strategy Fund SPC - Tactical	2012-03-30		3.2 M
PE	Guggenheim Energy Opportunities Fund LP	[2012-03-30]	175.0 M	41.3 M
	Filed 2013-08-16 (D/A) · Exemption 506, 3(c), 3(c)(7) · Minimum $5,000,000 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF	Guggenheim High-Yield Plus Master Fund SPC High Yield Loan Plus Master Segregated Portfolio	[2012-03-30]	571.2 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 Master Fund SPC Master Segregated Portfolio B	[2012-03-30]	571.2 M	1.1 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 Master Fund SPC Master Segregated Portfolio C	[2012-03-30]	571.2 M	0.1 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 Partners Covered Call Fund LP	[2012-03-30]		48.9 M
HF	Guggenheim Partners Opportunistic Investment Grade Securities Master Fund Ltd	[2012-03-30]	237.0 M	1,094.7 M
	Filed 2021-08-24 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
PE	Internet Radio Funding LLC	2012-03-30		0.0 M
SA	Kennecott Funding Ltd	2012-03-30		0.1 M
SA	Magma CDO Ltd	2012-03-30		0.3 M
PE	Minerva Holdings LLC	2012-03-30		59.1 M
SA	NZCG Funding Ltd	2012-03-30
HF	NZC Guggenheim Master Fund Ltd	[2012-03-30]	408.0 M	182.3 M
	Filed 2025-10-14 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $100,000 · Remaining Indefinite · Duration More than one year · Commission $168,307 · Net Assets Decline to Disclose
HF	Orpheus Funding LLC	2012-03-30		1.1 M
HF	Orpheus Holdings LLC	2012-03-30		5.5 M
HF	Orpheus Holdings Ltd	[2012-03-30]	194.6 M	0.8 M
	Filed 2013-08-19 (D/A) · Exemption 506, 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
SA	Sands Point Funding Ltd	2012-03-30		0.6 M
SA	Stellar Funding Ltd	2012-03-30		0.4 M

AUM Breakdown	Accounts	AUM ($B)
By Client Type
(a) Individuals (other than high net worth individuals)	210	0.1
(b) Individuals (high net worth individuals)	5	0.5
(c) Banking or thrift institutions	17	18.0
(d) Investment companies	22	70.7
(e) Business development companies	1	0.0
(f) Pooled investment vehicles	65	7.5
(g) Pension and profit sharing plans	4	0.6
(h) Charitable organizations	18	0.6
(i) State or municipal government entities	11	4.0
(j) Other investment advisers	2	0.3
(k) Insurance companies	61	134.7
(l) Sovereign wealth funds and foreign official institutions	1	1.5
(m) Corporations or other businesses not listed above	20	1.9
(n) Other	3	0.2
Total	440	240.7
By Discretionary
Discretionary	432	240.4
Non-Discretionary	8	0.3
Total	440	240.7
By Non-United States Persons
Non-United States Persons		31.3
United States Persons		209.4
Total	440	240.7

Limited Partners	2011 - 2026
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	Role	# Filings	# Firms
Roger Hanson	Director	255	86
Don Seymour	Director	315	72
Amber Ramsey	Director	72	30
Paras Malde	Director	77	26
William Shaw	Director	93	23
Nicole Ramroop	Director	43	19
Sam Ellis	Director	106	18
Kevin Solomon	Director	98	14
Claire Kasumba	Director	32	14
Christopher Lebeau	Director	34	13
View All

EDGAR Form	CIK	2011 - 2026
3	[0001425498]
4	[0001425498]
13F-NT	[0001425852]
3	[0001425852]
4	[0001425852]

Firm Profile (Form ADV)
Discretionary AUM	$124.1B
Serves	Institutional, Retail
Fund Types	Hedge Fund, Private Equity, Real Estate
LEI	549300XWQLVNUK615E79

Related People Network
50 people file Form D offerings alongside this firm's people.

Form 3/4/5 Subject	2011 - 2026
Guggenheim Active Allocation Fund
Guggenheim Partners Investment Management LLC
Diamond Resorts International Inc
Guggenheim Partners Investment Management Holdings LLC
Guggenheim Partners LLC
Guggenheim Capital LLC
Merge Healthcare Inc

Insider Transaction (Form 3/4/5)	Date	Action	Shares	Price	Value ($)
Diamond Resorts International Inc DRII Call Option (Obligation to Sell) · derivative	2016-07-18	Option exercise	1,511,808	$0.00
Diamond Resorts International Inc DRII Common Stock, $0.01 par value per share	2016-07-18	Option exercise	1,511,808	$12.56	18,988,308
Diamond Resorts International Inc DRII Common Stock, $0.01 par value per share	2016-07-15	Buy	630,004	$30.14	18,988,321
Diamond Resorts International Inc DRII Common Stock, $0.01 par value per share	2016-07-15	Buy	630,004	$30.14	18,988,321
Diamond Resorts International Inc DRII Call Option (Obligation to Sell) · derivative	2016-07-15	Option exercise	1,511,808	$0.00
Diamond Resorts International Inc DRII Common Stock, $0.01 par value per share	2016-07-15	Option exercise	1,511,808	$12.56	18,988,308
Diamond Resorts International Inc DRII Common Stock, $0.01 par value per share	2016-07-15	Option exercise	1,511,808	$12.56	18,988,308
Diamond Resorts International Inc DRII Call Option (Obligation to Sell) · derivative	2016-07-15	Option exercise	1,511,808	$0.00
Diamond Resorts International Inc DRII Call Option (Obligation to Sell) · derivative	2016-07-11	E	2	$0.00
Merge Healthcare Inc MRGE Common Stock	2015-10-13	Conversion	8,963,302
Merge Healthcare Inc MRGE Common Stock	2015-10-13	Conversion	110,236
Merge Healthcare Inc MRGE Series A Convertible Preferred Stock · derivative	2015-10-13	Conversion	115	$0.00
Merge Healthcare Inc MRGE Series A Convertible Preferred Stock · derivative	2015-10-13	Conversion	9,090	$0.00
Merge Healthcare Inc MRGE Series A Convertible Preferred Stock · derivative	2015-10-13	Conversion	36,996	$0.00
Merge Healthcare Inc MRGE Series A Convertible Preferred Stock · derivative	2015-10-13	Conversion	3,344	$0.00
Merge Healthcare Inc MRGE Series A Convertible Preferred Stock · derivative	2015-10-13	Conversion	455	$0.00
Merge Healthcare Inc MRGE Common Stock	2015-10-13	Tender	810,157	$7.13	5,776,419
Merge Healthcare Inc MRGE Common Stock	2015-10-13	Tender	27,861	$7.13	198,649
Merge Healthcare Inc MRGE Common Stock	2015-10-13	Tender	110,236	$7.13	785,983
Merge Healthcare Inc MRGE Common Stock	2015-10-13	Tender	2,202,299	$7.13	15,702,392
showing 20 of 26 most recent transactions

Comparable Firms	State	AUM
FIAM LLC ✚	RI	347.73 B
DWS Investment Management Americas Inc ✚	NY	199.66 B
Oaktree Capital Management LP ✚	CA	183.29 B
General Atlantic Service Company LP ✚	NY	125.26 B
Brown Advisory LLC ✚	MD	124.31 B
Iconiq Capital LLC ✚	CA	117.53 B
Principal Real Estate Investors LLC ✚	IA	105.65 B
Mai Capital Management LLC ✚	OH	52.10 B
SCS Capital Management LLC ✚	MA	48.65 B
Abrdn Inc ✚	PA	41.48 B

Guggenheim Partners Investment Management LLC

Assets, Funds, Holdings