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| Guggenheim Partners Investment Management LLC
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| CRD # | 137432 |
| SEC # | 801-66786 |
| CIK # | 0001425852, 0001425498 |
| 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 ($B) |
|---|
| Sector | Form 13F Holdings | Value ($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 ($B) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| PE | Omaha Beach Investment Holdings LLC | 2026-03-31 | 33.7 M | |
| PE | ACRI Holdings II LLC | 2025-03-31 | 104.7 M | |
| PE | ACRI Holdings LLC | 2025-03-31 | 425.6 M | |
| PE | Bronco Media Holdings LLC | 2025-03-31 | 16.6 M | |
| RE | Campa Funding LLC | 2025-03-31 | 285.7 M | |
| RE | Fitzcarraldo Funding LLC | 2025-03-31 | 295.2 M | |
| PE | Gies LLC | 2025-03-31 | 219.2 M | |
| SA | GLAM Milhsg Fee LLC | 2025-03-31 | 263.9 M | |
| PE | G-One Holdings LLC | 2025-03-31 | 21.9 M | |
| PE | G-Puff 2 LLC | 2025-03-31 | 309.2 M | |
| View All | ||||
| AUM Breakdown | Accounts | AUM ($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 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| 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 | |
| Sherri Fleming | Director | 53 | 12 | |
| The Bank of New York Mellon | Executive Officer | 23 | 6 | |
| Anthony Minella | Executive Officer | 23 | 6 | |
| Steven Brown | Executive Officer | 65 | 5 | |
| James Freeland | Executive Officer | 42 | 5 | |
| Gregg Nardone | Executive Officer | 39 | 5 | |
| Todd Hearle | Executive Officer | 28 | 5 | |
| Nicholas Sandler | Executive Officer | 15 | 5 | |
| Michael Damaso | Executive Officer | 14 | 5 | |
| Guggenheim Partners Investment Management LLC | Executive Officer, Promoter | 36 | 4 | |
| Christopher Boyle | Executive Officer | 19 | 4 | |
| Kevin Gundersen | Executive Officer | 18 | 4 | |
| Alastair McKeever | Executive Officer | 17 | 4 | |
| Patrick Mitchell | Executive Officer | 12 | 4 | |
| Adrian Duffy | Executive Officer | 11 | 4 | |
| Daniel Montegari | Executive Officer | 7 | 4 | |
| Timothy Murray | Executive Officer | 25 | 3 | |
| Todd Boehly | Executive Officer | 22 | 3 | |
| B Minerd | Executive Officer, Promoter | 21 | 3 | |
| Zachary Warren | Executive Officer | 18 | 3 | |
| Matthew Bloom | Executive Officer | 17 | 3 | |
| Jeffrey Abrams | Executive Officer | 16 | 3 | |
| Thomas Hauser | Executive Officer | 13 | 3 | |
| William Hagner | Executive Officer | 9 | 3 | |
| Joseph McCurdy | Executive Officer | 9 | 3 | |
| Russell Parks III | Executive Officer | 9 | 3 | |
| Guggenheim Partners LLC | Executive Officer, Promoter | 9 | 3 | |
| Stephen Sautel | Executive Officer | 9 | 3 | |
| Guggenheim Investment Management LLC | Executive Officer, Promoter | 7 | 3 | |
| Jason Anthony | Executive Officer | 6 | 3 | |
| Jeff Abrams | Executive Officer | 6 | 3 | |
| Erich Schram | Executive Officer | 5 | 3 | |
| Chris Miller | Executive Officer | 19 | 2 | |
| Kevin Gunderson | Executive Officer | 14 | 2 | |
| Anne Walsh | Executive Officer, Promoter | 12 | 2 | |
| US Bank National Association as Trustee | Executive Officer | 8 | 2 | |
| James Michal | Executive Officer, Promoter | 8 | 2 | |
| Scott Minerd | Executive Officer | 7 | 2 | |
| Deutsche Bank Trust Company Americas | Executive Officer | 7 | 2 | |
| Adam Bloch | Executive Officer | 6 | 2 | |
| Wilmington Trust National Association | Executive Officer | 5 | 2 | |
| Bryan Moss | Executive Officer | 5 | 2 | |
| Sarah Foley | Executive Officer | 4 | 2 | |
| Pradeep Killamsetty | Executive Officer | 4 | 2 | |
| Beth Haddock | Executive Officer | 3 | 2 | |
| James Pass | Executive Officer | 3 | 2 | |
| Thomas Archie | Executive Officer | 3 | 2 | |
| Guggenheim Partners Asset Management LLC | Promoter | 2 | 2 | |
| Carrie Bunton | Director | 2 | 2 | |
| Rich de Wet | Executive Officer | 2 | 2 | |
| Jeffrey Bartlett | Executive Officer | 2 | 2 | |
| Donald Walsh | Executive Officer | 2 | 1 | |
| Guggenheim Aircraft Opportunity GP LLC | Executive Officer | 2 | 1 | |
| Guggenheim Energy LLC | Promoter | 1 | 1 | |
| Wilmington Trust | Executive Officer | 1 | 1 | |
| Guggenheim Investments Foundations Fund GP LLC | Promoter | 1 | 1 | |
| Tyler Fenelon | Executive Officer | 1 | 1 | |
| John Tanyeri | Executive Officer | 1 | 1 | |
| Natixis Sa Acting Via ITS New York Branch | Executive Officer | 1 | 1 | |
| Patrick Warren | Executive Officer | 1 | 1 | |
| Gpim Holdings VI LLC | Executive Officer | 1 | 1 | |
| Guggenheim Private Debt Fund Managing Member LLC | Promoter | 1 | 1 | |
| Ray Kljajic | Executive Officer | 1 | 1 | |
| Lorraine Spurge | Executive Officer | 1 | 1 | |
| Eric Silvergold | Promoter | 1 | 1 | |
| Todd Boely | Executive Officer | 1 | 1 | |
| Ging Moy | Executive Officer | 1 | 1 | |
| Thoams Hauser | Executive Officer | 1 | 1 | |
| 0 Guggenheim Investment Management LLC | Promoter | 1 | 1 | |
| Craig Fox | Executive Officer | 1 | 1 | |
| Gpim Holdings V LLC | Executive Officer | 1 | 1 | |
| Matthew Lindland | Promoter | 1 | 1 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 3 | [0001425498] | |
| 4 | [0001425498] | |
| 13F-NT | [0001425852] | |
| 3 | [0001425852] | |
| 4 | [0001425852] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $124.1B |
| Serves | Institutional, Retail |
| Fund Types | Hedge Fund, Private Equity, Real Estate |
| LEI | 549300XWQLVNUK615E79 |
| Related People Network |
|---|
| 50 people file Form D offerings alongside this firm's people. |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
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 | |||||
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