GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Overview

Guggenheim Funds Distributors, LLC is a broker-dealer and distributor that provides portfolio management services for investment companies. The firm is organized as an LLC and has been SEC-registered since 1997. Its stated client focus is institutional, and its fee arrangements include percentage-of-AUM and other fee structures. The dataset flags the firm as not an active ESG investor. The firm’s regulatory and business footprint includes roles beyond traditional distribution: it operates as a broker-dealer and is affiliated with other investment-adviser and sponsor roles. Those activities position the firm to work with pooled investment vehicles and institutional product placement rather than serving retail households directly.

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