Guggenheim Investments

RIASEC Registered
Total AUM
$4.1B
Discretionary
$4.1B
100% of AUM
Avg account
$1.4B
Accounts
3
Employees
5
Advisory reps
5

Firm details

Headquarters
Chicago, Illinois
CRD number
129288
Registered since
November 17, 2003
Fee structure
Percentage of AUM
Client types
  • Investment Companies100%
Services
Portfolio Management for Investment CompaniesSelection of Other Advisers

Firm profile

FINTRX

Overview

Guggenheim Investments operates as an institutional registered investment adviser (LLC) that has been SEC-registered since 2003. The firm serves primarily institutional clients and charges fees based on a percentage of assets under management. Its activities extend beyond traditional advisory work: Guggenheim functions as a capital allocator, provides portfolio management for investment companies, selects other advisers, and is active as a CPO/CTA. Industry affiliations indicate the firm also engages across broker-dealer, registered municipal advisor, security-based swap dealer, insurance company, pension consultant, real-estate sponsor, and pooled-vehicle sponsor/GP roles. The firm is not identified as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

FINTRX

Contacts

FINTRX

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 84

Active vs passive

$1B in ETFs

Passive

73%

$754M

Active

7%

$279M

ETFProviderStyleCategoryValueShares% of portfolio
SPDR S&P 500 ETF TRUST (SPY)State StreetPassiveLarge Blend$166M222,48116.08%

Location

Primary office

Chicago, IL

Cook

Location

Chicago, IL

Headquartered in Chicago, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
Cook
Address
227 W Monroe St
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth