GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

RIASEC RegisteredEst. 2006
Total AUM
$241B
Discretionary
$240B
100% of AUM
Avg account
$547M
Accounts
440
Employees
588
Advisory reps
8

Firm details

Headquarters
New York, New York
CRD number
137432
Registered since
June 14, 2006
Custodians
CITI PRIVATE BANK, BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
Fee structure
Percentage of AUM, Fixed Fees, Performance Based Fees
Client types
  • Insurance Companies55.97%
  • Investment Companies29.38%
  • Banking / Thrift Institutions7.47%
  • Pooled Investment Vehicles3.14%
  • State / Municipal Government1.67%
Services
Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

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Overview

Guggenheim Partners Investment Management, LLC is a multi-strategy asset manager that runs both traditional and alternative products for individual, family and institutional clients. The firm is structured as a limited liability company and operates across hedge fund, private equity, real estate and securitized-asset strategies, and it acts as sponsor or manager of pooled vehicles. Its advisory work spans direct portfolio management for individuals and small businesses through to management of investment companies and pooled investment vehicles. Fee arrangements include percentage-of-AUM, fixed fees and performance-based fees, and the firm reports active ESG investment activity as part of its process. Guggenheim also engages in commodity, credit and structured-product markets and maintains business activity registrations consistent with CPO/CTA operations and other dealer/sponsor roles. Investment focus is tilted toward fixed income and structured credit, with a large institutional-scale allocation to investment‑grade corporate bonds alongside multi-asset and opportunistic strategies. The firm both manages proprietary funds and allocates to third‑party alternative managers across private equity, venture capital, private credit and hedge funds when those exposures complement its internal strategies.

Assets & Accounts

Investments & Alternatives

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Investment Grade Corp Bonds 38%, US Government Bonds 17%, Other 15%, Private Funds 14%, State & Local Bonds 6%, Non-Exchange Traded Equities 3%, Non-Investment Grade Corp Bonds 3%, Cash & Cash Equivalents 2%, Sovereign Bonds 1%, Derivatives 1%38%
  • Investment Grade Corp Bonds38%
  • US Government Bonds17%
  • Other15%
  • Private Funds14%
  • State & Local Bonds6%

Owners & executives

3 of 3
  • STEVEN BROWN

    Chief Investment OfficerCRD 7245822

  • ROBERT SAPERSTEIN

    Chief Compliance OfficerCRD 2567876

  • ANNE WALSH

    Chief Investment OfficerCRD 2671132

Contacts

3 of 5
  • LEIGH POGGIO

    Managing DirectorCRD 2660890

  • QI YAN

    Managing DirectorCRD 5338547

  • Suzanne Stone

    DirectorCRD 5558728

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

New York, NY

NEW YORK

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
NEW YORK
Address
330 Madison Ave
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth