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

FINTRX

Overview

Guggenheim Partners Investment Management, LLC is an LLC-structured asset manager that operates a range of pooled vehicles and discretionary portfolios across public and private markets. Registered with the SEC since 2006, the firm is organized as a multifaceted fund manager—running hedge, private equity, real estate and securitized-asset strategies—and also functions as a sponsor/GP and other roles across pooled vehicles. Its client base spans high-net-worth individuals and families as well as institutional investors. The firm charges a mix of percentage-of-AUM, fixed and performance-based fees, serves in CPO/CTA capacities, and lists portfolio management for individuals, pooled vehicles, investment companies and institutions among its advisory activities. It identifies as an active ESG investor. Guggenheim maintains a broad set of industry affiliations beyond traditional advising, including broker-dealer and insurance company relationships and registration as a registered security-based swap dealer and registered municipal advisor, reflecting a diversified set of business lines and distribution channels.

Assets & Accounts

Investments & Alternatives

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

    Steven Brown

    Chief Investment OfficerCRD 7245822

  • Robert Saperstein

    Robert Saperstein

    Chief Compliance OfficerCRD 2567876

  • Anne Walsh

    Anne Walsh

    Chief Investment OfficerCRD 2671132

Contacts

3 of 5
  • Leigh Poggio

    Managing DirectorCRD 2660890

  • Qi Yan

    Qi Yan

    Managing DirectorCRD 5338547

  • Suzanne Stone

    Suzanne Stone

    DirectorCRD 5558728

Unlock 2 more contacts

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