GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
Company Profile
| AUM* | 265,083,797,936 8% |
| of that, discretionary | 261,348,503,173 9% |
| Private Fund GAV* | 17,045,258,148 13% |
| Avg Account Size | 248,904,975 -39% |
| High Net Worth | 1.33% 22% |
| SMA’s | Yes |
| Private Funds | 103 8 |
Adviser Type
- An investment adviser (or subadviser) to an investment company
- An investment adviser to a company which has elected to be a business development company
Number of Employees 873 4%
of those in investment advisory functions 203 -1%
Client Types
- Individuals (other than high net worth individuals)
- High net worth individuals
- Banking or thrift institutions
- Investment companies
- Business development companies
- Pooled investment vehicles
- Pension and profit sharing plans
- Charitable organizations
- State or municipal government entities
- Other investment advisers
- Insurance companies
- Sovereign wealth funds and foreign official institutions
- Corporations or other businesses not listed above
- Other
Advisory Activities
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Selection of other advisers
Compensation Arrangments
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
Disclosure Reporting
| 11.C(2) | SEC/CFTC found violation |
| 11.C(4) | SEC/CFTC order in investment-related activity |
| 11.C(5) | SEC/CFTC civil penalty / cease and desist |
Recent News
Reported AUM
Private Funds
Employees
Private Funds Structure
| SEC Fund Type | Count | GAV |
|---|---|---|
| SEC Fund TypeHedge Fund | Count24 | GAV$5,681,257,957 |
| SEC Fund TypePrivate Equity Fund | Count29 | GAV$4,268,815,750 |
| SEC Fund TypeReal Estate Fund | Count15 | GAV$2,934,467,310 |
| SEC Fund TypeSecuritized Asset Fund | Count31 | GAV$4,160,717,131 |
| SEC Fund TypeOther Private Fund | Count4 | GAV$ |