9AT: GUGGENHEIM INVESTMENT ADVISORS, LLC

GUGGENHEIM INVESTMENT ADVISORS, LLC

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other names

GUGGENHEIM INVESTMENT ADVISORS, LLC
ABS FINANCIAL ADVISORS INC
GUGGENHEIM WEALTH MANAGEMENT
GUGGENHEIM PARTNERS
GUGGENHEIM INVESTMENT OFFICE
GUGGENHEIM INVESTMENT ADVISORY SOLUTIONS
GUGGENHEIM INVESTMENT ADVISORY
GUGGENHEIM INVESTMENT ADVISORS, INC.

Adviser Profile

As of Date	03/31/2026
ADV Location	NEW YORK, NY, United States
Adviser Type - Large advisory firm
Number of Employees	9 -18%
of those in investment advisory functions	8 -20%
Registration	SEC, Approved, 07/18/2000

AUM^*	840,888,223 -30%
of that, discretionary	570,679,491 -17%
Private Fund GAV^*	0
Avg Account Size	14,498,073 -6%
% High Net Worth	3.57% -7%
SMA’s	Yes
Private Funds	0
Contact Info	212 xxxxxxx
Websites

Client Types

- High net worth individuals
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

9B 8B 6B 5B 4B 3B 1B

2015 2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

A. General Description of Advisory Firm GIA is a Delaware Limited Liability Company and began operations in July 2000. GIA is wholly owned by GWM Holdco, LLC. GWM Holdco, LLC is a subsidiary of Guggenheim Partners, LLC, which in turn is a subsidiary of Guggenheim Capital, LLC (“Guggenheim Capital”). Guggenheim Capital is owned in part by Sage Assets, Inc. Sage Assets, Inc. is wholly owned by Consolidated Investment Services, Inc., which is wholly owned by Sammons Corporation, which is wholly owned by Sammons Enterprises, Inc., which is owned by Sammons Enterprises, Inc. Employee Stock Ownership Trust. GreatBanc Trust Company is the Trustee for Sammons Enterprises, Inc. Employee Stock Ownership Trust. B. Description of Advisory Services GIA provides investment advisory services on a discretionary and non-discretionary basis to individuals and entities in accordance with their respective stated objectives, investment guidelines, restrictions and risk tolerance in separately managed accounts (“Wealth Management”). GIA’s business also provides services to insurance company and other institutional clients that include implementation of quantitative investment strategies whereby GIA will engage in hedging and event-driven strategies, primarily through derivatives transactions. Additionally, GIA provides its clients ongoing evaluation, monitoring and reporting of its strategies

(“Hedging Strategies”). Please see “Item 8 – Methods of Analysis, Investment Strategies and Risk of Loss” for more details on and descriptions of GIA’s investment strategies. The descriptions set forth in this Brochure of specific advisory services that GIA offers to clients should not be understood to limit in any way GIA’s investment activities. GIA may, in the future, offer any advisory services, engage in any investment strategy and make any investment that GIA considers appropriate, subject to each client’s investment objectives and guidelines. GIA does not restrict its investment advice to certain specific types of investments; however, decisions regarding portfolio recommendations will be made in accordance with the applicable investor and/or stated investment objectives, including limitations on investment. C. Wrap Fee Programs Currently, GIA does not sponsor a wrap fee program. D. Assets Under Management As of December 31, 2023, GIA managed approximately $690,263,539 of Regulatory Assets Under Management (“RAUM”) on a discretionary basis and $186,222,882 of RAUM on a non-discretionary basis. Approximately $530,034,767 of the discretionary RAUM is calculated based on the notional amount of transactions entered into on behalf of GIA’s Hedging Strategies clients, rather than on market value; see