9AT: GUGGENHEIM INVESTMENT ADVISORS, LLC

Adviser Profile

As of Date	03/31/2026
Registration	SEC, Approved, 07/18/2000
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	840,888,223 61%
of that, discretionary	570,679,491 113%
Number of Employees	9 -10%
of those in investment advisory functions	8 -11%
Private Fund GAV^*	0
Avg Account Size	14,498,073 50%
% High Net Worth	3.57% -52%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

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

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser CROMWELL FUNDS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM368.9m	#Funds-
Adviser NORTH SQUARE INVESTMENTS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.2b	#Funds-
Adviser COOK STREET CONSULTING, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM7.1b	#Funds-
Adviser VIRTUS ALTERNATIVE INVESTMENT ADVISERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.1b	#Funds-
Adviser ALTEGRIS ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM149.6m	#Funds-
Adviser SYSTELLIGENCE, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM783.9m	#Funds-
Adviser PARADIGM FUNDS ADVISOR LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM305.1m	#Funds-
Adviser RONDURE GLOBAL ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM196.9m	#Funds-
Adviser AGF INVESTMENTS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM21.6m	#Funds-
Adviser VIRTUS ADVISERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.4b	#Funds-

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

GUGGENHEIM INVESTMENT ADVISORS, LLC

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.

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Client Types

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Employees

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Brochure Summary

Overview

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GUGGENHEIM INVESTMENT ADVISORS, LLC 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.

Related Companies

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

GUGGENHEIM INVESTMENT ADVISORS, LLC

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.