SourcingSourcing

GUGGENHEIM INVESTMENT ADVISORS, LLC

C39
CRD 108263·SEC 801-57781·NEW YORK, NY
AUM
$840.9M
$500M-$1B
Est. Revenue
$8.4M
@ 1% on AUM
Est. EBITDA
$2.5M
@ 30% margin
Est. Deal Value
$20.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
GUGGENHEIM INVESTMENT ADVISORS, LLC
CRD
108263
SEC file #
801-57781
EIN
000000000
DBA names
—

Economics

AUM
$840.9M
AUM band
$500M-$1B
AUM trajectory
'20'26
$9.04B → $840.9M▼ -91%
Client mix
Corporations25

Operations

Employees (total)
9
Advisory staff (per ADV)
8
Advisory staff (5-yr trend)
'20'26
8 advisors → 8 advisors▬ 0%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
linkedin.com/in/dinadilorenzo(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
GWM HOLDCO, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
GWM HOLDCO, LLC
DILORENZO, DINA, MARIE
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001535435
Edgar Registered
Yes
Edgar Filing Count
6
Edgar First Filing Date
2011-11-22
Edgar Last Filing Date
2016-09-22
Edgar Form D Count
6
Edgar Form D Offerings
2016-09-222016-09-22 · 0001535435-16-000003
2015-11-032015-11-03 · 0001535435-15-000002
Edgar Former Names
GIAS Hedge Unconstrained Global Equity Long/Short Fund LLC

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
2
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
E*trade5
Edgar Addresses
Mailing
GUGGENHEIM INVESTMENT ADVISORS, LLC330 MADISON AVENUE, 11TH FLOORNEW YORK, NY 10017
Business
GUGGENHEIM INVESTMENT ADVISORS, LLC330 MADISON AVENUE, 11TH FLOORNEW YORK, NY 10017
Edgar EIN
000000000
Edgar Recent Filings
D/A2016-09-22 · 0001535435-16-000003
D/A2015-11-03 · 0001535435-15-000002
Firm Has Custody
No
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (4)

4
DILORENZO, DINA, MARIE
IAR · Executive Officer · 2.5%
2664787
Kost, Lisa, Buley
Executive Officer · 2.5%
5039313
Stone, Suzanne
IAR
5558728
JAIRO NAHUEL CIPOLLA
IAR
5770045