SourcingSourcing

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

C29
CRD 137432·SEC 801-66786·NEW YORK, NY
AUM
$240.66B
$1B+
Est. Revenue
$2.41B
@ 1% on AUM
Est. EBITDA
$722.0M
@ 30% margin
Est. Deal Value
$5.78B
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
CRD
137432
SEC file #
801-66786
EIN
—
DBA names
—

Economics

AUM
$240.66B
AUM band
$1B+
AUM trajectory
'20'26
$189.90B → $240.66B▲ +27%
Client mix
Individuals Other210
Pooled Investment Vehicles65
Insurance Companies61
Investment Companies22
Corporations20

Operations

Employees (total)
588
Advisory staff (per ADV)
166
Advisory staff (5-yr trend)
'20'26
232 advisors → 166 advisors▼ -28%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
U.S. Banklow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMFixed feesPerformance-based fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
youtube.com/@guggenheiminvestments

Compliance

Disclosures (firm)
3
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
GUGGENHEIM PARTNERS
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
7
Control Persons
GUGGENHEIM PARTNERS
BINDER, BRIAN, EDWARD
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:youtube.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001283072
Edgar Registered
Yes
Edgar Filing Count
314
Edgar First Filing Date
2004-04-22
Edgar Last Filing Date
2026-05-15
Edgar 13f Count
86
Edgar 13f Latest AUM Estimate
Filing Date2026-05-15
Accession0001283072-26-000003
Edgar Form D Count
1
Edgar Form D Offerings
2018-09-192018-09-19 · 0001172661-18-001745

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
1
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
U.s. Bank60
Bny Mellon39
E*trade4
Morgan Stanley2
Edgar Addresses
Mailing
227 WEST MONROESUITE 4900CHICAGO, IL 60606
Business
227 WEST MONROESUITE 4900CHICAGO, IL 60606
Edgar EIN
000000000
Edgar Recent Filings
13F-HR2026-05-15 · 0001283072-26-000003
13F-HR2026-02-17 · 0001283072-26-000002
Fee Schedule
Bracket Vi38
Bracket Iii17
Bracket Xii15
Bracket X14
Bracket Iv6
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (8)

8
WALSH, ANNE, BOOKWALTER
IAR · Executive Officer · 2.5%
2671132
BINDER, BRIAN, EDWARD
Executive Officer · 2.5%
2466834
BROWN, STEVEN, HERSCHEDE
Executive Officer · 2.5%
7245822
DILORENZO, DINA, MARIE
Executive Officer · 2.5%
2664787
SAPERSTEIN, ROBERT, ANDREW
Executive Officer · 2.5%
2567876
Stone, Suzanne
Executive Officer · 2.5%
5558728
LEIGH ANN POGGIO
IAR
2660890
QI YAN
IAR
5338547