SourcingSourcing

GUGGENHEIM WEALTH SOLUTIONS, LLC

C33
CRD 283238·SEC 801-107511·SANTA MONICA, CA
AUM
$371.3M
$100M-$500M
Est. Revenue
$3.7M
@ 1% on AUM
Est. EBITDA
$1.1M
@ 30% margin
Est. Deal Value
$8.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
GUGGENHEIM WEALTH SOLUTIONS, LLC
CRD
283238
SEC file #
801-107511
EIN
—
DBA names
—

Economics

AUM
$371.3M
AUM band
$100M-$500M
AUM trajectory
'25'26
$31.4M → $371.3M▲ +1081%
Client mix
Individuals Other210
Charitable Organizations14
Corporations9

Operations

Employees (total)
10
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'20'26
1 advisors → 6 advisors▲ +500%
Primary office
SANTA MONICA CA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUM

Filings

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

Compliance

Disclosures (firm)
0
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
6
Control Persons
GUGGENHEIM PARTNERS
BROWN, STEVEN, HERSCHEDE
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
ok
Rdap Domain
GUGGENHEIMINVESTMENTS.COM
Rdap Domain Creation Date
2000-07-06T19:33:34Z
Rdap Firm Age Years
26
Rdap Firm Age Band
20+y
Rdap Registrar
MarkMonitor Inc.

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Charles Schwab6
Morgan Stanley5
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-07-06T19:33:34Z
Rdap Domain Last Changed
2025-11-17T14:20:04Z
Rdap Nameservers
Blue.foundationdns.comBlue.foundationdns.netBlue.foundationdns.org
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
Yes

People (6)

6
BROWN, STEVEN, HERSCHEDE
Executive Officer · 2.5%
7245822
CATALUCCI, JOANNA, MARIE
Executive Officer · 2.5%
4148421
DILORENZO, DINA, MARIE
Executive Officer · 2.5%
2664787
Stone, Suzanne
Executive Officer · 2.5%
5558728
WALSH, ANNE, BOOKWALTER
Executive Officer · 2.5%
2671132
Steven Herschede Brown
IAR
8045356