SourcingSourcing

GUGGENHEIM PRIVATE INVESTMENTS, LLC

C44
CRD 331479·SEC 801-131052·NEW YORK, NY
AUM
$349.5M
$100M-$500M
Est. Revenue
$3.5M
@ 1% on AUM
Est. EBITDA
$1.0M
@ 30% margin
Est. Deal Value
$8.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
GUGGENHEIM PRIVATE INVESTMENTS, LLC
CRD
331479
SEC file #
801-131052
EIN
000000000
DBA names
—

Economics

AUM
$349.5M
AUM band
$100M-$500M
AUM trajectory
'25'26
$2.90B → $349.5M▼ -88%
Client mix
Insurance Companies4
Pooled Investment Vehicles2
Individuals High Net Worth1

Operations

Employees (total)
5
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
—
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — pooled vehiclesPortfolio mgmt — businessesOther Advisory Services
Fee basis
% of AUMFixed feesPerformance-based fees

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 PRIVATE
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
4
Control Persons
GUGGENHEIM PRIVATE
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
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 Cik
0002078385
Edgar Registered
Yes
Edgar Filing Count
6
Edgar First Filing Date
2025-11-10
Edgar Last Filing Date
2026-04-30
Edgar Form D Count
1
Edgar Form D Offerings
2026-02-052026-02-05 · 0002078385-26-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

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
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Jpmorgan2
Edgar Addresses
Mailing
330 MADISON AVENUE10TH FLOORNEW YORK, NY 10017
Business
330 MADISON AVENUE10TH FLOORNEW YORK, NY 10017
Edgar EIN
000000000
Edgar Recent Filings
40-APP/A2026-04-30 · 0001821268-26-000077
40-APP/A2026-04-13 · 0001821268-26-000071
Firm Has Custody
Yes
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 (3)

3
DILORENZO, DINA, MARIE
Executive Officer · 2.5%
2664787
SAPERSTEIN, ROBERT, ANDREW
Executive Officer · 2.5%
2567876
Stone, Suzanne
Executive Officer · 2.5%
5558728