GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD

39805

SEC file #

801-54810

EIN

371759695

DBA names

—

Economics

AUM

$7.80B

AUM band

$1B+

AUM trajectory

'20 · $4.72B

'21 · $5.76B

'22 · $5.52B

'23 · $6.70B

'25 · $6.85B

'26 · $7.80B

'20'26

$4.72B → $7.80B▲ +65%

sec adv history

Client mix

Investment Companies

Operations

Employees (total)

245

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 8 advisors

'21 · 8 advisors

'22 · 8 advisors

'23 · 8 advisors

'25 · 8 advisors

'26 · 8 advisors

'20'26

8 advisors → 8 advisors▬ 0%

sec adv history

Primary office

CHICAGO IL

Branches

—

Custodian & Brokerage

Primary custodian

E*Tradelow confidence

adv brochure

Services offered

Portfolio mgmt — investment companies

Fee basis

% of AUMOther Compensation

Filings

Latest ADV filing

03/31/2026

guggenheiminvestments.com

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

GUGGENHEIM FUNDS SERVICES,

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

GUGGENHEIM FUNDS SERVICES,

CHAN, YING

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

GUGGENHEIMINVESTMENTS.COM

Rdap Domain Creation Date

2000-07-06T19:33:34Z

Rdap Firm Age Years

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

form 5500

SEC EDGAR

Edgar Cik

0001647291

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2015-09-10

Edgar Last Filing Date

2021-08-24

Edgar Form D Count

Edgar Form D Offerings

2021-08-242021-08-24 · 0000899140-21-000611

2020-08-252020-08-25 · 0000899140-20-000370

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (16)

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

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

E*trade

adv brochure

Edgar Addresses

Mailing

100 WILSHIRE BLVD., SUITE 500SANTA MONICA, CA 90401

Business

100 WILSHIRE BLVD., SUITE 500SANTA MONICA, CA 90401

Edgar EIN

371759695

Edgar Recent Filings

D/A2021-08-24 · 0000899140-21-000611

D/A2020-08-25 · 0000899140-20-000370

Firm Has Custody

Mailing Office Differs

Yes

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

Rdap Status

Client Delete ProhibitedClient Transfer ProhibitedClient Update Prohibited

Trust Company Affiliate

Yes

People (52)

METZGER, DENNIS RYAN

4888899

MILLER, ELISABETH ANN

4381813

PARISI, CHRISTOPHER VITO

2410528

LEE, AMY, JO

1161869

COGLIANDRO, DOMINICK NMN

MISANTONE, MARGAUX, MARIE

1490945

YING CHAN

Executive Officer · 2.5%

4956885

DILORENZO, DINA, MARIE

Executive Officer · 2.5%

2664787

ANTHONY JOSEPH SENDRA

DEBRA WYNN LANDSMAN-YAROS

4949669

MICHAEL RUSSELL EPPERSON

CATHERINE JUNELL NETTLES

JOHN FREDERIC CHISHOLM

CHRISTOPHER GEORGE BRADLEY

BINDER, BRIAN, EDWARD

2466834

MICHAEL JOSEPH SCHWAGER

STEVEN TODD STARKOVICH

MICHAEL EDWARD BIELSKI

2251317

LAUREN ASHLEY ANDERSON

MATTHEW V BUCCIGROSSO

5216820

DENNIS JEROME DUNLEAVY

1960220

REBECCA NEWTON BOWLER

5053781

CHARLES EDWARD KEPPLER

ADAM JOSEPH GODLEWSKI