Security Investors, Llc
SEC-registered
Mutual Fund / Asset Manager · Mid-sized ($1B–$10B)
CRD 105477
· SEC file 801-8008
· New York, NY
· WWW.GUGGENHEIMINVESTMENTS.COM
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $8.0B
- Discretionary
- $8.0B
- Clients
- 107
- Avg AUM / client
- $74.5M
- Accounts
- 107
- Employees
- 20
AUM over time
$7.4B
$38.0B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 107 | $8.0B | 100.0% |
People (47)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Lee, Amy, Jo | General Counsel, Secretary, And Sr. Managing Director | Sep 1996 (30y) | Less than 5% | |
| Byrum, Michael, Paul | Sr. Managing Director | Jun 2010 (16y) | Less than 5% | |
| Damman, Amy, Leigh | Assistant Treasurer | Dec 2012 (14y) | Less than 5% | |
| Sharaff, Farhan, Nmn | Chief Investment Officer, Equities | Dec 2012 (14y) | Less than 5% | |
| Catalucci, Joanna, Marie | Sr. Managing Director | Jul 2013 (13y) | Less than 5% | |
| Beier, Dustan, Roy | Chief Financial Officer & Treasurer | Aug 2015 (11y) | Less than 5% | |
| Binder, Brian, Edward | President, Mutual Funds Boards And Sr. Managing Director | Jan 2018 (9y) | Less than 5% | |
| Misantone, Margaux, Marie | Chief Compliance Officer | Jan 2018 (9y) | Less than 5% | |
| Christopher Zane Cosantino | Registered representative | Oct 2010 (16y) | ||
| Peter Carson Sloan | Registered representative | Oct 2010 (16y) | ||
| Dru Francis Girard | Registered representative | Feb 2014 (12y) | ||
| Jonathan David Panosh | Registered representative | Feb 2014 (12y) | ||
| Anthony Piazza | Registered representative | Mar 2014 (12y) | ||
| Catherine Junell Nettles | Registered representative | Mar 2014 (12y) | ||
| Christopher George Bradley | Registered representative | Mar 2014 (12y) | ||
| Christopher Vito Parisi | Registered representative | Mar 2014 (12y) | ||
| John Frederic Chisholm | Registered representative | Mar 2014 (12y) | ||
| Lee Tracy Personeni | Registered representative | Mar 2014 (12y) | ||
| Peter Vlagos | Registered representative | Mar 2014 (12y) | ||
| Robert Emmet Coyne | Registered representative | Mar 2014 (12y) | ||
| Ryan Thomas Cushing | Registered representative | Mar 2014 (12y) | ||
| William F Blattner | Registered representative | Mar 2014 (12y) | ||
| Anthony Joseph Sendra | Registered representative | Mar 2014 (12y) | ||
| Christopher William Taffe | Registered representative | Mar 2014 (12y) | ||
| Michael Carle Gearty | Registered representative | May 2014 (12y) | ||
| Lauren Ashley Anderson | Registered representative | Jul 2014 (12y) | ||
| Nicholas Daniel Orsi | Registered representative | Aug 2014 (12y) | ||
| Jacob Charles Schultz | Registered representative | Aug 2014 (12y) | ||
| Matthew V Buccigrosso | Registered representative | Sep 2014 (12y) | ||
| Adam Joseph Godlewski | Registered representative | Aug 2015 (11y) | ||
| Geri Herro | Registered representative | Sep 2015 (11y) | ||
| Tyler N Tumpane | Registered representative | Feb 2019 (7y) | ||
| Michael Hoare | Registered representative | Apr 2019 (7y) | ||
| Annmarie Woods | Registered representative | Sep 2020 (6y) | ||
| Kevin Michael Burke | Registered representative | Apr 2021 (5y) | ||
| Usman Rahman Khan | Registered representative | May 2022 (4y) | ||
| Brandel Drew Brogan | Registered representative | Feb 2024 (2y) | ||
| Nicholas Paul Zelenika | Registered representative | Feb 2024 (2y) | ||
| Richard G Jaeger | Registered representative | Nov 2024 (2y) | ||
| Alison Anne Mac Artney Webster | Registered representative | Dec 2024 (2y) | ||
| Emma Oaks | Registered representative | Dec 2024 (2y) | ||
| Matthew Petrizzo | Registered representative | Jan 2025 (2y) | ||
| Houston Stevana Jarvis | Registered representative | Apr 2025 (1y) | ||
| John Riley Cushing | Registered representative | May 2025 (1y) | ||
| Katherine Anne Nuss | Registered representative | Aug 2025 (1y) | ||
| Kevin Truckly | Registered representative | Aug 2025 (1y) | ||
| Johnson Asase Jr | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Rydex Holdings, Llc | Member | Jan 2011 | A | 75% or more |
| Guggenheim Capital, Llc | Member | Oct 2005 | B | 75% or more of Guggenheim Partners, Llc (indirect) |
| Consolidated Investment Services, Inc. | Shareholder | Dec 2023 | B | 75% or more of Sage Assets, Inc. (indirect) |
| Sammons Enterprises, Inc. | Shareholder | Dec 2023 | B | 75% or more of Sammons Corporation (indirect) |
| Sammons Enterprises, Inc. Esot | Shareholder | Jan 2010 | B | 75% or more of Sammons Enterprises, Inc. (indirect) |
| Guggenheim Partners Investment Management Holdings, Llc | Member | Jul 2013 | B | ≈ 56.25% – 100% via Rydex Holdings, Llc |
| Gi Holdco Llc | Member | Jul 2013 | B | ≈ 42.19% – 100% via Guggenheim Partners Investment Management Holdings, Llc |
| Gi Holdco Ii Llc | Member | Jul 2013 | B | ≈ 31.64% – 100% via Gi Holdco Llc |
| Guggenheim Partners, Llc | Member | Jul 2013 | B | 75% or more of Gi Holdco Ii, Llc (indirect) |
| Guggenheim Manager, Inc. | Member | Jul 2013 | B | 75% or more of Gmi Gpimh, Llc (indirect) |
| Sammons Corporation | Shareholder | Dec 2023 | B | 75% or more of Consolidated Investment Services, Inc. (indirect) |
| Sage Assets, Inc. | Member | Dec 2008 | B | 25% – 50% of Guggenheim Capital, Llc (indirect) |
| Greatbanc Trust Company, Trustee | Trustee | Dec 2004 | B | GP / trustee / elected manager of Sammons Enterprises, Inc. Esot (indirect) |
| Gmi Gpimh, Llc | Managing Member | Jul 2013 | B | GP / trustee / elected manager of Guggenheim Partners Investment Management Holdings, Llc (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Guggenheim Partners Investment Management Holdings, Llc: 75% – 100% of Rydex Holdings, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Gi Holdco Llc: 75% – 100% of Guggenheim Partners Investment Management Holdings, Llc × 75% – 100% of Rydex Holdings, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Gi Holdco Ii Llc: 75% – 100% of Gi Holdco Llc × 75% – 100% of Guggenheim Partners Investment Management Holdings, Llc × 75% – 100% of Rydex Holdings, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.77 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
Custody
Reported custodians
- Morgan Stanley $8.1M (0% of AUM) Jan 2025
- Northern Trust $3.6M (0% of AUM) Dec 2018
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗