Guggenheim Investment Advisors, Llc
- Regulatory AUM
- $841M
- Discretionary
- $571M
- Clients
- 25
- Avg AUM / client
- $33.6M
- Accounts
- 58
- Employees
- 9
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | Fewer than 5 clients | $15.0M | 1.78% |
| Insurance companies | Fewer than 5 clients | $0 | — |
| Corporations and other businesses | 25 | $826M | 98.2% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Dina Marie Dilorenzo | Head | Feb 2010 (16y) | Less than 5% | |
| Martini, Christopher | Chief Compliance Officer | Mar 2024 (2y) | Less than 5% | |
| Suzanne Stone | Registered representative | Sep 2014 (12y) | ||
| Jairo Nahuel Cipolla | Registered representative | Apr 2024 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Gwm Holdco, Llc | Member | Dec 2008 | A | 75% or more |
| Guggenheim Capital, Llc | Shareholder | Nov 2000 | B | 75% or more of Guggenheim Manager, Inc. (indirect) |
| Guggenheim Partners, Llc | Member | Dec 2008 | B | ≈ 56.25% – 100% via Gwm Holdco, Llc |
| Sammons Enterprises, Inc. | Shareholder | Dec 2023 | B | 75% or more of Sammons Corporation (indirect) |
| Consolidated Investment Services, Inc. | Shareholder | Dec 2023 | B | 75% or more of Sage Assets, Inc (indirect) |
| Sammons Enterprises, Inc. Esot | Shareholder | Jan 2010 | B | 75% or more of Sammons Enterprises, Inc. (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) |
| Guggenheim Manager, Inc. | Managing Member | Jan 2011 | B | GP / trustee / elected manager of Gwm Holdco, 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, Llc: 75% – 100% of Gwm Holdco, Llc × 75% – 100% direct ≈ 56.25% – 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 | 1.76 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 individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Bank J. Safra Sarasin (Bahamas) Ltd. $112M (13% of AUM) Mar 2026
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) ↗