Guggenheim Funds Investment Advisors, Llc
SEC-registered
Mutual Fund / Asset Manager · Mid-sized ($1B–$10B)
CRD 129288
· SEC file 801-62515
· Chicago, IL
· WWW.GUGGENHEIMINVESTMENTS.COM
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $4.1B
- Discretionary
- $4.1B
- Clients
- 3
- Avg AUM / client
- $1.4B
- Accounts
- 3
- Employees
- 5
AUM over time
$2.5B
$16.4B
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 | 3 | $4.1B | 100.0% |
People (6)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Sharaff, Farhan, Nmn | Chief Investment Officer, Equities | May 2012 (14y) | Less than 5% | |
| Lee, Amy, Jo | General Counsel, Secretary, And Sr. Managing Director | Apr 2013 (13y) | Less than 5% | |
| Beier, Dustan, Roy | Chief Financial Officer And 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% | |
| Catalucci, Joanna, Marie | Sr. Managing Director | Apr 2021 (5y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Guggenheim Funds Services, Llc | Member | Apr 2013 | A | 75% or more |
| Sammons Enterprises, Inc. | Shareholder | Dec 2023 | B | ≈ 1.88% – 50% via Sammons Corporation |
| Guggenheim Partners, Llc | Member | Jul 2013 | B | ≈ 23.73% – 100% via Gi Holdco Ii Llc |
| Guggenheim Capital, Llc | Member | Oct 2005 | B | ≈ 17.8% – 100% via Guggenheim Partners, Llc |
| Consolidated Investment Services, Inc. | Shareholder | Dec 2023 | B | ≈ 3.34% – 50% via Sage Assets, Inc. |
| Sammons Enterprises, Inc. Esot | Shareholder | Jan 2010 | B | ≈ 1.41% – 50% via Sammons Enterprises, Inc. |
| Guggenheim Manager, Inc. | Member | Jul 2013 | B | 75% or more of Gmi Gpimh, Llc (indirect) |
| Gi Holdco Ii Llc | Member | Jul 2013 | B | ≈ 31.64% – 100% via Gi Holdco Llc |
| Gi Holdco Llc | Member | Jul 2013 | B | ≈ 42.19% – 100% via Guggenheim Partners Investment Management Holdings, Llc |
| Guggenheim Partners Investment Management Holdings, Llc | Member | Oct 2016 | B | ≈ 56.25% – 100% via Guggenheim Funds Services, Llc |
| Sammons Corporation | Shareholder | Dec 2023 | B | ≈ 2.5% – 50% via Consolidated Investment Services, Inc. |
| Sage Assets, Inc. | Member | Dec 2008 | B | ≈ 4.45% – 50% via Guggenheim Capital, Llc |
| 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):
- Sammons Enterprises, Inc.: 75% – 100% of Sammons Corporation × 75% – 100% of Consolidated Investment Services, Inc. × 75% – 100% of Sage Assets, Inc. × 25% – 50% of Guggenheim Capital, Llc × 75% – 100% of Guggenheim Partners, Llc × 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gi Holdco Llc × 75% – 100% of Guggenheim Partners Investment Management Holdings, Llc × 75% – 100% of Guggenheim Funds Services, Llc × 75% – 100% direct ≈ 1.88% – 50% of the firm
- Guggenheim Partners, Llc: 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gi Holdco Llc × 75% – 100% of Guggenheim Partners Investment Management Holdings, Llc × 75% – 100% of Guggenheim Funds Services, Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Guggenheim Capital, Llc: 75% – 100% of Guggenheim Partners, Llc × 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gi Holdco Llc × 75% – 100% of Guggenheim Partners Investment Management Holdings, Llc × 75% – 100% of Guggenheim Funds Services, Llc × 75% – 100% direct ≈ 17.8% – 100% of the firm
- Consolidated Investment Services, Inc.: 75% – 100% of Sage Assets, Inc. × 25% – 50% of Guggenheim Capital, Llc × 75% – 100% of Guggenheim Partners, Llc × 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gi Holdco Llc × 75% – 100% of Guggenheim Partners Investment Management Holdings, Llc × 75% – 100% of Guggenheim Funds Services, Llc × 75% – 100% direct ≈ 3.34% – 50% of the firm
- Sammons Enterprises, Inc. Esot: 75% – 100% of Sammons Enterprises, Inc. × 75% – 100% of Sammons Corporation × 75% – 100% of Consolidated Investment Services, Inc. × 75% – 100% of Sage Assets, Inc. × 25% – 50% of Guggenheim Capital, Llc × 75% – 100% of Guggenheim Partners, Llc × 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gi Holdco Llc × 75% – 100% of Guggenheim Partners Investment Management Holdings, Llc × 75% – 100% of Guggenheim Funds Services, Llc × 75% – 100% direct ≈ 1.41% – 50% 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 Guggenheim Funds Services, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Gi Holdco Llc: 75% – 100% of Guggenheim Partners Investment Management Holdings, Llc × 75% – 100% of Guggenheim Funds Services, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Guggenheim Partners Investment Management Holdings, Llc: 75% – 100% of Guggenheim Funds Services, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Sammons Corporation: 75% – 100% of Consolidated Investment Services, Inc. × 75% – 100% of Sage Assets, Inc. × 25% – 50% of Guggenheim Capital, Llc × 75% – 100% of Guggenheim Partners, Llc × 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gi Holdco Llc × 75% – 100% of Guggenheim Partners Investment Management Holdings, Llc × 75% – 100% of Guggenheim Funds Services, Llc × 75% – 100% direct ≈ 2.5% – 50% of the firm
- Sage Assets, Inc.: 25% – 50% of Guggenheim Capital, Llc × 75% – 100% of Guggenheim Partners, Llc × 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gi Holdco Llc × 75% – 100% of Guggenheim Partners Investment Management Holdings, Llc × 75% – 100% of Guggenheim Funds Services, Llc × 75% – 100% direct ≈ 4.45% – 50% 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 | 1.72 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
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
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) ↗