Guggenheim Wealth Solutions, Llc
SEC-registered
Investment Adviser · Small ($100M–$1B)
CRD 283238
· SEC file 801-107511
· Santa Monica, CA
· www.guggenheiminvestments.com
☆ Save with Pro
ADV data as of Mar 31, 2026
- Regulatory AUM
- $371M
- Discretionary
- $371M
- Clients
- 233
- Avg AUM / client
- $1.6M
- Accounts
- 242
- Employees
- 10
AUM over time
$31.4M
$371M
Dec 2024
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 210 | $103M | 27.7% |
| High net worth individuals | Fewer than 5 clients | $6.0M | 1.61% |
| Pension and profit sharing plans | Fewer than 5 clients | $693K | 0.19% |
| Charitable organizations | 14 | $84.4M | 22.7% |
| State or municipal government entities | Fewer than 5 clients | $9.2M | 2.49% |
| Other investment advisers | Fewer than 5 clients | $304K | 0.08% |
| Insurance companies | Fewer than 5 clients | $607K | 0.16% |
| Corporations and other businesses | 9 | $6.9M | 1.87% |
| Other | Fewer than 5 clients | $160M | 43.2% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Anne Bookwalter Walsh | Managing Partner, Chief Investment Officer, Guggenheim Wealth Solutions, Llc | CFA | Aug 2024 (2y) | Less than 5% |
| Brown, Steven, Herschede | Chief Investment Officer For Fixed Income, Guggenheim Wealth Solutions, Llc | Aug 2024 (2y) | Less than 5% | |
| Catalucci, Joanna, Marie | Chief Compliance Officer | Aug 2024 (2y) | Less than 5% | |
| Dina Marie Dilorenzo | Managing Partner, President | Aug 2024 (2y) | Less than 5% | |
| Suzanne Stone | Head Of Client Service, Guggenheim Wealth Solutions, Llc | Aug 2024 (2y) | Less than 5% | |
| Steven Herschede Brown | Registered representative | CFA | Mar 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Guggenheim Partners Investment Management Holdings, Llc | Member | Mar 2016 | A | 75% or more |
| Guggenheim Capital, Llc | Member | Oct 2005 | B | ≈ 23.73% – 100% via Guggenheim Partners, Llc |
| Consolidated Investment Services, Inc. | Shareholder | Dec 2023 | B | ≈ 4.45% – 50% via Sage Assets, Inc. |
| Sammons Enterprises, Inc. | Shareholder | Dec 2023 | B | ≈ 2.5% – 50% via Sammons Corporation |
| Sammons Enterprises, Inc. Esot | Shareholder | Jan 2010 | B | ≈ 1.88% – 50% via Sammons Enterprises, Inc. |
| Gi Holdco Ii Llc | Member | Jul 2013 | B | ≈ 42.19% – 100% via Gi Holdco Llc |
| Guggenheim Partners, Llc | Member | Jul 2013 | B | ≈ 31.64% – 100% via Gi Holdco Ii Llc |
| Guggenheim Manager, Inc. | Member | Jul 2013 | B | 75% or more of Gmi Gpimh, Llc (indirect) |
| Gi Holdco Llc | Member | Jul 2013 | B | ≈ 56.25% – 100% via Guggenheim Partners Investment Management Holdings, Llc |
| Sammons Corporation | Shareholder | Dec 2023 | B | ≈ 3.34% – 50% via Consolidated Investment Services, Inc. |
| Sage Assets, Inc. | Member | Dec 2008 | B | ≈ 5.93% – 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):
- 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% direct ≈ 23.73% – 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% direct ≈ 4.45% – 50% of the firm
- 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% direct ≈ 2.5% – 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% direct ≈ 1.88% – 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% direct ≈ 42.19% – 100% 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% direct ≈ 31.64% – 100% of the firm
- Gi Holdco Llc: 75% – 100% of Guggenheim Partners Investment Management Holdings, 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% direct ≈ 3.34% – 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% direct ≈ 5.93% – 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 individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Morgan Stanley $309M (83% of AUM) Mar 2026
- Charles Schwab & Co. $47.5M (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) ↗