Guggenheim Corporate Funding, Llc
SEC-registered
Private Fund Manager · Large ($10B–$100B)
CRD 300895
· SEC file 801-115064
· New York, NY
· WWW.GUGGENHEIMINVESTMENTS.COM
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ADV data as of Jul 30, 2026
- Regulatory AUM
- $11.3B
- Discretionary
- $8.1B
- Clients
- 32
- Avg AUM / client
- $353M
- Accounts
- 32
- Employees
- 16
AUM over time
$2.5B
$11.3B
Dec 2019
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 15 | $8.0B | 70.6% |
| Insurance companies | 5 | $300M | 2.65% |
| Corporations and other businesses | 12 | $3.0B | 26.7% |
Private funds (10)
Reported in Form ADV Section 7.B.(1), filing of Dec 2024 · $2.8B combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Guggenheim Mm Clo 2023 6, Llc | Securitized Asset Fund | Delaware | $475M | 1 |
| Guggenheim Mm C Clo 2023 5, Llc | Securitized Asset Fund | Delaware | $443M | 2 |
| Guggenheim Mm Clo 2021 4, Ltd. | Securitized Asset Fund | Cayman Islands | $431M | 2 |
| Guggenheim Mm Clo 2021 3, Ltd. | Securitized Asset Fund | Cayman Islands | $420M | 2 |
| Guggenheim Investments Private Debt Fund Iv Guardian (U), L.P. | Private Equity Fund | Delaware | $419M | 1 |
| Guggenheim Private Debt Aggregation A Feeder, L.P. | Private Equity Fund | Delaware | $295M | 11 |
| Guggenheim Private Debt Aggregation B Feeder, L.P. | Private Equity Fund | Delaware | $289M | 15 |
| Guggenheim Investments Private Debt Fund Iv B, L.P. | Hedge Fund | Delaware | $0 | 0 |
| Guggenheim Mm Clo 2024 7, Llc | Securitized Asset Fund | Delaware | $0 | 1 |
| Guggenheim Investments Private Debt Fund Iv A, L.P. | Hedge Fund | Delaware | $0 | 0 |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gundersen, Kevin Hans | Senior Managing Director / Senior Executive | Dec 2019 (7y) | Less than 5% | |
| Saperstein, Robert Andrew | Chief Compliance Officer Ia | Jan 2023 (4y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Guggenheim Private Investments Holdings, Llc | Member | Nov 2024 | A | 75% or more |
| Gi Holdco Llc | Member | Nov 2024 | B | ≈ 23.73% – 100% via Gih Borrower, Llc |
| Guggenheim Manager, Inc. | Member | Jul 2013 | B | 75% or more of Gmi Gpimh, Llc (indirect) |
| Guggenheim Capital, Llc | Shareholder | Nov 2000 | B | 75% or more of Guggenheim Manager, Inc. (indirect) |
| Gi Holdco Ii Llc | Member | Jul 2013 | B | ≈ 17.8% – 100% via Gi Holdco Llc |
| Guggenheim Partners, Llc | Member | Jul 2013 | B | ≈ 13.35% – 100% via Gi Holdco Ii Llc |
| 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) |
| Sammons Corporation | Shareholder | Dec 2023 | B | 75% or more of Consolidated Investment Services, Inc. (indirect) |
| Guggenheim Investments Holdings, Llc | Member | Nov 2024 | B | ≈ 56.25% – 100% via Guggenheim Private Investments Holdings, Llc |
| Gih Parent, Llc | Member | Nov 2024 | B | ≈ 42.19% – 100% via Guggenheim Investments Holdings, Llc |
| Gih Borrower, Llc | Member | Nov 2024 | B | ≈ 31.64% – 100% via Gih Parent, Llc |
| Sage Assets, Inc. | Member | Dec 2008 | B | 25% – 50% of Guggenheim Capital, Llc (indirect) |
| Gmi Gpimh, Llc | Managing Member | Nov 2024 | B | GP / trustee / elected manager of Gih Parent, Llc (indirect) |
| Greatbanc Trust Company, Trustee | Trustee | Dec 2004 | B | GP / trustee / elected manager of Sammons Enterprises, Inc. Esot (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Gi Holdco Llc: 75% – 100% of Gih Borrower, Llc × 75% – 100% of Gih Parent, Llc × 75% – 100% of Guggenheim Investments Holdings, Llc × 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Gi Holdco Ii Llc: 75% – 100% of Gi Holdco Llc × 75% – 100% of Gih Borrower, Llc × 75% – 100% of Gih Parent, Llc × 75% – 100% of Guggenheim Investments Holdings, Llc × 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 17.8% – 100% of the firm
- Guggenheim Partners, Llc: 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gi Holdco Llc × 75% – 100% of Gih Borrower, Llc × 75% – 100% of Gih Parent, Llc × 75% – 100% of Guggenheim Investments Holdings, Llc × 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 13.35% – 100% of the firm
- Guggenheim Investments Holdings, Llc: 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Gih Parent, Llc: 75% – 100% of Guggenheim Investments Holdings, Llc × 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Gih Borrower, Llc: 75% – 100% of Gih Parent, Llc × 75% – 100% of Guggenheim Investments Holdings, Llc × 75% – 100% of Guggenheim Private Investments 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.
Private funds (10, $2.8B gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Guggenheim Mm Clo 2023 6, Llc | Securitized Asset Fund | $475M | $250K | 1 |
| Guggenheim Mm C Clo 2023 5, Llc | Securitized Asset Fund | $443M | $250K | 2 |
| Guggenheim Mm Clo 2021 4, Ltd. | Securitized Asset Fund | $431M | $0 | 2 |
| Guggenheim Mm Clo 2021 3, Ltd. | Securitized Asset Fund | $420M | $250K | 2 |
| Guggenheim Investments Private Debt Fund Iv Guardian (U), L.P. | Private Equity Fund | $419M | $5.0M | 1 |
| Guggenheim Private Debt Aggregation A Feeder, L.P. | Private Equity Fund | $295M | $5.0M | 11 |
| Guggenheim Private Debt Aggregation B Feeder, L.P. | Private Equity Fund | $289M | $5.0M | 15 |
| Guggenheim Investments Private Debt Fund Iv B, L.P. | Hedge Fund | $0 | $5.0M | 0 |
| Guggenheim Mm Clo 2024 7, Llc | Securitized Asset Fund | $0 | $250K | 1 |
| Guggenheim Investments Private Debt Fund Iv A, L.P. | Hedge Fund | $0 | $5.0M | 0 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/29/2026 | 5.12 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
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- BNY Mellon $2.6B (23% of AUM) May 2026
- Principal Bank $1.2B (15% of AUM) Feb 2025
- U.S. Bank $545M (5% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Jul 30, 2026.
View current Form ADV (SEC/IAPD) ↗