Data / Form D filings / GUGGENHEIM CAPITAL LLC
GUGGENHEIM CAPITAL LLC: Form D filing
GUGGENHEIM CAPITAL LLC, a financial services company in Chicago, IL, filed a Form D with the SEC in 2018. The latest, on September 19, 2018, reports $21 million sold of a $21 million offering to 8 investors.
Find out what GUGGENHEIM CAPITAL LLC does, who founded it and who invested, beyond what the filing says. $10 of credit on sign-up, no card.
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Company details from the filing
- Address
- 227 WEST MONROE, SUITE 4900, Chicago, IL, 60606
- Phone
- (312) 827-0100
- Industry
- Other Banking and Financial Services
- Entity type
- Limited Liability Company
- Incorporated in
- Delaware
- Revenue range
- Decline to Disclose
- Exemptions claimed
- Rule 506(b)
- SEC identifier (CIK)
- 1283072
The full lists. Form D filings in Illinois: 1,511 rows, $75.55, or the new rows each week for $19 a month. Form D filings in Other Banking and Financial Services: 1,280 rows, $64, or the new rows each week for $19 a month. Pay by card with no account. Prices exclude VAT. CSV and Excel files with the columns this page does not show (company, CIK, year incorporated, street, city, state and 5 more), which open on your screen as soon as the payment clears and come by email. For agents and scripts: every list with its row count and price is at https://specstream.ai/data/lists.json.
Form D filings
| Filed | Type | Offering | Sold | Remaining | Investors | First sale | Filing |
|---|---|---|---|---|---|---|---|
| Sep 19, 2018 | New notice | $21,000,000 | $21,000,000 | $0 | 8 | Sep 14, 2018 | sec.gov |
Executive officers and directors named in the filing
| Name | Role | Note in the filing |
|---|---|---|
| Michael M. Levatino | Executive Officer | |
| Alan D. Schwartz | Director | |
| Homer J. Holland | Director | |
| B. Scott Minerd | Director | |
| Richard E. Kipper | Director | |
| Heather E. Kreager | Director | |
| David L. Korman | Executive Officer | |
| Esfandyar E. Dinshaw | Director | |
| Mark R. Walter | Executive Officer, Director | |
| Brian T. Sir | Executive Officer | |
| Todd L. Boehly | Director | |
| Peter O. Lawson-Johnston II | Director |
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- Fintech Franchise Network Corp $250,000 · Sep 16, 2026
Every Form D from the week of Sep 17, 2018 · All recent filings in Illinois · All recent Other Banking and Financial Services filings
Read from SEC EDGAR. Amount sold is what GUGGENHEIM CAPITAL LLC reported on the day it filed; on an offering that is still open, a later amendment can raise it. Free to reuse with credit to SpecStream under CC BY 4.0.
$10 of credit on sign-up, no card.