Data / Investment advisers / New York / Guggenheim Partners Investment Management, LLC
Guggenheim Partners Investment Management, LLC, New York, NY: $241 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Guggenheim Partners Investment Management, LLC is an SEC registered investment adviser with its main office in New York, New York and reports $241 billion in regulatory assets under management in its Form ADV filed October 5, 2026. Its clients include insurance companies, investment companies and banks and thrifts. It is paid through a percentage of assets under management, fixed fees and performance based fees. It advises 73 private funds.
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- Registration
- SEC registered investment adviser
- CRD number
- 137432
- SEC file number
- 801-66786
- SEC status
- Approved, effective June 14, 2006
- Main office
- 330 Madison Avenue 10th Floor, New York, NY 10017
- Phone
- (212) 739-0700
- Regulatory AUM
- $240,659,199,573 in the Form ADV filed October 5, 2026
- Discretionary AUM
- $240,381,728,169
- Non discretionary AUM
- $277,471,404
- Accounts
- 440
- Employees
- 588, of which 166 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, fixed fees, performance based fees
- Private funds
- 73: 25 securitized asset funds, 20 private equity funds, 15 real estate funds, 13 hedge funds
- Gross assets of private funds
- $9,006,483,129
- Other offices
- 4
- Form ADV Item 11 disclosures
- Reported: SEC or CFTC regulatory actions
- Latest Form ADV filing
- October 5, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Insurance companies | 61 | $134.70 billion |
| Investment companies | 22 | $70.71 billion |
| Banking or thrift institutions | 17 | $17.97 billion |
| Pooled investment vehicles | 65 | $7.55 billion |
| State or municipal government entities | 11 | $4.01 billion |
| Corporations or other businesses | 20 | $1.93 billion |
| Sovereign wealth funds and foreign official institutions | 1 | $1.46 billion |
| Pension and profit sharing plans | 4 | $646.7 million |
| Charitable organizations | 18 | $562.3 million |
| High net worth individuals | 5 | $454.9 million |
| Other investment advisers | 2 | $333.2 million |
| Individuals (other than high net worth individuals) | 210 | $102.9 million |
| Business development companies | 1 | $155,562 |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $240.66 billion | March 31, 2026 |
| December 1, 2025 | $228.74 billion | June 5, 2025 |
Other advisers in New York
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Neuberger Berman Investment Advisers LLC | New York | $398.65 billion | 71 | adviserinfo.sec.gov |
| Nyl Investors LLC | New York | $329.20 billion | 17 | adviserinfo.sec.gov |
| RBC Capital Markets, LLC | New York | $310.43 billion | Not listed | adviserinfo.sec.gov |
| Tiaa-Cref Investment Management LLC | New York | $292.13 billion | Not listed | adviserinfo.sec.gov |
| Voya Investment Management Co. LLC | New York | $274.95 billion | Not listed | adviserinfo.sec.gov |
| Two Sigma Investments, LP | New York | $232.82 billion | 62 | adviserinfo.sec.gov |
| Squarepoint Ops LLC | New York | $226.98 billion | 11 | adviserinfo.sec.gov |
| Schonfeld Strategic Advisors LLC | New York | $225.25 billion | 39 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New York, NY
- Investment advisers in New York
- Advisers with Over $100 billion in AUM
- Advisers serving insurance companies
- Advisers serving investment companies
- Advisers that manage private funds
- Guggenheim Partners Investment Management, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.