GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
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GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
(CRD# 137432)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Santa Monica, CA.
The SEC approved the firm to operate as an RIA in
Jun 2006.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$189.9 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
8%
of RAUM.
Non-US investors represent
15%
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GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
also reported in
Mar 2019
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631
employees,
with
232
performing advisory functions.
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A total of 6 office locations.
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No registrations with foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC has one or more disclosure events currently on file with the SEC.
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GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC has Notice Filings with the following State Securities Authorities: AK-Mar 2014, AL-Mar 2014, AR-Mar 2014, AZ-Mar 2014, CA-Mar 2012
, CO-Mar 2014, CT-Mar 2014, DC-Mar 2014, DE-Mar 2014, FL-Mar 2014
, GA-Mar 2014, HI-Mar 2014, IA-Mar 2014, ID-Mar 2014, IL-Jul 2014
, IN-Mar 2014, KS-Mar 2014, KY-Mar 2014, LA-Mar 2014, MA-Mar 2014
, MD-Mar 2014, ME-Mar 2014, MI-Mar 2014, MN-Mar 2014, MO-Jun 2013
, MS-Mar 2014, MT-Mar 2014, NC-Mar 2014, ND-Mar 2014, NE-Mar 2014
, NH-Mar 2014, NJ-Apr 2014, NM-Jun 2013, NV-Mar 2014, NY-Mar 2014
, OH-Mar 2014, OK-Mar 2014, OR-Mar 2014, PA-Mar 2014, PR-Mar 2014
, RI-Mar 2014, SC-Mar 2014, SD-Mar 2014, TN-Mar 2014, TX-Jun 2013
, UT-Mar 2014, VA-Mar 2014, VI-Mar 2014, VT-Mar 2014, WA-Mar 2014
, WI-Mar 2014, WV-Mar 2014, WY-Mar 2018
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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