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GUGGENHEIM INVESTMENTS

NEW YORK, NY · CRD 105477 · IAPD ↗ · guggenheiminvestments.com · 212-518-9010

$7.97BRegulatory AUM
13Advisory reps
20Employees
0Clients
n/aPlanning clients
0Private funds
53States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

40
April 2025 — GUGGENHEIM INVESTMENTS reported RAUM down 34% ($11.26B -> $7.40B).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
45
April 2025 — GUGGENHEIM INVESTMENTS shrank from 34 to 13 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
65
April 2024 — GUGGENHEIM INVESTMENTS reported RAUM up 29% ($8.70B -> $11.26B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.