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GUGGENHEIM INVESTMENT ADVISORS, LLC

NEW YORK, NY · CRD 108263 · IAPD ↗ · 212-739-0700

$840.9MRegulatory AUM
8Advisory reps
9Employees
0Clients
0Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

70
April 2026 — GUGGENHEIM INVESTMENT ADVISORS, LLC reported RAUM up 61% ($522.0M -> $840.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
48
April 2025 — GUGGENHEIM INVESTMENT ADVISORS, LLC reported RAUM down 40% ($876.5M -> $522.0M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
47
April 2024 — GUGGENHEIM INVESTMENT ADVISORS, LLC notice-filed in CT, FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2024 — GUGGENHEIM INVESTMENT ADVISORS, LLC crossed $500M in regulatory AUM ($391.6M -> $876.5M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
70
April 2024 — GUGGENHEIM INVESTMENT ADVISORS, LLC grew from 8 to 10 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

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