← Tributary

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

NEW YORK, NY · CRD 137432 · IAPD ↗ · 212-739-0700

$240.66BRegulatory AUM
166Advisory reps
588Employees
0Clients
n/aPlanning clients
73Private funds
53States
3Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
April 2026 — GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC shrank from 173 to 166 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
50
April 2025 — GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC moved its main office from SANTA MONICA, CA to NEW YORK, NY.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
55
April 2025 — GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC shrank from 182 to 173 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
65
November 2024 — GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
55
April 2024 — GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 3 (3 -> 6).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

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