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GUGGENHEIM PRIVATE INVESTMENTS, LLC

NEW YORK, NY · CRD 331479 · IAPD ↗ · guggenheiminvestments.com · 2125189010

$349.5MRegulatory AUM
2Advisory reps
5Employees
0Clients
n/aPlanning clients
2Private funds
53States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

68
April 2026 — GUGGENHEIM PRIVATE INVESTMENTS, LLC now reports custody of client assets.
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
April 2026 — GUGGENHEIM PRIVATE INVESTMENTS, LLC reported RAUM up 62% ($216.2M -> $349.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
45
March 2026 — GUGGENHEIM PRIVATE INVESTMENTS, LLC reported RAUM down 93% ($2.90B -> $216.2M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
70
March 2026 — GUGGENHEIM PRIVATE INVESTMENTS, LLC now reports 1 private fund(s) ($200.0M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
45
April 2025 — GUGGENHEIM PRIVATE INVESTMENTS, LLC notice-filed in AK, AL, AR, AZ, CA, CO, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
75
April 2025 — GUGGENHEIM PRIVATE INVESTMENTS, LLC crossed $1B in regulatory AUM ($925.0M -> $2.90B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
October 2024 — GUGGENHEIM PRIVATE INVESTMENTS, LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 0 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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