← Tributary

GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC

STAMFORD, CT · CRD 339528 · IAPD ↗ · guggenheiminvestments.com · 203-202-8606

$155.4MRegulatory AUM
8Advisory reps
10Employees
0Clients
n/aPlanning clients
3Private funds
2States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

55
June 2026 — GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
May 2026 — GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC now reports 3 private fund(s) ($155.4M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
56
May 2026 — GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC grew from 2 to 8 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
85
February 2026 — GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 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.