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GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC

NEW YORK, NY · CRD 340242 · IAPD ↗ · guggenheimpartners.com · 2125189542

$1.44BRegulatory AUM
6Advisory reps
9Employees
0Clients
n/aPlanning clients
0Private funds
1States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

65
September 2026 — GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
66
September 2026 — GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC grew from 0 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
85
May 2026 — GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) 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.