Guggenheim Partners Investment Management, LLC

CRD#137432
Investment Advisor Firm

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Learn more about Guggenheim Partners Investment Management, LLC

  • Overview
  • By the Numbers
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Guggenheim Partners Investment Management, LLC is located at 330 Madison Avenue, New York, NY. The firm employs 173 financial advisors. Guggenheim Partners Investment Management, LLC is not a registered broker-dealer.

    The firm manages $228.7 billion in assets under management across 232 accounts, with 224 discretionary accounts and 8 non-discretionary accounts. Services offered include portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients, and other services. The firm serves a range of investors, including retail investors, banking institutions, investment companies, business development companies, pooled investment vehicles, charitable organizations, state or municipal government entities, insurance companies, and corporations. The largest client type by accounts is pooled investment vehicles. Guggenheim Partners Investment Management, LLC maintains affiliations with a broker-dealer or securities dealer, insurance company or agency, pension consultant, real estate broker or dealer, and commodity pool advisor. The fee structure includes asset-based, fixed, and performance-based fees.

    Guggenheim Partners Investment Management, LLC is registered in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Montana, Nebraska, Nevada, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Utah, Vermont, Virginia, West Virginia, Wisconsin, Wyoming, Missouri, Washington, Texas, and New Hampshire.

    Assets Under Management

    $228.7 billion

    Number of Advisors

    173

    Disclosures

    No

    Office Location

    330 Madison Avenue
    New York, NY 10017

    Guggenheim Partners Investment Management, LLC by the Numbers

    Total Assets Under Management

    $228.7 billion

    National Average: $8.6 billion
    Total Number of Employees

    575

    National Average: 64
    Total Number of Accounts

    232

    National Average: 375,227
    Average Account Size

    $985.9 million

    National Average: $23.0 thousand
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    Fee Structure

    Fees for financial advisory services largely depend on which services the firm provides the client. Fees billed by Guggenheim Partners Investment Management, LLC can consist of some combination of the following fee structures: asset-based, fixed, and performance-based. The company participates in a wrap fee program, in which the firm offers a bundle of services for a single fee.It has the ability to withdraw its fees directly from client funds.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 26% of firms

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    Guggenheim Partners Investment Management, LLC manages money for a broad range of investors. The company works with retail investors, banking institutions, investment companies, business development companies, pooled investment vehicles, charitable organizations, state or municipal government entities, insurance companies, and corporations. Out of its 232 clients, Guggenheim Partners Investment Management, LLC's largest client group by number of accounts is pooled investment vehicles. A high-net-worth individual is defined by the SEC as a person who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is a "qualified purchaser" (a standard met by having at least $5 million in investments). About 33% of the company's customers reside abroad.

    • High-Net-Worth Individuals* - 0%
    • Other Individuals - 10.36%
    • Corporations - 86.94%
    • Charitable Organizations - 2.7%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Guggenheim Partners Investment Management, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Guggenheim Partners Investment Management, LLC

    Breana Hirose
    Stamford, CT
    William Costigan
    New York, NY
    Leigh Poggio
    New York, NY
    Anne Walsh
    New York, NY
    Qi Yan
    New York, NY

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