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GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

NEW YORK, NYCRD #137432SEC #801-66786As of 2026-03-31

AUM Over Time

Discretionary
Non-Discretionary

At a Glance

Total AUM$240.66B
Discretionary$240.38B100% of AUM
Non-Discretionary$277.5M
Client Accounts440
Avg Account Size$547.0M
Employees588
Peak AUM$251.04BMar 2022

AUM by Client Type

Total AUM

$240.7B

Firm Change Matrix

MetricLatest1Y3Y CAGR5Y CAGRTrend
Firm Scale
Total AUM$240.7B+5.2%+6.7%+0.8%
Discretionary AUM$240.4B+5.2%+6.8%+0.8%
Non-Disc. AUM$277M+10.7%31.3%13.4%
Total Accounts440+89.7%+21.5%+12.2%
Avg Account Size$547M44.5%12.2%10.1%
Employees588+2.3%+2.3%+0.6%
AUM / Employee$409M+2.9%+4.3%+0.2%
Client AUM Segments
Wealth AUM$558M+23.6%13.3%+17.4%
Institutional AUM$143.3B2.4%+1.0%1.7%
Fund / Pooled AUM$78.3B+22.5%+20.2%+6.0%
Other AUM$573M+52.2%+32.4%+23.7%
Client Count Segments
HNW Clients210+813.0%——
Institutional115+30.7%+5.8%+5.3%
Pooled / Fund875.4%10.2%7.9%
Individuals5—0.0%—

Key Metrics

Total AUM$240.66B
Discretionary$240.38B
Employees588
Client Accounts440

Contact & Location

Address

330 MADISON AVENUE
NEW YORK NY 10017

Phone

212-739-0700

Filing History

88 ADV Part 1 submissions

Fee Structure

% of AUMFixed FeesPerformance Fees

Advisory Services

Portfolio Mgmt (Individuals)Portfolio Mgmt (Pooled)Portfolio Mgmt (Institutional)Pension Consulting
Growth

AUM Growth Rate (Annualized YoY %)

Firm Profile

Normalized 0–100 scores across six dimensions.

Discretionary vs Non-Discretionary

Discretionary

$240.4B

99.9% of AUM

Non-Discretionary

$277M

0.1% of AUM

Disc. mix ▼ 0.0pp vs 1 year ago

Discretionary
Non-Discretionary

Average Account Size

AUM per Employee

Non-US Client AUM

Headcount Over Time

Total Employees
Advisory Staff
Clients

Client Account Growth

Total Accounts
Discretionary
Non-Discretionary

Clients by Type (Latest)

Client Type Mix Over Time

High Net Worth
Individuals
Pooled Vehicles
Pension Plans
Corporations
Government
Insurance Cos.
Other
Risk & Structure

Regulatory Disclosures

✓ Clean RecordNo regulatory disclosures

Custody

Bank CustodyBroker-Dealer Custody

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