Guggenheim Funds Investment Advisors is an investment advisor in Chicago with $3.16 bn assets under management.
Company profile
Website
Employees
Incorporated
Location
Former names
Claymore Advisors LLC
SEC CIK
SEC advisor number
801-62515
FINRA CRD number
129288
AUM ?
$3.16 bn
(as of 3 Apr 23)
Accounts
4
(as of 3 Apr 23)
Employees
6
(1 investment advisory or research)
Address
Guggenheim Funds Investment Advisors
227 WEST MONROE STREET
CHICAGO
IL 60606
227 WEST MONROE STREET
CHICAGO
IL 60606
Office hours
Monday - Friday, 8:00 AM - 5:00 PM CST
Phone
312-827-0100
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
Guggenheim Partners, LLC | Member | 07/2013 | > 75% |
Guggenheim Capital, LLC | Member | 10/2005 | > 75% |
Sage Assets, Inc. | Member | 12/2008 | 25-50% |
Sammons Enterprises, Inc. | Shareholder | 10/1986 | > 75% |
Consolidated Investment Services, Inc. | Shareholder | 07/2011 | > 75% |
Sammons Enterprises, Inc. Esot | Shareholder | 01/2010 | > 75% |
Sammons Equity Alliance, Inc. | Shareholder | 07/2011 | > 75% |
Greatbanc Trust Company, Trustee | Trustee | 12/2004 | |
Guggenheim Manager, Inc. | Member | 07/2013 | > 75% |
Guggenheim Capital, LLC | Shareholder | 11/2000 | > 75% |
Lee, Amy, Jo | General Counsel, Secretary, and SR. Managing Director | 04/2013 | < 5% |
Sharaff, Farhan, NMN | Chief Investment Officer, Equities | 05/2012 | < 5% |
Guggenheim Funds Services, LLC | Member | 04/2013 | > 75% |
Gi Holdco II LLC | Member | 07/2013 | > 75% |
Gi Holdco LLC | Member | 07/2013 | > 75% |
Guggenheim Partners Investment Management Holdings, LLC | Member | 10/2016 | > 75% |
Gmi Gpimh, LLC | Managing Member | 07/2013 | |
Beier, Dustan, Roy | Chief Financial Officer and Treasurer | 08/2015 | < 5% |
Misantone, Margaux, Marie | Chief Compliance Officer | 01/2018 | < 5% |
Binder, Brian, Edward | President, Mutual Funds Boards, and SR. Managing Director | 01/2018 | < 5% |
Catalucci, Joanna, Marie | SR. Managing Director | 04/2021 | < 5% |
Latest filings (excl ownership)
Latest ownership filings
13F-NT
Notice of holdings reported by another manager
3 May 24
13F-NT
Notice of holdings reported by another manager
1 Feb 24
13F-NT
Notice of holdings reported by another manager
31 Oct 23
13F-NT
Notice of holdings reported by another manager
18 Jul 23
13F-NT
Notice of holdings reported by another manager
5 May 23
13F-NT
Notice of holdings reported by another manager
7 Feb 23
13F-NT
Notice of holdings reported by another manager
10 Nov 22
13F-NT
Notice of holdings reported by another manager
11 Aug 22
13F-NT
Notice of holdings reported by another manager
4 May 22
13F-NT
Notice of holdings reported by another manager
27 Jan 22