# GUGGENHEIM INVESTMENT ADVISORS, LLC

GUGGENHEIM INVESTMENT ADVISORS, LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 108263
- Type: SEC-registered investment adviser
- SEC file number: 801-57781
- Location: 330 MADISON AVENUE, 10TH FLOOR, NEW YORK, NY, 10017
- Phone: 212-739-0700
- Latest filing: 2026-03-31
- Regulatory AUM: $840.9M
- Discretionary AUM: $570.7M
- Non-discretionary AUM: $270.2M
- Clients: 9
- Accounts: 58

## Business model

- Compensation: % of AUM
- Clients served: High net worth, Pooled vehicles

## Officers, owners & control persons (25)

| Name | Role | Location |
| --- | --- | --- |
| Dina Marie Dilorenzo | HEAD | — |
| Christopher Martini | CHIEF COMPLIANCE OFFICER | — |
| MUETH DONALD JOHN | CHIEF FINANCIAL OFFICER | — |
| CHRIST MICHAEL JAMES | SENIOR EXECUTIVE | — |
| NICK KENNETH ADAM | CHIEF COMPLIANCE OFFICER | — |
| STALMAN PABLO GABRIEL | CHAIRMAN - INTERNATIONAL; CO-CHAIRMAN - INTERNATIONAL; MANAGING PARTNER (+1 more) | — |
| BALL JUAN | CO-CHAIRMAN - INTERNATIONAL; MANAGING PARTNER; PRESIDENT | — |
| SINGH SHAWN RAJU | CHIEF COMPLIANCE OFFICER | — |
| SODERBERG LEIF GALLUP | CHIEF OPERATING OFFICER | — |
| ROSENFIELD ANDREW | CHAIRMAN | — |
| MORIARTY PHILIP EDWARD | SENIOR MANAGING DIRECTOR OF INVESTMENT ADVISORY INTERMEDIARIES | — |
| REZAK ADAM MARC | CHIEF COMPLIANCE OFFICER | — |
| FACTOR JILL SUGAR | GENERAL COUNSEL; GENERAL COUNSEL/CHIEF LEGAL OFFICER | — |
| FRIZE BERNARD | CHIEF COMPLIANCE OFFICER | — |
| METZGER DENNIS RYAN | CHIEF COMPLIANCE OFFICER | — |
| DILORENZO DINA MARIE | CHIEF OPERATING OFFICER; HEAD; HEAD AND CHIEF OPERATING OFFICER | — |
| KING ERIN ELIZABETH | CHIEF COMPLIANCE OFFICER | — |
| MILLMAN TODD MICHAEL | HEAD OF SALES | — |
| STUCKE CHARLES MURRAY | CHIEF INVESTMENT OFFICER | — |
| CAIN KERRI E | CHIEF COMPLIANCE OFFICER | — |
| COCHRANE GEORGIA C | CHIEF COMPLIANCE OFFICER | — |
| MCFARLAND GEORGIA CAROLINE | CHIEF COMPLIANCE OFFICER | — |
| NASATIR JUSTIN FREDERICK | CHIEF COMPLIANCE OFFICER | — |
| Martini Christopher | CHIEF COMPLIANCE OFFICER | — |
| Lisa Buley Kost | CHIEF COMPLIANCE OFFICER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/108263/brochure
- Similar advisers: https://search.stillhousedata.com/firm/108263/similar
- Related entities: https://search.stillhousedata.com/firm/108263/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/108263

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.