# GUGGENHEIM INVESTMENT MANAGEMENT, LLC

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

## Registration

- CRD: 117827
- Type: SEC-registered investment adviser
- SEC file number: 801-60745
- Location: 135 EAST 57TH STREET, 6TH FLOOR, NEW YORK, NY, 10022
- Phone: 212-651-9450
- Latest filing: 2012-03-30
- Regulatory AUM: $32.7B
- Discretionary AUM: $32.6B
- Non-discretionary AUM: $63.1M
- Clients: 51
- Accounts: 78

## Officers, owners & control persons (11)

| Name | Role | Location |
| --- | --- | --- |
| NICK KENNETH ADAM | CHIEF COMPLIANCE OFFICER | — |
| MINERD BYRON SCOTT | CHIEF INVESTMENT OFFICER | — |
| BOEHLY TODD LAWRENCE | MANAGING DIRECTOR; MANAGING PARTNER | — |
| SAUTEL STEPHEN D | MANAGING DIRECTOR; SENIOR MANAGING DIRECTOR | — |
| MCGANN ROBERT VINCENT | CHIEF FINANCIAL OFFICER | — |
| CURCIO DOMINIC J | MANAGING DIRECTOR | — |
| DUFFY ADRIAN GW | MANAGING DIRECTOR | — |
| DAMASO MICHAEL PETER | DIRECTOR | — |
| NYHOFF-KING ERIN ELIZABETH | CHIEF COMPLIANCE OFFICER | — |
| HAGNER WILLIAM ROBERT | CHIEF LEGAL OFFICER; VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| KING ERIN ELIZABETH | CHIEF COMPLIANCE OFFICER | — |


## Private funds (34)

Mix: Hedge Fund 20 · Other Private Fund 12 · Private Equity Fund 2

_Showing 15 of 34 funds by gross asset value._

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| NZC GUGGENHEIM MASTER FUND LTD. | Hedge Fund | — | 2 | $1.6B | — |
| ORPHEUS FUNDING LLC | Hedge Fund | — | 2 | $1.5B | — |
| 5180 CLO LP | Other Private Fund | — | 0 | $1.0B | $14 |
| NZC GUGGENHEIM FUND LLC | Hedge Fund | — | 63 | $779.9M | $10.0M |
| COPPER RIVER CLO LTD | Other Private Fund | — | 0 | $724.2M | $500K |
| NZCG FUNDING LTD | Other Private Fund | — | 0 | $591.9M | $1.0M |
| KENNECOTT FUNDING LTD | Other Private Fund | — | 0 | $503.6M | $500K |
| ORPHEUS HOLDINGS, LLC | Hedge Fund | — | 16 | $458.2M | $5.0M |
| SANDS POINT FUNDING LTD. | Other Private Fund | — | 0 | $456.4M | $500K |
| GREEN LANE CLO LTD. | Other Private Fund | — | 0 | $336.8M | $500K |
| NZC GUGGENHEIM FUND LTD | Hedge Fund | — | 29 | $225.2M | $10.0M |
| ORPHEUS HOLDING LTD | Hedge Fund | — | 9 | $200.1M | $5.0M |
| GUGGENHEIM ENERGY OPPORTUNITIES FUND L.P. | Private Equity Fund | — | 14 | $130.1M | — |
| 1888 FUND LTD. | Other Private Fund | — | 0 | $127.8M | $500K |
| HIGH-YIELD LOAN PLUS MASTER SEGREGATED PORTFOLIO | Hedge Fund | — | 2 | $96.7M | — |


## Fund service providers (5)

- administrator: THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. — 16 funds
- administrator: THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A — 2 funds
- administrator: DEUTCHE MORGAN GRENFELL (CAYMAN) LIMITED
- administrator: THE BANK OF NEW YORK MELLON
- administrator: US BANK

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/117827/brochure
- Similar advisers: https://search.stillhousedata.com/firm/117827/similar
- Related entities: https://search.stillhousedata.com/firm/117827/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/117827

---

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.