# GUGGENHEIM ADVISORS, LLC

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

## Registration

- CRD: 124435
- Type: SEC-registered investment adviser
- SEC file number: 801-61978
- Location: 135 EAST 57TH STREET, 11TH FLOOR, NEW YORK, NY, 10022
- Phone: 212-884-6225
- Latest filing: 2013-01-18
- Regulatory AUM: $721.7M
- Discretionary AUM: $343.1M
- Non-discretionary AUM: $378.6M
- Clients: 43
- Accounts: 16

## Officers, owners & control persons (26)

_Showing 25 of 26 people._

| Name | Role | Location |
| --- | --- | --- |
| [Felix Anthony](https://search.stillhousedata.com/person/426663) | MANAGING PARTNER | Issaquah, WA |
| [KATZOVITZ LOREN MARK](https://search.stillhousedata.com/person/732545) | CEO & CHAIRMAN AND MANAGING PARTNER; ELECTED MEMBER OF GAAM'S BOARD OF DIRECTORS; MEMBER OF GAAM'S BOARD OF DIRECTORS (+1 more) | — |
| [HUGHES PATRICK THOMAS](https://search.stillhousedata.com/person/732546) | ELECTED MEMBER OF GAAM'S BOARD OF DIRECTORS; MANAGING PARTNER; MEMBER OF GAAM'S BOARD OF DIRECTORS (+1 more) | — |
| [GEBBIA JOHN FRANK](https://search.stillhousedata.com/person/732547) | DIRECTOR; HEAD OF OPERATIONS AND MANAGING DIRECTOR; MANAGING DIRECTOR | — |
| [ARPINO JOHN R](https://search.stillhousedata.com/person/732548) | DIRECTOR; HEAD OF RISK AND MANAGING DIRECTOR; MANAGING DIRECTOR | — |
| [FOLLINI GEORGE](https://search.stillhousedata.com/person/732549) | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR; CHIEF FINANCIAL OFFICER & INTERIM CO-CHIEF COMPLIANCE OFFICER | — |
| [DHIR RASHI](https://search.stillhousedata.com/person/732550) | CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER AND MANAGING DIRECTOR; CHIEF LEGAL OFFICER & COMPLIANCE OFFICER (+2 more) | — |
| [MAHON ROSEMARY CATHERINE](https://search.stillhousedata.com/person/732551) | CHIEF COMPLIANCE OFFICER | — |
| [MURPHY BRIAN MICHAEL](https://search.stillhousedata.com/person/735498) | MEM BER OF GAAM'S BOARD OF DIRECTORS | — |
| [CHRIST MICHAEL JAMES](https://search.stillhousedata.com/person/736462) | SENIOR EXECUTIVE | — |
| [NICK KENNETH ADAM](https://search.stillhousedata.com/person/736466) | CHIEF COMPLIANCE OFFICER | — |
| [MCPHEE JAIME MELISSA](https://search.stillhousedata.com/person/737115) | CHIEF COMPLIANCE OFFICER | — |
| [O'DWYER SEAN ANTHONY](https://search.stillhousedata.com/person/756382) | ELECTED MEMBER OF GAAM'S BOARD OF DIRECTORS; MEMBER OF GAAM'S BOARD OF DIRECTORS | — |
| [CURCIO DOMINIC J](https://search.stillhousedata.com/person/756383) | ELECTED MEMBER OF GAAM'S BOARD OF DIRECTORS; MEMBER OF GAAM'S BOARD OF DIRECTORS | — |
| [DONOVAN DENIS PATRICK](https://search.stillhousedata.com/person/756384) | ELECTED MEMBER OF GAAM'S BOARD OF DIRECTORS; MEMBER OF GAAM'S BOARD OF DIRECTORS | — |
| [GREALY MICHAEL JOHN](https://search.stillhousedata.com/person/756385) | CHAIRMAN OF GAAM'S BOARD OF DIRECTORS; ELECTED CHAIRMAN OF GAAM'S BOARD OF DIRECTORS | — |
| [MCKENZIE ALAN ANDREW](https://search.stillhousedata.com/person/756386) | HEAD OF RESEARCH AND MANAGING DIRECTOR | — |
| [MORIARTY PHILIP EDWARD](https://search.stillhousedata.com/person/759789) | SENIOR EXECUTIVE | — |
| [SIR BRIAN](https://search.stillhousedata.com/person/764757) | CHAIRMAN OF GAAM'S BOARD OF DIRECTORS | — |
| [REZAK ADAM MARC](https://search.stillhousedata.com/person/766078) | CHIEF COMPLIANCE OFFICER | — |
| [DOLAN KEVIN CLAUDE](https://search.stillhousedata.com/person/777479) | ELECTED MEMBER OF GAAM'S BOARD OF DIRECTORS | — |
| [WORLEY DAVID CLARK](https://search.stillhousedata.com/person/786095) | CHIEF LEGAL OFFICER; GENERAL COUNSEL; GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| [SCHWARTZ ALAN](https://search.stillhousedata.com/person/786096) | MEMBER OF GAAM'S BOARD OF DIRECTORS | — |
| [WALTER MARK R](https://search.stillhousedata.com/person/786097) | MEMBER OF GAAM'S BOARD OF DIRECTORS | — |
| [HANSEN KARA NICOLE](https://search.stillhousedata.com/person/796590) | HEAD OF OPERATIONS AND MANAGING DIRECTOR | — |


## Private funds (30)

_Showing 15 of 30 funds by gross asset value._

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| GUGGENHEIM ADVISORS SELECT FUND II, LP | Hedge Fund | — | 2 | $354.4M | — |
| GPC 83, LLC | Hedge Fund | — | 5 | $133.5M | — |
| GUGGENHEIM PORTFOLIO COMPANY X, LLC | Hedge Fund | — | 7 | $97.5M | — |
| GUGGENHEIM ADVISORS SELECT FUND IV, L.P. | Hedge Fund | — | 3 | $96.0M | — |
| GUGGENHEIM PARTNERS EQUITY OPPORTUNITY FUND, LP | Hedge Fund | — | 2 | $94.0M | — |
| GPC 93, LLC | Hedge Fund | — | 1 | $85.9M | — |
| GUGGENHEIM PARTNERS SELECT MULTI-STRATEGY FUND, LP | Hedge Fund | — | 4 | $78.3M | — |
| GPC 88, LLC | Hedge Fund | — | 5 | $63.8M | — |
| GUGGENHEIM PORTFOLIO COMPANY XI, LLC | Hedge Fund | — | 5 | $58.1M | — |
| GUGGENHEIM PORTFOLIO COMPANY XXIII, LLC | Hedge Fund | — | 4 | $52.8M | — |
| GPC 75, LLC | Hedge Fund | — | 5 | $44.7M | — |
| GUGGENHEIM ADVISORS SELECT FUND V, LLC | Hedge Fund | — | 2 | $42.1M | — |
| GPC 76, LLC | Hedge Fund | — | 3 | $38.5M | — |
| GPC 95, LLC | Hedge Fund | — | 1 | $36.1M | — |
| GPC LXIV, LLC | Hedge Fund | — | 6 | $33.6M | — |


## Fund service providers (6)

- administrator: GLOBEOP FINANCIAL SERVICES LLC — 25 funds
- administrator: CITCO FUND SERVICES (USA), INC
- administrator: CITCO FUND SERVICES (USA), INC.
- administrator: GLOBALOP FINANCIAL SERVICES LLC
- administrator: GLOBALOP FINANCIALSERVICES LLC
- administrator: GLOBEOP FINANCIAL SERVICIES LLC

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/124435/brochure
- Similar advisers: https://search.stillhousedata.com/firm/124435/similar
- Related entities: https://search.stillhousedata.com/firm/124435/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/124435

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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.