# GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 137432
- Type: SEC-registered investment adviser
- SEC file number: 801-66786
- Location: 330 MADISON AVENUE, 10TH FLOOR, NEW YORK, NY, 10017
- Phone: 212-739-0700
- Latest filing: 2026-07-30
- Regulatory AUM: $240.7B
- Discretionary AUM: $240.4B
- Non-discretionary AUM: $277.5M
- Clients: 588
- Accounts: 440

## Business model

- Compensation: % of AUM, Fixed, Performance
- Clients served: High net worth, Pooled vehicles, Investment cos, Other

## Officers, owners & control persons (38)

_Showing 25 of 38 people._

| Name | Role | Location |
| --- | --- | --- |
| Dina Marie Dilorenzo | MANAGING PARTNER, PRESIDENT | — |
| Robert Andrew Saperstein | CHIEF COMPLIANCE OFFICER | — |
| Suzanne Stone | HEAD OF CLIENT SERVICE | — |
| Steven Herschede Brown | CHIEF INVESTMENT OFFICER FOR FIXED INCOME, GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT | — |
| Anne Bookwalter Walsh | MANAGING PARTNER, CHIEF INVESTMENT OFFICER, GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT | — |
| Brian Edward Binder | PRESIDENT, MUTUAL FUNDS BOARDS AND SR. MANAGING DIRECTOR | — |
| MILLER G WILLIAM | PRESIDENT | — |
| CHRIST MICHAEL JAMES | DEPUTY CHIEF INVESTMENT OFFICER | — |
| NICK KENNETH ADAM | CHIEF COMPLIANCE OFFICER | — |
| MINERD BYRON SCOTT | CHIEF EXECUTIVE OFFICER; CHIEF INVESTMENT OFFICER; MANAGING PARTNER, CHIEF INVESTMENT OFFICER | — |
| CORR ROY | CHIEF OPERATING OFFICER | — |
| SAPERSTEIN ROBERT ANDREW | CHIEF COMPLIANCE OFFICER | — |
| SHANNON JAMES JOSEPH | GLOBAL HEAD OF GI OPERATIONS | — |
| ROBINSON KAREN M | CHIEF LEGAL OFFICER | — |
| BOEHLY TODD LAWRENCE | MANAGING PARTNER; PRESIDENT | — |
| SAUTEL STEPHEN D | CHIEF OPERATING OFFICER; SENIOR MANAGING DIRECTOR | — |
| HADDOCK BETH ANN | CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR-REGULATORY STRATEGY AND DEVELOPMENTS | — |
| SIR BRIAN | SECRETARY | — |
| CACCIAPAGLIA DONALD CHRISTOPHER | CHIEF OPERATING OFFICER/PRESIDENT; SENIOR MANAGING DIRECTOR | — |
| SHARAFF FARHAN | ASSISTANT CHIEF INVESTMENT OFFICER | — |
| NYHOFF-KING ERIN ELIZABETH | CHIEF COMPLIANCE OFFICER | — |
| HAGNER WILLIAM ROBERT | CHIEF LEGAL OFFICER; SECRETARY | — |
| NYHOFF ERIN ELIZABETH | CHIEF COMPLIANCE OFFICER | — |
| BURSCHINGER JOSEPH MICHAEL | CHIEF RISK OFFICER | — |
| WALSH ANNE BOOKWALTER | ASSISTANT CHIEF INVESTMENT OFFICER; MANAGING PARTNER, CHIEF INVESTMENT OFFICER, FIXED INCOME; MANAGING PARTNER, CHIEF INVESTMENT OFFICER, GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT (+2 more) | — |


## Disclosures (7)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2024-02-09 | regulatory | ON FEBRUARY 9, 2024, THE SEC ANNOUNCED AN ENFORCEMENT ACTION AGAINST GUGGENHEIM SECURITIES, LLC ("GS") AND GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC ("GPIM"), FINDING VIOLATIONS OF SEC BOOKS AND RECORDS AND RELATED SUPERVISORY RULES. WHILE GPIM HAD IN PLACE POLICIES AND PROCEDURES REQUIRING THE… | Final | $15.0M |
| 2015-08-10 | regulatory | THE SEC FOUND THAT GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC ("GPIM") VIOLATED SECTIONS 204, 204A, 206(2), AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULES 204-2, 204A-1, AND 206(4)-7 PROMULGATED THEREUNDER IN CONNECTION WITH (1) A NEGLIGENT FAILURE TO DISCLOSE, IN TWO TRANSACTIONS D… | Final | $20.0M |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/137432/brochure
- Similar advisers: https://search.stillhousedata.com/firm/137432/similar
- Related entities: https://search.stillhousedata.com/firm/137432/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/137432

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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.