GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 137432). Regulatory assets under management: $240.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos, Other.
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) | — |
| 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 |
Real Estate Fund: 15 · Hedge Fund: 13 · Private Equity Fund: 20 · Securitized Asset Fund: 25
Showing 15 of 73 funds by gross asset value.
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| GUGGENHEIM PARTNERS OPPORTUNISTIC INVESTMENT GRADE SECURITIES MASTER FUND, LTD. | Hedge Fund | Cayman Islands | 10 | $1.1B | $25.0M |
| GUGGENHEIM PARTNERS OPPORTUNISTIC INVESTMENT GRADE SECURITIES OFFSHORE MASTER FUND, LTD. | Hedge Fund | Cayman Islands | 9 | $507.2M | $5.0M |
| GUGGENHEIM LOAN MASTER FUND, LTD. | Hedge Fund | Cayman Islands | 3 | $505.7M | $5.0M |
| ACRI HOLDINGS LLC | Private Equity Fund | Delaware | 16 | $425.6M | — |
| GUGGENHEIM CLO 2022-2, LTD. | Securitized Asset Fund | Cayman Islands | 1 | $388.6M | $250K |
| G-PUFF 2 LLC | Private Equity Fund | Delaware | 13 | $309.2M | — |
| ORINOCO FUNDING LLC | Real Estate Fund | Delaware | 19 | $301.4M | — |
| MOLLY AIDA FUNDING LLC | Real Estate Fund | Delaware | 19 | $301.1M | — |
| FITZCARRALDO FUNDING LLC | Real Estate Fund | Delaware | 19 | $295.2M | — |
| CAMPA FUNDING LLC | Real Estate Fund | Delaware | 19 | $285.7M | — |
| GLAM MILHSG FEE, LLC | Securitized Asset Fund | Delaware | 14 | $263.9M | — |
| GIES, LLC | Private Equity Fund | Delaware | 3 | $219.2M | — |
| GRE-IVIRON FUNDING, LLC | Real Estate Fund | Delaware | 7 | $204.8M | — |
| GULF OF MEXICO ENERGY INFRASTRUCTURE PLATFORM LLC S-1 | Private Equity Fund | Delaware | 5 | $201.9M | — |
| GRE-HARBOR 22 FUNDING, LLC | Real Estate Fund | Delaware | 3 | $188.8M | — |
| City | State | Employees | Phone |
|---|---|---|---|
| SANTA MONICA | CA | 58 | 310-576-1270 |
| CHICAGO | IL | 9 | 312-827-0100 |
| CLAYTON | MO | 8 | 314-802-1477 |
| STAMFORD | CT | 1 | 203-202-8606 |