# GUGGENHEIM CAPITAL LLC — Form D

GUGGENHEIM CAPITAL LLC of CHICAGO, IL, a company, filed a Form D exempt-offering notice with the SEC on 2018-09-19. The offering totals $21.0M, of which $21.0M was reported sold. Industry: Other Banking and Financial Services.

## Offering

- Filed: 2018-09-19
- Form: D
- Accession: 0001172661-18-001745
- Industry: Other Banking and Financial Services
- Exemptions: 06b
- Total offering: $21.0M
- Amount sold: $21.0M
- Investors: 8
- Date of first sale: 2018-09-14
- Security types: equity
- Revenue range: Decline to Disclose
- SEC file number: 021-321675

## Issuer

- Name: GUGGENHEIM CAPITAL LLC
- CIK: 0001283072
- Entity type: Limited Liability Company
- Jurisdiction: DELAWARE
- Address: 227 WEST MONROE, CHICAGO, IL, 60606
- Phone: 312-827-0100

## Officers, directors & promoters (13)

| Name | Role | Location |
| --- | --- | --- |
| Todd L Boehly | Director | New York, NY |
| Esfandyar E Dinshaw | Director | Chicago, IL |
| Homer J Holland | Director | Chicago, IL |
| Richard E Kipper | Director | Chicago, IL |
| Heather E Kreager | Director | Chicago, IL |
| Peter O Lawson-Johnston II | Director | New York, NY |
| B. Scott Minerd | Director | SANTA MONICA, CA |
| Alan D Schwartz | Director | New York, NY |
| Mark R Walter | Director | Chicago, IL |
| David L Korman | Executive Officer | Chicago, IL |
| Michael M Levatino | Executive Officer | New York, NY |
| Brian T Sir | Executive Officer | Chicago, IL |
| Mark R Walter | Executive Officer | Chicago, IL |

## More

- [CIK 1283072 on SEC EDGAR (source of record)](https://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=1283072&type=&dateb=&owner=include&count=40)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/formd/0001172661-18-001745.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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