Guggenheim Fund Solutions, LLC (New York)


Guggenheim Fund Solutions, LLC is a large advisory firm based in New York. It manages $2.89 billion of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdiction of New York.

Guggenheim Fund Solutions provides portfolio management for pooled investment vehicles and platform operator of a managed account platform with discretionary investment management authority over client assets.. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Guggenheim Fund Solutions: assets under management

The assets under management (AUM) of Guggenheim Fund Solutions, LLC is $2.89 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 2063% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.89 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $413.06 million each.
Guggenheim Fund Solutions has custody of $2.05 billion in cash and securities for 12 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Guggenheim Fund Solutions, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 17 indirect owners.

Name Entity Date acquired Ownership Employer ID
Llc Guggenheim Capital Shareholder 1 Nov 2000 75% - 100% 36-4358656
Llc Guggenheim Capital Member 1 Sep 2005 75% - 100% 36-4358656
Llc Guggenheim Capital Member 1 Oct 2005 75% - 100% 36-4358656
Llc Gp Holdco Member 1 Mar 2007 75% - 100% 20-8734966
Llc Gp Holdco Member 1 Aug 2007 75% - 100% 20-8734966
Llc Guggenheim Partners Member 1 Oct 2007 75% - 100% 94-3489008
Inc Guggenheim Manager Managing member 1 Oct 2007 Other 36-4406374
Llc Gp Holdco Member 1 Oct 2007 75% - 100% 20-8734966
Inc. Sammons Enterprises Shareholder 1 Oct 2008 75% - 100% 75-6027423
Inc. Sage Assets Member 1 Oct 2008 25% - 50% 26-3960584
Inc. Sage Assets Member 1 Dec 2008 25% - 50% 26-3960584
Inc. Consolidated Investment Services Shareholder 1 Dec 2008 75% - 100% 88-0214301
Trustee Greatbanc Trust Company Trustee 1 Jan 2010 Other 36-3681493
Inc. Esot Sammons Enterprises Shareholder 1 Mar 2010 75% - 100% 30-6332515
Inc. Consolidated Investment Services Shareholder 1 Jul 2011 75% - 100% 88-0214301
Inc. Sammons Equity Alliance Shareholder 1 Jul 2012 75% - 100% 45-2838232
Inc. Consolidated Investment Services Shareholder 1 Jul 2012 75% - 100% 88-0214301

Based in New York

The principal office where Guggenheim Fund Solutions, LLC performs its advisory services is located at 330 Madison Avenue, New York, NY 10017, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-377-3770 or by fax 212-644-8457. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at guggenheimfundsolutions.com.