RIA Intel›Advisers›Illinois›GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC

GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC

Institutional

N·CHICAGO, IL

Data as of Mar 31, 2026 · Source: SEC Form ADV

Total AUM

$4.1B

1-Year AUM Growth

+4.6%

3-Year CAGR

+5.6%

Employees

0

Assets Under Management

Total AUM$4.1B

Discretionary AUM$4.1B

Non-Discretionary AUM$0

Discretionary %100%

Total Clients3

Team

Total Employees0

Investment Advisers5

Employee Growth (1Y)—

Filing History

Total Filings on Record69

First FilingNov 7, 2003

Latest FilingMar 31, 2026

🔒 Full AUM trend chart and 69 historical filings spanning 23+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.