Investment adviser · CRD 124435

GUGGENHEIM ADVISORS, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Jan 18, 2013

Regulatory AUM
$722M
Form ADV · Item 5.F
Client accounts
16
Accounts, not individual clients
Employees
43
Reported in this filing
Advisory professionals
16
Investment advisory functions

Private funds & service providers

30 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

GUGGENHEIM ADVISORS SELECT FUND II, LPHedge Fund · Last reported Jan 18, 2013$354MGross asset value
Fund administrator GLOBEOP FINANCIAL SERVICES LLC HARRISON, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian JP MORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-8908882428
Reported beneficial owners
2
Minimum commitment
$0

Form ADV 693489 · Jan 18, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

GPC 83, LLCHedge Fund · Last reported Jan 18, 2013$134MGross asset value
Fund administrator GLOBALOP FINANCIALSERVICES LLC HARRISON, New York, United States Investor statements: No (provided to no investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian JP MORGAN SECURITIES INC. NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Prime broker JP MORGAN SECURITIES INC. NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

JP MORGAN SECURITIES INC.
SEC 8-79

MORGAN STANLEY & CO. LLC
SEC 8-15869

JP MORGAN SECURITIES INC.
SEC 8-79

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-9126075449
Reported beneficial owners
5
Minimum commitment
$0

Form ADV 693489 · Jan 18, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

GUGGENHEIM PORTFOLIO COMPANY X, LLCHedge Fund · Last reported Jan 18, 2013$97.5MGross asset value
Fund administrator GLOBEOP FINANCIAL SERVICES LLC HARRISON, New York, United States Investor statements: No (provided to no investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN, SACHS & CO. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN SECURITIES INC. NEW YORK, New York, United States Related to adviser: No
Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
Prime broker J.P. MORGAN SECURITIES INC. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

GOLDMAN, SACHS & CO.
SEC 8-129

J.P. MORGAN SECURITIES INC.
SEC 8-79

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

J.P. MORGAN SECURITIES INC.
SEC 8-79

Fund details & source
Fund ID
805-2331821622
Reported beneficial owners
7
Minimum commitment
$0

Form ADV 693489 · Jan 18, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

GUGGENHEIM ADVISORS SELECT FUND IV, L.P.Hedge Fund · Last reported Jan 18, 2013$96MGross asset value

Feeder funds

  • GUGGENHEIM ADVISORS SELECT FUND IV CAYMAN TRUST
Fund administrator GLOBEOP FINANCIAL SERVICES LLC HARRISON, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian JP MORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-3031577130
Reported beneficial owners
3
Minimum commitment
$0

Form ADV 693489 · Jan 18, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

GUGGENHEIM PARTNERS EQUITY OPPORTUNITY FUND, LPHedge Fund · Last reported Jan 18, 2013$94MGross asset value

Feeder funds

  • GUGGENHEIM ADVISORS EOF (CAYMAN) LTD.
Fund administrator GLOBEOP FINANCIAL SERVICES LLC HARRISON, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian JP MORGAN CHASE BANK N.A. NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-6606555543
Reported beneficial owners
2
Minimum commitment
$0

Form ADV 693489 · Jan 18, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

GPC 93, LLCHedge Fund · Last reported Jan 18, 2013$85.9MGross asset value
Fund administrator GLOBEOP FINANCIAL SERVICES LLC HARRISON, New York, United States Investor statements: No (provided to no investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN, SACHS & CO. NEW YORK, New York, United States Related to adviser: No
Prime broker BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

BNP PARIBAS PRIME BROKERAGE, INC.
SEC 8-40490

GOLDMAN, SACHS & CO.
SEC 8-129

BNP PARIBAS PRIME BROKERAGE, INC.
CRD 24962 · SEC 8-40490

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

Fund details & source
Fund ID
805-5978826829
Reported beneficial owners
1
Minimum commitment
$0

Form ADV 693489 · Jan 18, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

GUGGENHEIM PARTNERS SELECT MULTI-STRATEGY FUND, LPHedge Fund · Last reported Jan 18, 2013$78.3MGross asset value

Feeder funds

  • GUGGENHEIM PARTNERS SELECT MULTI-STRATEGY FUND (CAYMAN) LTD.
Fund administrator CITCO FUND SERVICES (USA), INC. NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian JP MORGAN CHASE BANK, N.A. NEW YORK, New York, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-6891444958
Reported beneficial owners
4
Minimum commitment
$0

Form ADV 693489 · Jan 18, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Jan 18, 2013. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management · Selection of other advisers

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

135 EAST 57TH STREET, 11TH FLOOR
NEW YORK, NY, 10022, United States

CRD 124435

Filing source

Form ADV 693489 · Jan 18, 2013 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.