Investment adviser · CRD 300895

GUGGENHEIM CORPORATE FUNDING, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Aug 21, 2026

Regulatory AUM: $11.3B
Client accounts: 32
Employees: 16
Advisory professionals: 15

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	15	$7,976,601,348	70.6%
Corporations & businesses	12	$3,016,645,483	26.7%
Insurance companies	5	$299,684,890	2.7%

Filing source

Form ADV 2125238 · Aug 21, 2026 · Item 5.D

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

Private funds & service providers

18 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 INVESTMENTS PRIVATE DEBT FUND IV-A, L.P.Hedge Fund · Last reported Aug 21, 2026$2.8BGross asset value

Fund administrator CITCO FUND ADMINSTRATION (CAYMAN ISLANDS) LIMITED GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION HOUSTON, Texas, United States Related to adviser: No

Marketer GUGGENHEIM FUNDS DISTRIBUTORS, LLC CHICAGO, Illinois, United States Related to adviser: Yes

Marketer GUGGENHEIM INVESTMENT ADVISORS (EUROPE), LIMITED RUISLIP, United Kingdom Related to adviser: Yes

Marketer GUGGENHEIM PARTNERS JAPAN, LTD. TOKYO, Japan Related to adviser: Yes

Marketer GUGGENHEIM PARTNERS MIDDLE EAST LIMITED DUBAI, United Arab Emirates Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ERNST & YOUNG LLP
PCAOB 42

THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION
LEI HPFHU0OQ28E4N0NFVK49

GUGGENHEIM FUNDS DISTRIBUTORS, LLC
CRD 39805 · SEC 801-54810

Fund details & source

Fund ID: 805-2035150903
Reported beneficial owners: 9
Minimum commitment: $5M

Form ADV 2125238 · Aug 21, 2026 · 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 INVESTMENTS PRIVATE DEBT FUND IV RATED NOTE FEEDER, LLCSecuritized Asset Fund · Last reported Aug 21, 2026$658MGross asset value

Fund administrator CITCO FUND ADMINISTRATION (CAYMAN ISLANDS) LIMITED GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian WESTERN ALLIANCE TRUST COMPANY, N.A. PHOENIX, Arizona, United States Related to adviser: No

Marketer WELLS FARGO SECURITIES, LLC CHARLOTTE, North Carolina, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ERNST & YOUNG LLP
PCAOB 42

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Fund details & source

Fund ID: 805-2521146702
Reported beneficial owners: 2
Minimum commitment: $100K

Form ADV 2125238 · Aug 21, 2026 · 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 MM CLO 2023-6, LLCSecuritized Asset Fund · Last reported Aug 21, 2026$470MGross asset value

Custodian U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION HOUSTON, Texas, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION
LEI 6BYL5QZYBDK8S7L73M02

Fund details & source

Fund ID: 805-5009921907
Reported beneficial owners: 2
Minimum commitment: $250K

Form ADV 2125238 · Aug 21, 2026 · 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 PRIVATE DEBT AGGREGATOR II, L.P.Private Equity Fund · Last reported Aug 21, 2026$461MGross asset value

Feeder funds

GUGGENHEIM PRIVATE DEBT AGGREGATION II FEEDER, L.P.

Fund administrator CITCO FUND ADMINSTRATION (CAYMAN ISLANDS) LIMITED GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION HOUSTON, Texas, United States Related to adviser: No

Marketer GUGGENHEIM SECURITIES, LLC NEW YORK, New York, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ERNST & YOUNG LLP
PCAOB 42

GUGGENHEIM SECURITIES, LLC
CRD 40638 · SEC 8-49107

Fund details & source

Fund ID: 805-1240750898
Reported beneficial owners: 10
Minimum commitment: $5M

Form ADV 2125238 · Aug 21, 2026 · 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 INVESTMENTS PRIVATE DEBT FUND IV LOAN ACQUISITION, L.P.Private Equity Fund · Last reported Aug 21, 2026$461MGross asset value

Form D fundraising filings

Guggenheim Investments Private Debt Fund IV Loan Acquisition, L.P.

Fund administrator CITCO FUND ADMINSTRATION (CAYMAN ISLANDS) LIMITED GEORGE TOWN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION HOUSTON, Texas, United States Related to adviser: No

Marketer FIRST AVENUE NEW YORK, New York, United States Related to adviser: No

Marketer FIRST AVENUE PARTNERS LLP LONDON, United Kingdom Related to adviser: No

Marketer GUGGENHEIM FUNDS DISTRIBUTORS, LLC CHICAGO, Illinois, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ERNST & YOUNG LLP
PCAOB 42

THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION
LEI HPFHU0OQ28E4N0NFVK49

FIRST AVENUE
CRD 145860 · SEC 8-67758

GUGGENHEIM FUNDS DISTRIBUTORS, LLC
CRD 39805 · SEC 801-54810

Fund details & source

Fund ID: 805-9705257693
Reported beneficial owners: 2
Minimum commitment: $5M
Form D file number: 021-545959

Form ADV 2125238 · Aug 21, 2026 · 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 MM CLO 2025-8, LTD.Securitized Asset Fund · Last reported Aug 21, 2026$424MGross asset value

Custodian U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION HOUSTON, Texas, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION
LEI 6BYL5QZYBDK8S7L73M02

Fund details & source

Fund ID: 805-2609481103
Reported beneficial owners: 2
Minimum commitment: $0

Form ADV 2125238 · Aug 21, 2026 · 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 MM-C CLO 2025-9, LLCSecuritized Asset Fund · Last reported Aug 21, 2026$418MGross asset value

Auditor ERNST & YOUNG LLP NEW YORK, New York, United States

Custodian U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION HOUSTON, Texas, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

ERNST & YOUNG LLP
PCAOB 42

U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION
LEI 6BYL5QZYBDK8S7L73M02

Fund details & source

Fund ID: 805-6114319612
Reported beneficial owners: 2
Minimum commitment: $250K

Form ADV 2125238 · Aug 21, 2026 · 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: Aug 21, 2026. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

330 MADISON AVENUE, 10TH FLOOR
NEW YORK, NY, 10017, United States

CRD 300895

Filing source

Form ADV 2125238 · Aug 21, 2026 · 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.