Investment adviser · CRD 160181

GUGGENHEIM FUND SOLUTIONS, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 30, 2016

Regulatory AUM
$2.89B
Form ADV · Item 5.F
Client accounts
7
Accounts, not individual clients
Employees
18
Reported in this filing
Advisory professionals
3
Investment advisory functions

Private funds & service providers

35 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.

GFS MAP TRUST WAFHedge Fund · Last reported Mar 30, 2016$300MGross asset value

Feeder funds

  • GFS MAP WAF
Fund administrator CITCO FUND ADMINISTRATION DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian NORTHERN TRUST FIDUCIARY SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No
Custodian RBC CAPITAL MARKETS, LLC TORONTO, Canada Related to adviser: No
Prime broker J.P. MORGAN CLEARING CORP. 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

J.P. MORGAN CLEARING CORP.
SEC 8-43724

RBC CAPITAL MARKETS, LLC
SEC 8-45411

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source
Fund ID
805-4084436619
Reported beneficial owners
5
Minimum commitment
$133K
Form D file number
021-183965

Form ADV 972923 · Mar 30, 2016 · 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.

GFS MAP EURASIAN QUANT MASTER FUNDHedge Fund · Last reported Mar 30, 2016$108MGross asset value

Feeder funds

  • GFS EURASIAN QUANT FUND
Fund administrator CITCO FUND ADMINISTRATION DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian GOLDMAN SACHS INTERNATIONAL HONG KONG, China Related to adviser: No
Custodian GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom Related to adviser: No
Custodian NORTHERN TRUST FIDUCIARY SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No
Prime broker GOLDMAN SACHS INTERNATIONAL HONG KONG, China
Prime broker GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-9863560139
Reported beneficial owners
5
Minimum commitment
$133K
Form D file number
021-183965

Form ADV 972923 · Mar 30, 2016 · 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.

GFS MAP TRUST TREND MACROHedge Fund · Last reported Mar 30, 2016$71.2MGross asset value

Feeder funds

  • GFS MAP TREND MACRO
  • GFS MAP US TREND MACRO
Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Some (provided to some but not all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Custodian NEWEDGE USA, LLC CHICAGO, Illinois, United States Related to adviser: No
Custodian NORTHERN TRUST FIDUCIARY SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No
Marketer GUGGENHEIM INVESTOR SERVICES, LLC NEW YORK, New York, United States Related to adviser: Yes
Marketer UNION BANCAIRE PRIVEE, UBP SA GENEVA, Switzerland Related to adviser: No
Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States
Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

J.P. MORGAN CLEARING CORP.
SEC 8-43724

J.P. MORGAN SECURITIES LLC
SEC 8-35008

NEWEDGE USA, LLC
SEC 8-47023

GUGGENHEIM INVESTOR SERVICES, LLC
CRD 30096 · SEC 8-44742

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 8-422

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source
Fund ID
805-7171951887
Reported beneficial owners
21
Minimum commitment
$133K
Form D file number
021-183965
Form D file number
021-226724

Form ADV 972923 · Mar 30, 2016 · 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.

GFS MAP TRUST ASCENDHedge Fund · Last reported Mar 30, 2016$52.6MGross asset value

Feeder funds

  • GFS MAP ASCEND
  • GFS MAP US ASCEND
Fund administrator CITCO FUND ADMINISTRATION DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No
Custodian NORTHERN TRUST FIDUCIARY SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No
Marketer GUGGENHEIM INVESTOR SERVICES, LLC NEW YORK, New York, United States Related to adviser: Yes
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
Yes

MORGAN STANLEY & CO. LLC
SEC 8-15869

GUGGENHEIM INVESTOR SERVICES, LLC
CRD 30096 · SEC 8-44742

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

Fund details & source
Fund ID
805-3312670032
Reported beneficial owners
63
Minimum commitment
$133K
Form D file number
021-183965
Form D file number
021-226724

Form ADV 972923 · Mar 30, 2016 · 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.

GFS MAP TRUST THREE BRIDGESHedge Fund · Last reported Mar 30, 2016$52.4MGross asset value

Feeder funds

  • GFS MAP THREE BRIDGES
  • GFS MAP US THREE BRIDGES
Fund administrator CITCO FUND ADMINISTRATION DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian GOLDMAN, SACHS & CO. 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
Custodian NORTHERN TRUST FIDUCIARY SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No
Marketer GUGGENHEIM INVESTOR SERVICES, LLC NEW YORK, New York, United States Related to adviser: Yes
Prime broker GOLDMAN, SACHS & CO. 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
Yes

GOLDMAN, SACHS & CO.
SEC 8-129

MORGAN STANLEY & CO. LLC
SEC 8-15869

GUGGENHEIM INVESTOR SERVICES, LLC
CRD 30096 · SEC 8-44742

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

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

Fund details & source
Fund ID
805-6343085033
Reported beneficial owners
62
Minimum commitment
$133K
Form D file number
021-183965
Form D file number
021-226724

Form ADV 972923 · Mar 30, 2016 · 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.

GFS MAP TRUST CAPEVIEWHedge Fund · Last reported Mar 30, 2016$48.4MGross asset value

Feeder funds

  • GFS MAP CAPEVIEW
  • GFS MAP US CAPEVIEW
Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian CITIGROUP GLOBAL MARKETS LIMITED LONDON, United Kingdom Related to adviser: No
Custodian GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom Related to adviser: No
Custodian NORTHERN TRUST FIDUCIARY SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No
Custodian SKANDINAVISKA ENSKILDA BANKEN AB (PUBL) STOCKHOLM, Sweden Related to adviser: No
Marketer GUGGENHEIM INVESTOR SERVICES, LLC NEW YORK, New York, United States Related to adviser: Yes
Prime broker CITIGROUP GLOBAL MARKETS LIMITED LONDON, United Kingdom
Prime broker GOLDMAN SACHS INTERNATIONAL LONDON, United Kingdom
Prime broker SKANDINAVISKA ENSKILDA BANKEN AB (PUBL) STOCKHOLM, Sweden
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

GUGGENHEIM INVESTOR SERVICES, LLC
CRD 30096 · SEC 8-44742

Fund details & source
Fund ID
805-6601358913
Reported beneficial owners
16
Minimum commitment
$133K
Form D file number
021-183965
Form D file number
021-226724

Form ADV 972923 · Mar 30, 2016 · 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.

GFS MAP TRUST GAM GLOBAL RATESHedge Fund · Last reported Mar 30, 2016$29.8MGross asset value

Feeder funds

  • GFS MAP GAM GLOBAL RATES
  • GFS MAP US GAM GLOBAL RATES
Fund administrator CITCO FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP NEW YORK, New York, United States
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian NORTHERN TRUST FIDUCIARY SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No
Marketer GUGGENHEIM INVESTOR SERVICES, LLC NEW YORK, New York, United States Related to adviser: Yes
Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

J.P. MORGAN CLEARING CORP.
SEC 8-43724

GUGGENHEIM INVESTOR SERVICES, LLC
CRD 30096 · SEC 8-44742

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

Fund details & source
Fund ID
805-5653528965
Reported beneficial owners
0
Minimum commitment
$133K
Form D file number
021-183965
Form D file number
021-226724

Form ADV 972923 · Mar 30, 2016 · 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: Mar 30, 2016. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets

Principal office

330 MADISON AVENUE, 11TH FLOOR
NEW YORK, NY, 10017, United States

CRD 160181

Filing source

Form ADV 972923 · Mar 30, 2016 · 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.