Investment adviser · CRD 108263

GUGGENHEIM INVESTMENT ADVISORS, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 31, 2026

Regulatory AUM: $841M
Client accounts: 58
Employees: 9
Advisory professionals: 8

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
Corporations & businesses	25	$825,926,845	98.2%
High-net-worth individuals	Fewer than 5	$14,961,378	1.8%
Insurance companies	Fewer than 5	$0	0.0%

Filing source

Form ADV 2083303 · Mar 31, 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

14 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 OFFSHORE ACCESS FUND LTD.Hedge Fund · Last reported Mar 30, 2016$372MGross asset value

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

Auditor GRANT THORNTON LLP NEW YORK, New York, United States

Custodian BMO HARRIS BANK NA CHICAGO, Illinois, United States Related to adviser: Yes

Marketer GUGGENHEIM INVESTOR SERVICES, 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

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

Fund details & source

Fund ID: 805-4986063390
Reported beneficial owners: 95
Minimum commitment: $100K

Form ADV 973509 · 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.

GUGGENHEIM ONSHORE ACCESS FUND, LLCHedge Fund · Last reported Mar 30, 2016$267MGross asset value

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

Auditor GRANT THORNTON LLP NEW YORK, New York, United States

Custodian BMO HARRIS BANK NA CHICAGO, Illinois, United States Related to adviser: Yes

Marketer GUGGENHEIM INVESTOR SERVICES, 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

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

Fund details & source

Fund ID: 805-6656667466
Reported beneficial owners: 156
Minimum commitment: $100K
Form D file number: 021-1387866

Form ADV 973509 · 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.

GIAS EQUITY: UNCONSTRAINED US FUND LLCHedge Fund · Last reported Jul 3, 2012$25.4MGross asset value

Form D fundraising filings

GIAS Equity Unconstrained US Fund LLC

Fund administrator CITI HEDGE FUND SERVICES NORTH AMERICA INC ROSELAND, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG NEW YORK, New York, United States

Custodian CITI GLOBAL TRANSACTION SERVICES TAMPA, Florida, United States Related to adviser: No

Custodian J.P. MORGAN CLEARING CORP. 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

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

Fund details & source

Fund ID: 805-5516244501
Reported beneficial owners: 1
Minimum commitment: $1M
Form D file number: 021-167250

Form ADV 657258 · Jul 3, 2012 · 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 INVESTMENT ADVISORS EQUITY LONG/SHORT FUND, LLCHedge Fund · Last reported Mar 30, 2016$11.2MGross asset value

Form D fundraising filings

Guggenheim Investment Advisors Equity Long/Short Fund, LLC

Auditor KPMG NEW YORK, New York, United States

Custodian BMO HARRIS BANK NA CHICAGO, Illinois, United States Related to adviser: No

Marketer GUGGENHEIM INVESTOR SERVICES, 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: No
External marketing: Yes

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

Fund details & source

Fund ID: 805-8280488060
Reported beneficial owners: 42
Minimum commitment: $100K
Form D file number: 021-169124

Form ADV 973509 · 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.

GUGGENHEIM INVESTMENT ADVISORS MULTI-STRATEGY FUND, LLCHedge Fund · Last reported Mar 30, 2016$7.9MGross asset value

Form D fundraising filings

Guggenheim Investment Advisors Multi-Strategy Fund, LLC

Auditor KPMG NEW YORK, New York, United States

Custodian BMO HARRIS BANK NA CHICAGO, Illinois, United States Related to adviser: No

Marketer GUGGENHEIM INVESTOR SERVICES, 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: No
External marketing: Yes

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

Fund details & source

Fund ID: 805-5283826494
Reported beneficial owners: 33
Minimum commitment: $100K
Form D file number: 021-169126

Form ADV 973509 · 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.

GIAS COMMODITY ARBITRAGE FUND, LLCHedge Fund · Last reported Jul 3, 2012$6.02MGross asset value

Fund administrator CITIHEDGE FUND SERVICES NORTH AMERICA INC ROSELAND, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG NEW YORK, New York, United States

Custodian GOLDMAN, SACHS & CO. JERSEY CITY, New Jersey, 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

GOLDMAN, SACHS & CO.
SEC 8-129

Fund details & source

Fund ID: 805-3572426193
Reported beneficial owners: 11
Minimum commitment: $500K

Form ADV 657258 · Jul 3, 2012 · 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.

GIAS FIXED INCOME: OPPORTUNISTIC TAX-EXEMPT FUND LLCHedge Fund · Last reported Jul 3, 2012$5.63MGross asset value

Form D fundraising filings

GIAS Fixed Income Opportunistic Tax-Exempt Fund LLC

Fund administrator CITI HEDGE FUND SERVICES NORTH AMERICA INC ROSELAND, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG NEW YORK, New York, United States

Custodian CITI GLOBAL TRANSACTION SERVICES TAMPA, Florida, United States Related to adviser: No

Custodian J.P. MORGAN CLEARING CORP. 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

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

Fund details & source

Fund ID: 805-4800282864
Reported beneficial owners: 1
Minimum commitment: $1M
Form D file number: 021-167316

Form ADV 657258 · Jul 3, 2012 · 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 31, 2026. View historical filings

Reported services

Individual portfolio management · Business portfolio management

Compensation

Percentage of assets

Principal office

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

CRD 108263

Filing source

Form ADV 2083303 · Mar 31, 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.