Investment adviser · CRD 117827

GUGGENHEIM INVESTMENT MANAGEMENT, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 30, 2012

Regulatory AUM
$32.7B
Form ADV · Item 5.F
Client accounts
78
Accounts, not individual clients

Not available in this filing: Employees, Advisory professionals.

Private funds & service providers

21 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.

NZC GUGGENHEIM MASTER FUND LTD.Hedge Fund · Last reported Mar 30, 2012$1.62BGross asset value

Feeder funds

  • NZC GUGGENHEIM FUND LLC
  • NZC GUGGENHEIM FUND LTD
Auditor KPMG NEW YORK, New York, United States
Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Related to adviser: No
Prime broker BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

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

Fund details & source
Fund ID
805-6597926957
Reported beneficial owners
2
Minimum commitment
$0

Form ADV 602927 · Mar 30, 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.

ORPHEUS FUNDING LLCHedge Fund · Last reported Mar 30, 2012$1.53BGross asset value

Feeder funds

  • ORPHEUS HOLDING LTD
  • ORPHEUS HOLDINGS, LLC
Auditor KPMG NEW YORK, New York, United States
Custodian THE BANK OF NEW YORK MELLON 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
Fund details & source
Fund ID
805-8261958231
Reported beneficial owners
2
Minimum commitment
$0

Form ADV 602927 · Mar 30, 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.

5180 CLO LPOther Private Fund · Last reported Mar 30, 2012$1.02BGross asset value
Fund administrator THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-7480888672
Reported beneficial owners
0
Minimum commitment
$14

Form ADV 602927 · Mar 30, 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.

COPPER RIVER CLO LTDOther Private Fund · Last reported Mar 30, 2012$724MGross asset value
Fund administrator THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-5871286405
Reported beneficial owners
0
Minimum commitment
$500K

Form ADV 602927 · Mar 30, 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.

NZCG FUNDING LTDOther Private Fund · Last reported Mar 30, 2012$592MGross asset value
Fund administrator THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-9276019310
Reported beneficial owners
0
Minimum commitment
$1M

Form ADV 602927 · Mar 30, 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.

KENNECOTT FUNDING LTDOther Private Fund · Last reported Mar 30, 2012$504MGross asset value
Fund administrator THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-8042546878
Reported beneficial owners
0
Minimum commitment
$500K

Form ADV 602927 · Mar 30, 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.

SANDS POINT FUNDING LTD.Other Private Fund · Last reported Mar 30, 2012$456MGross asset value
Fund administrator US BANK CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian U.S. BANK N.A. CHICAGO, Illinois, United States Related to adviser: No
Provider details
Annual audit
No
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-7587028928
Reported beneficial owners
0
Minimum commitment
$500K

Form ADV 602927 · Mar 30, 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 30, 2012. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

135 EAST 57TH STREET, 6TH FLOOR
NEW YORK, NY, 10022, United States

CRD 117827

Filing source

Form ADV 602927 · Mar 30, 2012 · 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.