Investment adviser · CRD 137432

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Jul 30, 2026

Regulatory AUM: $241B
Client accounts: 440
Employees: 588
Advisory professionals: 166

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
Insurance companies	61	$134,698,423,555	56.0%
Investment companies	22	$70,711,073,819	29.4%
Banks & thrifts	17	$17,969,523,232	7.5%
Pooled investment vehicles	65	$7,547,724,149	3.1%
Government entities	11	$4,007,433,868	1.7%
Corporations & businesses	20	$1,928,073,539	0.8%
Sovereign wealth & foreign institutions	Fewer than 5	$1,457,383,445	0.6%
Retirement plans	Fewer than 5	$646,718,210	0.3%
Charities	18	$562,261,168	0.2%
High-net-worth individuals	5	$454,897,123	0.2%
Other investment advisers	Fewer than 5	$333,230,589	0.1%
Other clients	Fewer than 5	$239,431,370	0.1%
Individuals	210	$102,869,944	0.0%
Business development companies	1	$155,562	0.0%

Filing source

Form ADV 2122432 · Jul 30, 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

50+ 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.

Browse the first 49 funds across 7 pages.

GUGGENHEIM PARTNERS OPPORTUNISTIC INVESTMENT GRADE SECURITIES MASTER FUND, LTD.Hedge Fund · Last reported Jul 30, 2026$1.09BGross asset value

Feeder funds

GUGGENHEIM PARTNERS OPPORTUNISTIC INVESTMENT GRADE SECURITIES FUND, LLC
GUGGENHEIM PARTNERS OPPORTUNISTIC INVESTMENT GRADE SECURITIES FUND, LTD.
GUGGENHEIM PARTNERS OPPORTUNISTIC INVESTMENT GRADE SECURITIES PRIVATE PENSIONS FUND LLC

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

Auditor KPMG LLP GEORGE TOWN, Cayman Islands

Custodian THE BANK OF NEW YORK MELLON BROOKLYN, New York, United States Related to adviser: No

Marketer ABG, LLC NEW YORK, New York, United States 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

KPMG LLP
PCAOB 1323

THE BANK OF NEW YORK MELLON
LEI HPFHU0OQ28E4N0NFVK49

ABG, LLC
CRD 167190 · SEC 8-69247

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

Fund details & source

Fund ID: 805-9299875037
Reported beneficial owners: 10
Minimum commitment: $25M
Form D file number: 021-247321
Form D file number: 021-247335

Form ADV 2122432 · Jul 30, 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 PARTNERS OPPORTUNISTIC INVESTMENT GRADE SECURITIES OFFSHORE MASTER FUND, LTD.Hedge Fund · Last reported Jul 30, 2026$507MGross asset value

Feeder funds

GUGGENHEIM PARTNERS OPPORTUNISTIC INVESTMENT GRADE SECURITIES OFFSHORE FUND, LTD.

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

Auditor KPMG LLP GEORGE TOWN, Cayman Islands

Custodian THE BANK OF NEW YORK MELLON BROOKLYN, New York, United States Related to adviser: No

Marketer ABG, LLC NEW YORK, New York, United States 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

KPMG LLP
PCAOB 1323

THE BANK OF NEW YORK MELLON
LEI HPFHU0OQ28E4N0NFVK49

ABG, LLC
CRD 167190 · SEC 8-69247

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

Fund details & source

Fund ID: 805-5445050387
Reported beneficial owners: 9
Minimum commitment: $5M
Form D file number: 021-365154

Form ADV 2122432 · Jul 30, 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 LOAN MASTER FUND, LTD.Hedge Fund · Last reported Jul 30, 2026$506MGross asset value

Feeder funds

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 LTD GEORGE TOWN, Cayman Islands

Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, United States Related to adviser: No

Marketer ABG, LLC NEW YORK, New York, United States 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 LTD
PCAOB 1655

THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A.
LEI HPFHU0OQ28E4N0NFVK49

ABG, LLC
CRD 167190 · SEC 8-69247

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

Fund details & source

Fund ID: 805-5271170544
Reported beneficial owners: 3
Minimum commitment: $5M
Form D file number: 021-204487
Form D file number: 021-247323

Form ADV 2122432 · Jul 30, 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.

ACRI HOLDINGS LLCPrivate Equity Fund · Last reported Jul 30, 2026$426MGross asset value

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

Custodian US BANK NATIONAL ASSOCIATION CINCINNATI, Ohio, 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

US BANK NATIONAL ASSOCIATION
LEI 6BYL5QZYBDK8S7L73M02

Fund details & source

Fund ID: 805-1061966914
Reported beneficial owners: 16
Minimum commitment: $0

Form ADV 2122432 · Jul 30, 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 CLO 2022-2, LTD.Securitized Asset Fund · Last reported Jul 30, 2026$389MGross asset value

Custodian THE BANK OF NEW YORK MELLON 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

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

Fund details & source

Fund ID: 805-6218805122
Reported beneficial owners: 1
Minimum commitment: $250K

Form ADV 2122432 · Jul 30, 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.

G-PUFF 2 LLCPrivate Equity Fund · Last reported Jul 30, 2026$309MGross asset value

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

Custodian UMB BANK, NATIONAL ASSOCIATION KANSAS CITY, Missouri, 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

UMB BANK, NATIONAL ASSOCIATION
LEI VNOO6EITDJ2YUEBMSZ83

Fund details & source

Fund ID: 805-8384477369
Reported beneficial owners: 13
Minimum commitment: $0

Form ADV 2122432 · Jul 30, 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.

ORINOCO FUNDING LLCReal Estate Fund · Last reported Jul 30, 2026$301MGross asset value

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

Custodian US BANK NATIONAL ASSOCIATION CINCINNATI, Ohio, 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

US BANK NATIONAL ASSOCIATION
LEI 6BYL5QZYBDK8S7L73M02

Fund details & source

Fund ID: 805-8247769434
Reported beneficial owners: 19
Minimum commitment: $0

Form ADV 2122432 · Jul 30, 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: Jul 30, 2026. View historical filings

Reported services

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

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

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

CRD 137432

Filing source

Form ADV 2122432 · Jul 30, 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.