Form D · Other Investment Fund

Guggenheim Partners Opportunistic Investment Grade Securities Fund, LLC

Santa Monica, CA · CIK 0001457892

Offering snapshot reported May 15, 2026 · SEC filing

Reported sold: $363M
Investors reported: 12
Minimum accepted: $1M
First sale: Dec 31, 2024

Fundraising history

Reported sold

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
May 15, 2026	Amendment	$362,506,993	$0vs Oct 14, 2025	12	SEC filing
Oct 14, 2025	Amendment	$362,506,993	No comparison	12	SEC filing
Jan 30, 2025	Initial	Yet to sell	No comparison	0	SEC filing
Jun 28, 2012	Amendment	$1,383,629,920	No comparison	62	SEC filing
Mar 4, 2009	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

Securities: Pooled investment fund, Other
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: Yes

Sales commissions: $480K (estimated)
Finders' fees: $0
Form D file number: 021-536763

Clarification of Item 11: The minimum investment amount disclosed may be reduced at the discretion of the Investment Adviser of the Issuer.

Limited Liability Company Interests.

The fees are paid by the investment advisor of the Issuer and the estimate includes amounts that may be payable over the next 12 months.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
ABG, LLC	167190	ABG, LLC · CRD 167190
Kelson Capital LLC	149477	Kelson Capital LLC · CRD 149477
Guggenheim Fund Distributors, LLC	39805	Guggenheim Fund Distributors, LLC · CRD 39805

Source: Form D, filed May 15, 2026. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

GUGGENHEIM PARTNERS OPPORTUNISTIC INVESTMENT GRADE SECURITIES FUND, LLC

Investment adviser: GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

Gross asset value: $2.59B
Beneficial owners: 63
ADV minimum commitment: $25M

Reported in Form ADV on Mar 2, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

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

Auditor KPMG CHICAGO, Illinois, United States

Custodian JP MORGAN CHASE BANK N.A. NEW YORK, New York, 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

GUGGENHEIM SECURITIES, LLC
CRD 40638 · SEC 8-49107

Filing source

Form ADV 861690 · Mar 2, 2015 · Schedule D 7.B.(1), fund 805-9854016665

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

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
Adam Bloch	Executive
Steven Brown	Executive
N/A Guggenheim Partners Asset Management, Llc	Promoter
N/A Guggenheim Partners Investment Management, Llc	Promoter
Matthew K. Lindland	Promoter
James W. Michal	Promoter
B. Scott Minerd	Promoter
Eric Silvergold	Promoter
Anne Walsh	Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

100 Wilshire Blvd. Suite 500
Santa Monica, CA, 90401