Form D · Other Investment Fund

NZC GUGGENHEIM FUND LLC

Santa Monica, CA · CIK 0001445853

Offering snapshot reported May 15, 2026 · SEC filing

Reported sold
$1.11B
Indefinite offering
Investors reported
165
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Aug 7, 2008
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$556M$1.11BMar 16, 2009: $211,908,601.00Mar 16, 2009Mar 12, 2010: $432,750,000.00Mar 15, 2011: $503,833,795.00Mar 15, 2012: $520,901,110.00Aug 16, 2012: $544,101,110.00Aug 19, 2013: $841,066,110.00Sep 11, 2014: $993,914,545.00Oct 23, 2015: $1,056,234,946.00Oct 21, 2016: $1,107,290,238.00Oct 20, 2017: $1,112,115,238.00Oct 19, 2018: $1,112,115,238.00Oct 18, 2019: $1,112,115,238.00Oct 16, 2020: $1,112,365,238.00Oct 15, 2021: $1,112,365,238.00Oct 14, 2022: $1,112,365,238.00Oct 13, 2023: $1,112,365,238.00Oct 11, 2024: $1,112,365,238.00Oct 14, 2025: $1,112,365,238.00May 15, 2026: $1,112,365,238.00May 15, 2026

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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FiledFiling typeReported soldChange vs linked filingInvestorsSource
May 15, 2026Amendment$1,112,365,238$0vs Oct 14, 2025165SEC filing
Oct 14, 2025Amendment$1,112,365,238$0vs Oct 11, 2024165SEC filing
Oct 11, 2024Amendment$1,112,365,238$0vs Oct 13, 2023165SEC filing
Oct 13, 2023Amendment$1,112,365,238$0vs Oct 14, 2022165SEC filing
Oct 14, 2022Amendment$1,112,365,238$0vs Oct 15, 2021165SEC filing
Oct 15, 2021Amendment$1,112,365,238$0vs Oct 16, 2020165SEC filing
Oct 16, 2020Amendment$1,112,365,238$250,000vs Oct 18, 2019165SEC filing
Oct 18, 2019Amendment$1,112,115,238$0vs Oct 19, 2018164SEC filing
Oct 19, 2018Amendment$1,112,115,238$0vs Oct 20, 2017164SEC filing
Oct 20, 2017Amendment$1,112,115,238$4,825,000vs Oct 21, 2016164SEC filing
Oct 21, 2016Amendment$1,107,290,238$51,055,292vs Oct 23, 2015161SEC filing
Oct 23, 2015Amendment$1,056,234,946$62,320,401vs Sep 11, 2014161SEC filing
Sep 11, 2014Amendment$993,914,545$152,848,435vs Aug 19, 2013128SEC filing
Aug 19, 2013Amendment$841,066,110$296,965,000vs Aug 16, 2012107SEC filing
Aug 16, 2012Amendment$544,101,110$23,200,000vs Mar 15, 201273SEC filing
Mar 15, 2012Amendment$520,901,110$17,067,315vs Mar 15, 201166SEC filing
Mar 15, 2011Amendment$503,833,795$71,083,795vs Mar 12, 201061SEC filing
Mar 12, 2010Amendment$432,750,000$220,841,399vs Mar 16, 200939SEC filing
Mar 16, 2009Amendment$211,908,601No comparisonNot reportedSEC filing
Sep 19, 2008PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$214K (estimated)
Finders' fees
$0
Form D file number
021-122826
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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RecipientCRDAssociated broker-dealer
Guggenheim Securities, LLC40638Guggenheim Securities, LLC · CRD 40638
Guggenheim Funds Distributors, LLC39805Guggenheim Funds Distributors, LLC · CRD 39805
ABG, LLC167190ABG, LLC · CRD 167190
Kelson Capital LLC149477Kelson Capital LLC · CRD 149477

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

NZC GUGGENHEIM FUND LLC

Investment adviser: GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

Gross asset value
$1.34B
Beneficial owners
108
ADV minimum commitment
$10M

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 CITI HEDGE FUND SERVICES NORTH AMERICA INC JERSEY CITY, 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 HEDGE FUND SERVICES NORTH AMERICA INC JERSEY CITY, New Jersey, United States Related to adviser: No
Custodian THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. HOUSTON, Texas, 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 805-1485460925

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
NameReported role
Jeffrey B. Abrams Executive
Jeff Abrams Executive
Jason M. Anthony Executive
Thomas J.W. Archie Executive
Matthew S. Bloom Executive
Todd L. Boehly Executive
Christopher Boyle Executive
Michael P. Damaso Executive
Adrian G.W. Duffy Executive
James M. Freeland Executive
N/A Guggenheim Investment Management, Llc Promoter
N/A Guggenheim Partners Investment Management, Llc Executive
N/A Guggenheim Partners, Llc Executive
Kevin H. Gundersen Executive
Beth Haddock Executive
William R. Hagner Executive
Thomas Hauser Executive
Todd D. Hearle Executive
Alastair M. Mc Keever Executive
Anthony D. Minella Executive
B. Scott Minerd Executive
Daniel Montegari Executive
Timothy H. Murray Executive
Gregg J. Nardone Executive
Stephen D. Sautel Executive
Erich E. Schram Executive
Zachary Warren Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
100 Wilshire Boulevard, Suite 500
Santa Monica, CA, 90401