Form D · Other Investment Fund
NZC GUGGENHEIM FUND LTD
Santa Monica, CA · CIK 0001449086
Offering snapshot reported May 15, 2026 · SEC filing
- Reported sold
- $408M Indefinite offering
- Investors reported
- 71 Form D · investor count
- Minimum accepted
- $100K Reported outside-investor minimum
- First sale
- Sep 30, 2008 As reported in this filing
Fundraising history
Reported soldDates 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 | $407,996,116 | $0vs Oct 14, 2025 | 71 | SEC filing |
| Oct 14, 2025 | Amendment | $407,996,116 | $0vs Apr 24, 2025 | 71 | SEC filing |
| Apr 24, 2025 | Amendment | $407,996,116 | $0vs Oct 11, 2024 | 71 | SEC filing |
| Oct 11, 2024 | Amendment | $407,996,116 | $0vs Oct 13, 2023 | 71 | SEC filing |
| Oct 13, 2023 | Amendment | $407,996,116 | $0vs Oct 14, 2022 | 71 | SEC filing |
| Oct 14, 2022 | Amendment | $407,996,116 | $0vs Mar 18, 2022 | 71 | SEC filing |
| Mar 18, 2022 | Amendment | $407,996,116 | $0vs Oct 15, 2021 | 71 | SEC filing |
| Oct 15, 2021 | Amendment | $407,996,116 | $0vs Oct 16, 2020 | 71 | SEC filing |
| Oct 16, 2020 | Amendment | $407,996,116 | $1,000,000vs Oct 18, 2019 | 71 | SEC filing |
| Oct 18, 2019 | Amendment | $406,996,116 | $2,070,000vs Oct 19, 2018 | 71 | SEC filing |
| Oct 19, 2018 | Amendment | $404,926,116 | $4,710,000vs Oct 20, 2017 | 70 | SEC filing |
| Oct 20, 2017 | Amendment | $400,216,116 | $51,953,233vs Oct 21, 2016 | 65 | SEC filing |
| Oct 21, 2016 | Amendment | $348,262,883 | $53,926,297vs Oct 23, 2015 | 52 | SEC filing |
| Oct 23, 2015 | Amendment | $294,336,586 | $17,264,993vs Sep 11, 2014 | 49 | SEC filing |
| Sep 11, 2014 | Amendment | $277,071,593 | $94,531,394vs Aug 19, 2013 | 40 | SEC filing |
| Aug 19, 2013 | Amendment | $182,540,199 | $14,000,001vs Aug 16, 2012 | 23 | SEC filing |
| Aug 16, 2012 | Amendment | $168,540,198 | $475,000vs Mar 15, 2012 | 20 | SEC filing |
| Mar 15, 2012 | Amendment | $168,065,198 | $47,498,804vs Mar 15, 2011 | 20 | SEC filing |
| Mar 15, 2011 | Amendment | $120,566,394 | $18,696,394vs Mar 12, 2010 | 23 | SEC filing |
| Mar 12, 2010 | Amendment | $101,870,000 | -$110,038,601vs Mar 16, 2009 | 17 | SEC filing |
| Mar 16, 2009 | Amendment | $211,908,601 | No comparison | Not reported | SEC filing |
| Oct 24, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Pooled investment fund
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $268K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-123969
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 |
|---|---|---|
| Guggenheim Securities, LLC | 40638 | Guggenheim Securities, LLC · CRD 40638 |
| Guggenheim Funds Distributors, LLC | 39805 | Guggenheim Funds Distributors, LLC · CRD 39805 |
| ABG, LLC | 167190 | ABG, LLC · CRD 167190 |
| Kelson Capital LLC | 149477 | Kelson 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 LTD
Investment adviser: GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
- Gross asset value
- $413M
- Beneficial owners
- 29
- 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
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 805-3100036274
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.
| Name | Reported role |
|---|---|
| Jeffrey B. Abrams | Executive |
| Jason M. Anthony | Executive |
| Thomas J.W. Archie | Executive |
| Matthew Bloom | Executive |
| Todd L. Boehly | Executive |
| Christopher Boyle | Executive |
| Michael P. Damaso | Executive |
| Adrian G.W. Duffy | Executive |
| Sherri Fleming | Director |
| 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 |
| Kevin H. Gunderson | Executive |
| Beth Haddock | Executive |
| William R. Hagner | Executive |
| Thomas Hauser | Executive |
| Todd D. Hearle | Executive |
| Christopher J. Le Beau | Director |
| 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 |
| William Shaw | Director |
| Kevin J. Solomon | Director |
| Zachary Warren | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Santa Monica, CA, 90401