GUGGENHEIM INVESTMENT MANAGEMENT, LLC

CRD #117827 SEC #801-60745 NEW YORK, NY 212-651-9450

SEC Registered Private Funds

Total AUM

$32.7B

Discretionary

$32.6B

Employees

Clients

Accounts

Firm Details

Organization Type: Limited Liability Company
State of Formation: Delaware
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Mar 31, 2012
Branch Offices: --

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
BOEHLY, TODD, LAWRENCE	I	MANAGING PARTNER	NA	Control
BOEHLY, TODD, LAWRENCE	I	MANAGING PARTNER	NA	Control
BOEHLY, TODD, LAWRENCE	I	MANAGING PARTNER	NA	Control
BOEHLY, TODD, LAWRENCE	I	MANAGING PARTNER	NA	Control
BOEHLY, TODD, LAWRENCE	I	MANAGING PARTNER	NA	Control
BOEHLY, TODD, LAWRENCE	I	MANAGING DIRECTOR	NA	Control
BOEHLY, TODD, LAWRENCE	I	MANAGING PARTNER	NA	Control
BOEHLY, TODD, LAWRENCE	I	MANAGING PARTNER	NA	Control
BOEHLY, TODD, LAWRENCE	I	MANAGING DIRECTOR	NA	Control
BOEHLY, TODD, LAWRENCE	I	MANAGING PARTNER	NA	Control
BOEHLY, TODD, LAWRENCE	I	MANAGING DIRECTOR	NA	Control
BOEHLY, TODD, LAWRENCE	I	MANAGING PARTNER	NA	Control
CURCIO, DOMINIC, J.	I	MANAGING DIRECTOR	NA	Control
CURCIO, DOMINIC, J.	I	MANAGING DIRECTOR	NA	Control
CURCIO, DOMINIC, J.	I	MANAGING DIRECTOR	NA	Control
DUFFY, ADRIAN, G.W.	I	MANAGING DIRECTOR	NA	Control
DUFFY, ADRIAN, G.W.	I	MANAGING DIRECTOR	NA	Control
DUFFY, ADRIAN, G.W.	I	MANAGING DIRECTOR	NA	Control
HAGNER, WILLIAM, ROBERT	I	CHIEF LEGAL OFFICER	NA	Control
HAGNER, WILLIAM, ROBERT	I	CHIEF LEGAL OFFICER	NA	Control
HAGNER, WILLIAM, ROBERT	I	VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
HAGNER, WILLIAM, ROBERT	I	CHIEF LEGAL OFFICER	NA	Control
KING, ERIN, ELIZABETH	I	CHIEF COMPLIANCE OFFICER	NA	Control
MCGANN, ROBERT, VINCENT	I	CHIEF FINANCIAL OFFICER	NA	Control
MCGANN, ROBERT, VINCENT	I	CHIEF FINANCIAL OFFICER	NA	Control
MCGANN, ROBERT, VINCENT	I	CHIEF FINANCIAL OFFICER	NA	Control
MCGANN, ROBERT, VINCENT	I	CHIEF FINANCIAL OFFICER	NA	Control
MINERD, BYRON, SCOTT	I	CHIEF INVESTMENT OFFICER	NA	Control
MINERD, BYRON, SCOTT	I	CHIEF INVESTMENT OFFICER	NA	Control
NICK, KENNETH, ADAM	I	CHIEF COMPLIANCE OFFICER	NA	Control
NICK, KENNETH, ADAM	I	CHIEF COMPLIANCE OFFICER	NA	Control
NICK, KENNETH, ADAM	I	CHIEF COMPLIANCE OFFICER	NA	Control
NICK, KENNETH, ADAM	I	CHIEF COMPLIANCE OFFICER	NA	Control
NICK, KENNETH, ADAM	I	CHIEF COMPLIANCE OFFICER	NA	Control
NICK, KENNETH, ADAM	I	CHIEF COMPLIANCE OFFICER	NA	Control
NICK, KENNETH, ADAM	I	CHIEF COMPLIANCE OFFICER	NA	Control
NICK, KENNETH, ADAM	I	CHIEF COMPLIANCE OFFICER	NA	Control
SAUTEL, STEPHEN, D	I	MANAGING DIRECTOR	NA	Control
SAUTEL, STEPHEN, D	I	MANAGING DIRECTOR	NA	Control
SAUTEL, STEPHEN, D	I	SENIOR MANAGING DIRECTOR	NA	Control
SAUTEL, STEPHEN, D	I	SENIOR MANAGING DIRECTOR	NA	Control
SAUTEL, STEPHEN, D	I	SENIOR MANAGING DIRECTOR	NA	Control
SAUTEL, STEPHEN, D	I	MANAGING DIRECTOR	NA	Control
SAUTEL, STEPHEN, D	I	MANAGING DIRECTOR	NA	Control
SAUTEL, STEPHEN, D	I	MANAGING DIRECTOR	NA	Control
SAUTEL, STEPHEN, D	I	MANAGING DIRECTOR	NA	Control
SAUTEL, STEPHEN, D	I	SENIOR MANAGING DIRECTOR	NA	Control
SAUTEL, STEPHEN, D	I	MANAGING DIRECTOR	NA	Control
SAUTEL, STEPHEN, D	I	SENIOR MANAGING DIRECTOR	NA	Control
GUGGENHEIM CAPITAL, LLC	DE	SHAREHOLDER	E	Control
GUGGENHEIM CAPITAL, LLC	DE	SHAREHOLDER	E	Control
GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLC	DE	MEMBER	E	Control
GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLC	DE	MEMBER	E	Control
GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLC	DE	MEMBER	E	Control
GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLC	DE	MEMBER	E	Control
GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLC	DE	MEMBER	E	Control
GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLC	DE	MEMBER	E	Control
GUGGENHEIM PARTNERS, LLC	DE	MEMBER	E	Control
GUGGENHEIM PARTNERS, LLC	DE	MEMBER	E	Control
GUGGENHEIM PARTNERS, LLC	DE	MEMBER	E	Control
THE GUGGENHEIM GROUP, LLC	DE	SHAREHOLDER	E	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
CONSOLIDATED INVESTMENT SERVICES, INC.	DE	SAGE ASSETS, INC	E	Control
CONSOLIDATED INVESTMENT SERVICES, INC.	DE	SAGE ASSETS, INC	E	Control
CONSOLIDATED INVESTMENT SERVICES, INC.	DE	SAGE ASSETS, INC	E	Control
GP HOLDCO, LLC	DE	GPFT HOLDCO, LLC	E	Control
GP HOLDCO, LLC	DE	GPFT HOLDCO, LLC	E	Control
GP HOLDCO, LLC	DE	GPFT HOLDCO, LLC	E	Control
GP HOLDCO, LLC	DE	GPFT HOLDCO, LLC	E	Control
GP HOLDCO, LLC	DE	GPFT HOLDCO, LLC	E	Control
GP HOLDCO, LLC	DE	GPFT HOLDCO, LLC	E	Control
GPFT HOLDCO, LLC	DE	GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLC	E	Control
GPFT HOLDCO, LLC	DE	GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLC	E	Control
GPFT HOLDCO, LLC	DE	GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLC	E	Control
GPFT HOLDCO, LLC	DE	GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLC	E	Control
GPFT HOLDCO, LLC	DE	GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLC	E	Control
GPFT HOLDCO, LLC	DE	GUGGENHEIM INVESTMENT MANAGEMENT HOLDINGS, LLC	E	Control
GUGGENHEIM CAPITAL, LLC	DE	GUGGENHEIM PARTNERS, LLC	E	Control
GUGGENHEIM CAPITAL, LLC	DE	GUGGENHEIM PARTNERS, LLC	E	Control
GUGGENHEIM CAPITAL, LLC	DE	GUGGENHEIM PARTNERS, LLC	E	Control
GUGGENHEIM CAPITAL, LLC	DE	GUGGENHEIM PARTNERS, LLC	E	Control
GUGGENHEIM CAPITAL, LLC	DE	GUGGENHEIM PARTNERS, LLC	E	Control
GUGGENHEIM CAPITAL, LLC	DE	GUGGENHEIM PARTNERS, LLC	E	Control
GUGGENHEIM CAPITAL, LLC	DE	GUGGENHEIM PARTNERS, LLC	E	Control
GUGGENHEIM CAPITAL, LLC	DE	GUGGENHEIM PARTNERS, LLC	E	Control
GUGGENHEIM CAPITAL, LLC	DE	GUGGENHEIM PARTNERS, LLC	E	Control
GUGGENHEIM PARTNERS, LLC	DE	GP HOLDCO, LLC	E	Control
GUGGENHEIM PARTNERS, LLC	DE	GP HOLDCO, LLC	E	Control
GUGGENHEIM PARTNERS, LLC	DE	GP HOLDCO, LLC	E	Control
GUGGENHEIM PARTNERS, LLC	DE	GP HOLDCO, LLC	E	Control
GUGGENHEIM PARTNERS, LLC	DE	GP HOLDCO, LLC	E	Control
GUGGENHEIM PARTNERS, LLC	DE	GP HOLDCO, LLC	E	Control
SAMMONS ENTERPRISES, INC.	DE	CONSOLIDATED INVESTMENT SERVICES, INC.	E	Control
SAMMONS ENTERPRISES, INC.	DE	CONSOLIDATED INVESTMENT SERVICES, INC.	E	Control
SAMMONS ENTERPRISES, INC.	DE	CONSOLIDATED INVESTMENT SERVICES, INC.	E	Control
SAMMONS ENTERPRISES, INC. ESOT	DE	SAMMONS ENTERPRISES, INC.	E	Control
SAMMONS ENTERPRISES, INC. ESOT	DE	SAMMONS ENTERPRISES, INC.	E	Control
SAMMONS ENTERPRISES, INC. ESOT	DE	SAMMONS ENTERPRISES, INC.	E	Control
SAMMONS EQUITY ALLIANCE, INC.	DE	SAGE ASSETS	E	Control
SAGE ASSETS, INC	DE	GUGGENHEIM CAPITAL, LLC	C	Control
SAGE ASSETS, INC	DE	GUGGENHEIM CAPITAL, LLC	C	Control
SAGE ASSETS, INC	DE	GUGGENHEIM CAPITAL, LLC	C	Control

Registrations

Federal

Mar 31, 2012 REGISTERED

Notice Filings (1)

Address

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

Phone: 212-651-9450