Guggenheim Funds Investment Advisors, LLC is a large advisory firm based in Chicago. It manages $2.54 billion of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of California, Illinois, Maryland, and New York.
Guggenheim Funds Investment Advisors provides portfolio management for investment companies and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Guggenheim Funds Investment Advisors, LLC is $2.54 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -56% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has a single stream of revenue. Clients pay Guggenheim Funds Investment Advisors, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The only and largest group of clients of Byron Scott Minerd is investment companies with 6 clients and $2.54 billion of assets under management. Among the 10 most similar advisory firms, Guggenheim Funds Investment Advisors has the highest percentage of investment companies out of all clients.
The amount of regulatory assets under management is $2.54 billion for 6 clients. None of the firm’s clients are foreign persons or businesses.
Guggenheim Funds Investment Advisors doesn't advise any private funds.
The company employs 8 people that are either part- or full-time employees. 25 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Byron Scott Minerd has been acting as President since 1 Oct 2009. Farhan Sharaff has served as the Chief Investment Officer since 1 May 2012. Margaux Marie Misantone joined the executive team most recently as the Chief Compliance Officer.
The principal office where Guggenheim Funds Investment Advisors, LLC performs its advisory services is located at 227 West Monroe Street, Chicago, IL 60606, which is also the mailing address of the firm. An additional office of the firm is in Santa Monica, CA. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 312-827-0100. The normal business hours are 8:00 am - 5:00 pm cst on Monday - Friday. You can find more information about the New York firm at guggenheimpartners.com.