Guggenheim Investments
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Overview
Guggenheim Investments operates as an advisory company that has its headquarters in Chicago, Illinois. Guggenheim Investments handles $3.2 billion in assets under management over four accounts, placing it among the largest investment advisory firms in the nation by assets under management (AUM). Guggenheim Investments has a small group, including 1 financial advisor. Guggenheim Investments is not a registered broker-dealer, signifying that it cannot buy and sell securities for its customers' and own accounts and instead is required to go through a broker-dealer firm to do so. Securities are defined as exchangable financial investments such as bonds, stocks and options.
Guggenheim Investments oversees all of the company's accounts on a discretionary basis. Discretionary management is a structure in which transaction choices for the client's account are made by a portfolio manager without needing to seek client consent. The firm's average account size is $790.7 million. The typical financial advisor at Guggenheim Investments oversees about four client accounts, making it one of the most individualized advisor firms in the country.
The company's central office is at 227 West Monroe Street, Chicago, Illinois 60606. It is legally registered to provide services to investors throughout a number of states, including California, Illinois, Maryland and New York.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Guggenheim Investments by the Numbers
$3.2 billion
6
4
$790.7 million
Products and Services
Services that Guggenheim Investments provides can include portfolio management for investment companies and selection of other advisers. Guggenheim Investments does not sell products or offer services other than investment advisory services to its investment advisory accounts. Guggenheim Investments also has a number of financial industry affiliations, including with a broker-dealer or securities dealer, insurance company or agency, pension consultant, real estate broker or dealer and commodity pool advisor.
Core Advisor Services
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Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Offered by 20% of firms
Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Fees charged by financial advisors typically depend on the type of services offered. However, fees billed by Guggenheim Investments typically consist of the following fee type: asset-based. The firm does not supply a wrap fee program, in which the company offers a bundle of services for a comprehensive fee.
Available
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Offered by 69% of firms
Percentage of Assets
Unavailable
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Find one of the 21% of firms that offer this fee type
Hourly
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Find one of the 1% of firms that offer this fee type
Commissions
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Find one of the 26% of firms that offer this fee type
Performance-based
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Find one of the 0% of firms that offer this fee type
Subscription
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Find one of the 32% of firms that offer this fee type
Fixed
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Find one of the 10% of firms that offer this fee type
Other
Types of Clients
The firm caters to investment companies. Out of its four accounts, Guggenheim Investments's largest client is investment companies. None of its customers are non-U.S. persons.
- High-Net-Worth Individuals* - 0%
- Other Individuals - 0%
- Corporations - 100%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Guggenheim Investments does not have any disclosures.
Please visit its Form ADV for more details.
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