Guggenheim Funds Distributors, LLC (Chicago)
Guggenheim Funds Distributors, LLC is a large advisory firm based in Chicago. It manages $4.72 billion of regulatory assets for 426 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of California, Illinois, and New York.
Guggenheim Funds Distributors provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
Guggenheim Funds Distributors: assets under management
The assets under management (AUM) of Guggenheim Funds Distributors, LLC is $4.72 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 20% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
Fees & Commissions
The advisory firm has a single stream of revenue. Clients pay Guggenheim Funds Distributors, 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.
What kind of clients Guggenheim Funds Distributors serves?
The only and largest group of clients of Guggenheim Funds Distributors is investment companies with 1 clients and $4.72 billion of assets under management. Among the 11 most similar advisory firms, Guggenheim Funds Distributors has the highest percentage of investment companies out of all clients.
The amount of regulatory assets under management is $4.72 billion for 1 clients. None of the firm’s clients are foreign persons or businesses.
Guggenheim Funds Distributors doesn't advise any private funds.
Careers at Guggenheim Funds Distributors, LLC
The company employs 300 people that are either part- or full-time employees. 3 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.
Jerry William Miller joined the executive team most recently as the Chief Executive Officer And President.
Direct owners and executive officers
Indirect Owners
The SEC currently registers 25 indirect owners.Based in Chicago
The principal office where Guggenheim Funds Distributors, LLC performs its advisory services is located at 227 West Monroe Street, Chicago, IL 60606 The mailing address of the firm is 702 King Farm Blvd, Rockville, MD 20850. 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 312-357-0287. The normal business hours are 8:00 a.m.-5:00 p.m. on Monday - Friday. You can find more information about the New York firm at guggenheimpartners.com.
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