Guggenheim Funds Distributors, LLC

Registered investment adviser · Chicago, IL · CRD #39805

Form ADV data as of 2026-09-01

Regulatory assets

$7.80 billion

Total accounts

290

Employees

245

Disclosure events

Firm details

Website: http://www.guggenheiminvestments.com
Telephone: 312-357-1007
SEC file number: 801-54810
Most recent Form ADV filing: 2026-03-31
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$7.80 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$7.80 billion
Discretionary accounts	290
Non-discretionary accounts	0
Total accounts	290
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	245
Employees performing investment advisory functions (including research)	8
Employees who are registered representatives of a broker-dealer	137
Employees registered as investment adviser representatives with a state	0
Employees registered as IARs for another investment adviser	40
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementOther

Advisory services offered

Portfolio management for investment companies

Other business activities

Broker-dealer (registered or unregistered)

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered municipal advisorCommodity pool operator or commodity trading advisorInsurance company or agencyPension consultantReal estate broker or dealerSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys securities from or sells securities to advisory clients (principal transactions)
Recommends securities in which it has another proprietary interest
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Recommends brokers or dealers to clients

Client types

Type of client	Clients	Assets
Investment companies	1	$7.80 billion