Guggenheim Private Investments, Llc
SEC-registered
Private Fund Manager · Small ($100M–$1B)
CRD 331479
· SEC file 801-131052
· New York, NY
· www.guggenheiminvestments.com
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ADV data as of Jul 30, 2026
- Regulatory AUM
- $349M
- Discretionary
- $333M
- Clients
- 7
- Avg AUM / client
- $49.9M
- Accounts
- 7
- Employees
- 5
AUM over time
$349M
$2.9B
Nov 2024
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 1 | $12.2M | 3.48% |
| Pooled investment vehicles (non-investment companies) | 2 | $333M | 95.3% |
| Insurance companies | 4 | $4.3M | 1.24% |
People (3)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Dina Marie Dilorenzo | President | Aug 2024 (2y) | Less than 5% | |
| Saperstein, Robert Andrew | Chief Compliance Officer | Aug 2024 (2y) | Less than 5% | |
| Suzanne Stone | Head Of Client Service, Guggenheim Private Investments, Llc | Nov 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Guggenheim Private Investments Holdings, Llc | Member | Sep 2024 | A | 75% or more |
| Guggenheim Partners, Llc | Member | Jul 2013 | B | ≈ 17.8% – 100% via Gi Holdco Ii Llc |
| Guggenheim Capital, Llc | Member | Oct 2005 | B | ≈ 13.35% – 100% via Guggenheim Partners, Llc |
| Sammons Enterprises, Inc. Esot | Shareholder | Jan 2010 | B | ≈ 1.06% – 50% via Sammons Enterprises, Inc. |
| Consolidated Investment Services, Inc. | Shareholder | Dec 2023 | B | ≈ 2.5% – 50% via Sage Assets, Inc. |
| Sammons Corporation | Shareholder | Dec 2023 | B | ≈ 1.88% – 50% via Consolidated Investment Services, Inc. |
| Sammons Enterprises, Inc. | Shareholder | Dec 2023 | B | ≈ 1.41% – 50% via Sammons Corporation |
| Guggenheim Investment Holdings, Llc | Member | Sep 2024 | B | ≈ 56.25% – 100% via Guggenheim Private Investments Holdings, Llc |
| Gih Parent, Llc | Member | Sep 2024 | B | ≈ 42.19% – 100% via Guggenheim Investment Holdings, Llc |
| Gih Borrower, Llc | Member | Sep 2024 | B | ≈ 31.64% – 100% via Gih Parent, Llc |
| Gi Holdco Ii Llc | Member | Sep 2024 | B | ≈ 23.73% – 100% via Gih Borrower, Llc |
| Sage Assets, Inc. | Member | Dec 2008 | B | ≈ 3.34% – 50% via Guggenheim Capital, Llc |
| Greatbanc Trust Company, Trustee | Trustee | Dec 2004 | B | GP / trustee / elected manager of Sammons Enterprises, Inc. Esot (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Guggenheim Partners, Llc: 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gih Borrower, Llc × 75% – 100% of Gih Parent, Llc × 75% – 100% of Guggenheim Investment Holdings, Llc × 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 17.8% – 100% of the firm
- Guggenheim Capital, Llc: 75% – 100% of Guggenheim Partners, Llc × 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gih Borrower, Llc × 75% – 100% of Gih Parent, Llc × 75% – 100% of Guggenheim Investment Holdings, Llc × 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 13.35% – 100% of the firm
- Sammons Enterprises, Inc. Esot: 75% – 100% of Sammons Enterprises, Inc. × 75% – 100% of Sammons Corporation × 75% – 100% of Consolidated Investment Services, Inc. × 75% – 100% of Sage Assets, Inc. × 25% – 50% of Guggenheim Capital, Llc × 75% – 100% of Guggenheim Partners, Llc × 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gih Borrower, Llc × 75% – 100% of Gih Parent, Llc × 75% – 100% of Guggenheim Investment Holdings, Llc × 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 1.06% – 50% of the firm
- Consolidated Investment Services, Inc.: 75% – 100% of Sage Assets, Inc. × 25% – 50% of Guggenheim Capital, Llc × 75% – 100% of Guggenheim Partners, Llc × 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gih Borrower, Llc × 75% – 100% of Gih Parent, Llc × 75% – 100% of Guggenheim Investment Holdings, Llc × 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 2.5% – 50% of the firm
- Sammons Corporation: 75% – 100% of Consolidated Investment Services, Inc. × 75% – 100% of Sage Assets, Inc. × 25% – 50% of Guggenheim Capital, Llc × 75% – 100% of Guggenheim Partners, Llc × 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gih Borrower, Llc × 75% – 100% of Gih Parent, Llc × 75% – 100% of Guggenheim Investment Holdings, Llc × 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 1.88% – 50% of the firm
- Sammons Enterprises, Inc.: 75% – 100% of Sammons Corporation × 75% – 100% of Consolidated Investment Services, Inc. × 75% – 100% of Sage Assets, Inc. × 25% – 50% of Guggenheim Capital, Llc × 75% – 100% of Guggenheim Partners, Llc × 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gih Borrower, Llc × 75% – 100% of Gih Parent, Llc × 75% – 100% of Guggenheim Investment Holdings, Llc × 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 1.41% – 50% of the firm
- Guggenheim Investment Holdings, Llc: 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Gih Parent, Llc: 75% – 100% of Guggenheim Investment Holdings, Llc × 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Gih Borrower, Llc: 75% – 100% of Gih Parent, Llc × 75% – 100% of Guggenheim Investment Holdings, Llc × 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Gi Holdco Ii Llc: 75% – 100% of Gih Borrower, Llc × 75% – 100% of Gih Parent, Llc × 75% – 100% of Guggenheim Investment Holdings, Llc × 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Sage Assets, Inc.: 25% – 50% of Guggenheim Capital, Llc × 75% – 100% of Guggenheim Partners, Llc × 75% – 100% of Gi Holdco Ii Llc × 75% – 100% of Gih Borrower, Llc × 75% – 100% of Gih Parent, Llc × 75% – 100% of Guggenheim Investment Holdings, Llc × 75% – 100% of Guggenheim Private Investments Holdings, Llc × 75% – 100% direct ≈ 3.34% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 2.2 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- J.P. Morgan $12.2M (3% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 30, 2026.
View current Form ADV (SEC/IAPD) ↗