Guggenheim Funds Distributors, Llc
SEC-registered
Broker-Dealer (Dually Registered) · Mid-sized ($1B–$10B)
CRD 39805
· SEC file 801-54810
· Chicago, IL
· WWW.GUGGENHEIMINVESTMENTS.COM
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $7.8B
- Discretionary
- $7.8B
- Clients
- 1
- Avg AUM / client
- $7.8B
- Accounts
- 290
- Employees
- 245
AUM over time
$3.9B
$7.8B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 1 | $7.8B | 100.0% |
People (7)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Cogliandro, Dominick Nmn | Chief Operating Officer, Unit Investment Trust Business | Jul 2006 (20y) | Less than 5% | |
| Lee, Amy, Jo | General Counsel, Secretary, And Senior Managing Director | Apr 2013 (13y) | Less than 5% | |
| Metzger, Dennis Ryan | Chief Compliance Officer | Apr 2014 (12y) | Less than 5% | |
| Miller, Elisabeth Ann | Senior Managing Director | Apr 2014 (12y) | Less than 5% | |
| Christopher Vito Parisi | Head Of Distribution, Senior Managing Director | Jun 2020 (6y) | Less than 5% | |
| Dina Marie Dilorenzo | President Of The Broker Dealer, Guggenheim Funds Distributors, Llc | Mar 2021 (5y) | Less than 5% | |
| Chan, Ying | Financial And Operations Principal | Sep 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Guggenheim Funds Services, Llc | Member | Apr 2013 | A | 75% or more |
| Guggenheim Partners, Llc | Member | Jul 2013 | B | 75% or more of Gi Holdco Ii, Llc (indirect) |
| Guggenheim Capital, Llc | Member | Oct 2005 | B | 75% or more of Guggenheim Partners, Llc (indirect) |
| Sammons Enterprises, Inc. | Shareholder | Dec 2023 | B | 75% or more of Sammons Corporation (indirect) |
| Consolidated Investment Services, Inc. | Shareholder | Dec 2023 | B | 75% or more of Sage Assets, Inc. (indirect) |
| Sammons Enterprises, Inc. Esot | Shareholder | Jan 2010 | B | 75% or more of Sammons Enterprises, Inc. (indirect) |
| Guggenheim Manager, Inc. | Member | Jul 2013 | B | 75% or more of Gmi Gpimh, Llc (indirect) |
| Guggenheim Partners Investment Management Holdings, Llc | Member | Oct 2016 | B | ≈ 56.25% – 100% via Guggenheim Funds Services, Llc |
| Gi Holdco Ii Llc | Member | Jul 2013 | B | ≈ 31.64% – 100% via Gi Holdco Llc |
| Gi Holdco Llc | Member | Jul 2013 | B | ≈ 42.19% – 100% via Guggenheim Partners Investment Management Holdings, Llc |
| Sammons Corporation | Shareholder | Dec 2023 | B | 75% or more of Consolidated Investments Services, Inc. (indirect) |
| Sage Assets, Inc. | Member | Dec 2008 | B | 25% – 50% of Guggenheim Capital, Llc (indirect) |
| Greatbanc Trust Company, Trustee | Trustee | Dec 2004 | B | GP / trustee / elected manager of Sammons Enterprises, Inc. Esot (indirect) |
| Gmi Gpimh, Llc | Managing Member | Jul 2013 | B | GP / trustee / elected manager of Guggenheim Partners Investment Management Holdings, Llc (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 Investment Management Holdings, Llc: 75% – 100% of Guggenheim Funds Services, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Gi Holdco Ii Llc: 75% – 100% of Gi Holdco Llc × 75% – 100% of Guggenheim Partners Investment Management Holdings, Llc × 75% – 100% of Guggenheim Funds Services, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Gi Holdco Llc: 75% – 100% of Guggenheim Partners Investment Management Holdings, Llc × 75% – 100% of Guggenheim Funds Services, Llc × 75% – 100% direct ≈ 42.19% – 100% 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 | 1.71 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
- • Other fees
- • INDEX LICENSING FEE
Services
- • Portfolio management for investment companies
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗