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December 01, 2015 3:43 PM ET

Capital Markets

Company Overview of Guggenheim Partners, LLC

Company Overview

Guggenheim Partners, LLC is a privately owned investment manager. The firm provides its services to individuals including high-net-worth individuals, institutional investors, family offices, endowments, foundations, insurance companies, pension plans, and other institutions. Through its subsidiaries, it provides investment management products and services, investment advisory services, and investment banking and capital markets services. The firm is based in New York with additional offices in Nashville, Tennessee; Indianapolis, Indiana; Chicago, Illinois; Sioux Falls, South Dakota; Miami, Florida; Central Hong Kong, Hong Kong; St. Louis, Missouri; London, United Kingdom; Los Angeles, Califo...

330 Madison Avenue

10 Floor

New York, NY 10017

United States

Founded in 2006



Key Executives for Guggenheim Partners, LLC

Co-Founder and Chief Executive Officer
President, Member of Executive Committee, and Member of Management Committee
Co-Founder and Managing Partner
Managing Partner, Global Chief Investment Officer, and Chairman of Investments
Age: 56
Compensation as of Fiscal Year 2015.

Guggenheim Partners, LLC Key Developments

Guggenheim Partners Announces Management Changes

Guggenheim Partners LLC hired Andrew Hall and Anthony Guido as managing directors to sell high-yield debt. Hall and Guido joined Guggenheim in the week beginning Sept. 7. Both new hires joined from Jefferies Group LLC. In addition, Guggenheim added Michael Dowdell as a director for high-yield securities trading. Dowdell previously worked at a Nomura Holdings Inc. unit and started working at Guggenheim in late August. Hall reportedly confirmed his departure. Zucker reportedly moved to Bank of America Corp.

Guggenheim Expands Innovative Strategic Beta Product Suite with Launch of S&P 500(R) Equal Weight Real Estate ETF

Guggenheim Investments announced the launch of Guggenheim S&P 500 Equal Weight Real Estate ETF (EWRE). The ETF tracks the newly created S&P 500 Equal Weight Real Estate Index, which equally weights the index constituents in the S&P 500 that are classified in the Global Industry Classification Standard (GICS®) Real Estate Industry Group with an emphasis on exchange-traded equity REITs and real estate management and development companies, and excluding Mortgage REITs. The new real estate sector includes equity REITs and real estate management and development companies. Mortgage REITs, which facilitate the financing of commercial and residential real estate, will remain in the financials sector. On September 16, 2016, S&P Dow Jones will implement the GICS real estate sector change as a part of their annual index rebalancing. EWRE becomes the 15th equal-weighted ETF in Guggenheim's product line. Guggenheim pioneered the concept of strategic beta with the launch of Guggenheim S&P 500 Equal Weight ETF (RSP) in April 2003.

Guggenheim Partners Pays $20 Million to Settle with Securities and Exchange Commission

The investment arm of Guggenheim Partners has agreed to pay $20 million to settle charges by the Securities and Exchange Commission that it failed to disclose a $50 million loan by a client to one of its senior executives. The executive at Guggenheim Partners Investment Management took the loan in July 2010 and used it to make a personal investment in an acquisition that was put together by Guggenheim Partners, the S.E.C. The S.E.C. also said that Guggenheim's compliance program was not intended to prevent federal securities law violations. The firm failed to ensure that employees followed a code of ethics, for example, when employees took dozens of unreported trips on the private airplanes of clients.

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