GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

100 Wilshire Blvd
Suite 500
Santa Monica, California 90401
Tel: 310-576-1270

About GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC, formally registered with the SEC as GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC. The firm was established in 06/14/2006. They have over 6 offices throughout the country.

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC is a Santa Monica, California based Financial Planning firm with nearly $208,753,633,756 assets under management, offering retirement planning & investment advisory services to 220 clients. The firm is staffed with 562 experienced financial planners.

Firm Information

SEC Current Status	Approved
Firm CRD#	137432
SEC#	801-66786
Assets Managed by Firm	$208,753,633,756
No. of Clients	220
No. of Advisors	562

Fee Structure

A percentage of AUM
Fixed fees
Performance Based

Advisory Services Provided

Portfolio management for individuals and/or small businesses
Portfolio management for investment companies
Portfolio management for pooled investment vehicles
Portfolio management for businesses or institutional clients
Other (CONSULTATION/ADVISEMENT ON TRANSACTIONS/STRUCTURING PORTFOLIOS/RISK ANALYTICS)

Firm Client Information

	No. of Clients	AUM
Firm Total	220	$208,753,633,756
High net worth individuals	Fewer than 5 clients	$451,266,845
Pension and profit sharing plans	6	$2,239,802,626
Charitable organizations	5	$423,541,725
Other investment advisers	Fewer than 5 clients	$234,617,787
Corporations or other businesses	11	$2,242,542,125

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