← 栏目首页 | 数据源：SEC Form ADV Part 1（FOIA 全量数据包）· 该机构最新一次申报（03/28/2024）
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC · 所有者与执行高管（CRD 129288）
机构事实页：GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC 事实页 → | 官方原文：IAPD firm-summary/129288
Schedule A · 直接所有者（7 条）
| 名称 | 类型 | 职务 / 身份 | 控制人 | 持股方式 |
|---|---|---|---|---|
| LEE, AMY, JO | 个人 | GENERAL COUNSEL, SECRETARY, AND SR. MANAGING DIRECTOR | 是 | NA |
| SHARAFF, FARHAN, NMN | 个人 | CHIEF INVESTMENT OFFICER, EQUITIES | 是 | NA |
| GUGGENHEIM FUNDS SERVICES, LLC | 境内实体 | MEMBER | 是 | E |
| BEIER, DUSTAN, ROY | 个人 | CHIEF FINANCIAL OFFICER AND TREASURER | 是 | NA |
| MISANTONE, MARGAUX, MARIE | 个人 | CHIEF COMPLIANCE OFFICER | 是 | NA |
| BINDER, BRIAN, EDWARD | 个人 | PRESIDENT, MUTUAL FUNDS BOARDS, AND SR. MANAGING DIRECTOR | 是 | NA |
| CATALUCCI, JOANNA, MARIE | 个人 | SR. MANAGING DIRECTOR | 是 | NA |
Schedule B · 执行高管（14 条）
| 名称 | 职务 | 控制人 |
|---|---|---|
| SAMMONS ENTERPRISES, INC. | SHAREHOLDER | 是 |
| GUGGENHEIM PARTNERS, LLC | MEMBER | 是 |
| GUGGENHEIM CAPITAL, LLC | MEMBER | 是 |
| SAGE ASSETS, INC. | MEMBER | 是 |
| CONSOLIDATED INVESTMENT SERVICES, INC. | SHAREHOLDER | 是 |
| SAMMONS ENTERPRISES, INC. ESOT | SHAREHOLDER | 是 |
| GREATBANC TRUST COMPANY, TRUSTEE | TRUSTEE | 是 |
| GUGGENHEIM MANAGER, INC. | MEMBER | 是 |
| GUGGENHEIM CAPITAL, LLC | SHAREHOLDER | 是 |
| GI HOLDCO II LLC | MEMBER | 是 |
| GI HOLDCO LLC | MEMBER | 是 |
| GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC | MEMBER | 是 |
| GMI GPIMH, LLC | MANAGING MEMBER | 是 |
| SAMMONS CORPORATION | SHAREHOLDER | 是 |
口径：Form ADV 为投资顾问向 SEC/IARD 的申报，所有者与高管为机构自报；本库取该机构在数据区间内的最新一次申报快照（官方数据包截至 2024-12-31），此后的人事变化不在本页反映。持股方式为 ADV 原始代码。
