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Guggenheim Global Trading, LLC (Purchase)


Guggenheim Global Trading, LLC is a large advisory firm based in Purchase. It manages $1.32 billion of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2011.

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Guggenheim Global Trading provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Guggenheim Global Trading: assets under management

The assets under management (AUM) of Guggenheim Global Trading, LLC is $1.32 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 428% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $1.32 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $329.84 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Guggenheim Global Trading, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 11 indirect owners.

Name Entity Date acquired Ownership Employer ID
Llc Guggenheim Capital Shareholder 1 Nov 2000 75% - 100% 36-4358656
Llc Guggenheim Capital Member 1 Oct 2005 75% - 100% 36-4358656
Inc Sage Assets Member 1 Dec 2008 25% - 50% 26-3960584
Inc. Sammons Enterprises Shareholder 1 Dec 2008 75% - 100% 75-6027423
Inc. Consolidated Investment Services Shareholder 1 Dec 2008 75% - 100% 88-0214301
Trustee Greatbanc Trust Company Trustee 1 Jan 2010 Other 75-0864422
Inc. Esot Sammons Enterprises Shareholder 1 Mar 2010 75% - 100% 75-0864422
Inc. Guggenheim Manager Managing member 1 Jan 2011 Other 36-4406374
Llc Guggenheim Partners Member 1 Jul 2011 75% - 100% 20-3571204
Inc. Consolidated Investment Services Shareholder 1 Jul 2011 75% - 100% 88-0214301
Inc. Sammons Equity Alliance Shareholder 1 Jul 2011 75% - 100% 45-2838232

Based in Purchase

The principal office where Guggenheim Global Trading, LLC performs its advisory services is located at 4 Manhattanville Road, Purchase, NY 10577, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 914-251-8100 or by fax 646-224-9827. The normal business hours are 9:00 - 5:00 on Monday - Friday. You can find more information about the New York firm at guggenheimpartners.com/global-trading.aspx.


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