GUGGENHEIM CAPITAL LLC — 13F Holdings & Portfolio
CIK 1283072 · latest 13F-HR filed 2026-08-12
GUGGENHEIM CAPITAL LLC manages $15.89B in 13F-reported U.S. long-equity assets across 3,086 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are NVDA (2.87%), AAPL (2.28%), MU (1.95%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 191 new positions and exited 83; 815 existing positions rose in reported value and 473 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
Loading holdings…
AUM
$15.89B
Long-equity book
Holdings
3,086
Distinct positions
Period
2026-06-30
Filed 2026-08-12
Q/Q Activity
+191 / −83 / ↑815 / ↓473
vs 2026-03-31
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q2 26NVDA3.6% · +7%MU3.4% · +5%AAPL2.9% · +5%LRCX2.4% · +6%MSFT2.1% · +8%AMD2.1% · +5%AVGO2.0% · +6%AMAT2.0% · +1%AMZN1.8% · +7%GOOGL1.7% · +5%META1.3% · +8%CSCO1.2% · -2%TSLA1.2% · +10%INTC1.1% · +5%SPY1.1% · +50%GOOG1.1% · +9%KLAC1.0% · +956%WMT1.0% · +5%MRVL0.9% · +5%GCSH0.9% · newCOST0.9% · +5%QCOM0.8% · -4%MRK0.7% · +2%SNDK0.6% · +432%PANW0.6% · -0%V0.6% · +0%IVV0.6% · +7%AMGN0.5% · +4%NFLX0.5% · +14%WM0.5% · -2%PEP0.5% · +6%ADI0.5% · +3%JPM0.5% · -1%BKNG0.5% · +2542%TXN0.5% · +8%JNJ0.5% · -9%PLTR0.4% · +18%GS0.4% · -0%ORLY0.4% · +8%MA0.4% · -1%GISC0.4% · newWDC0.4% · +6%ABBV0.4% · -5%VRTX0.4% · +15%CVX0.4% · -2%HD0.4% · +13%KO0.4% · -1%DASH0.4% · +4%GILD0.3% · 0%MDLZ0.3% · -7%UNP0.3% · -6%MCD0.3% · +2%CAT0.3% · -2%LIN0.3% · +4%CRWD0.3% · +13%SNPS0.3% · -5%XOM0.3% · -12%LLY0.3% · +11%APP0.3% · +25%SHY0.3% · -4%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q1 26 → Q2 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
4 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 23.9%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Jul 30, 2026.
Assets Under Management
$240.66B
Discretionary
$240.38B
Employees
588
Accounts
440
Address
330 MADISON AVENUE
10TH FLOOR
NEW YORK, NY 10017
10TH FLOOR
NEW YORK, NY 10017
Phone
(212) 739-0700
This firm reports 3 disclosure items on its registration.
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| BINDER, BRIAN, EDWARD Control | PRESIDENT, MUTUAL FUNDS BOARDS AND SR. MANAGING DIRECTOR since Jan 2018 | Less than 5% | Individual |
| BROWN, STEVEN, HERSCHEDE Control | CHIEF INVESTMENT OFFICER FOR FIXED INCOME, GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT since Mar 2022 | Less than 5% | Individual |
| DILORENZO, DINA, MARIE Control | MANAGING PARTNER, PRESIDENT since Mar 2021 | Less than 5% | Individual |
| GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC Control | MEMBER since Dec 2009 | 75% or more | Domestic Entity |
| SAPERSTEIN, ROBERT, ANDREW Control | CHIEF COMPLIANCE OFFICER since Jan 2023 | Less than 5% | Individual |
| Stone, Suzanne Control | HEAD OF CLIENT SERVICE since Mar 2025 | Less than 5% | Individual |
| WALSH, ANNE, BOOKWALTER Control | MANAGING PARTNER, CHIEF INVESTMENT OFFICER, GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT since Mar 2021 | Less than 5% | Individual |
| GI HOLDCO II LLC Control Indirect owner via GI HOLDCO LLC | MEMBER since Jul 2013 | 75% or more | Domestic Entity |
| GI HOLDCO LLC Control Indirect owner via GIH BORROWER, LLC | MEMBER since Nov 2024 | 75% or more | Domestic Entity |
| GIH BORROWER, LLC Control Indirect owner via GIH PARENT, LLC | MEMBER since Aug 2024 | 75% or more | Domestic Entity |
| GIH PARENT, LLC Control Indirect owner via GUGGENHEIM INVESTMENTS HOLDINGS, LLC | MEMBER since Aug 2024 | 75% or more | Domestic Entity |
| GMI GPIMH, LLC Control Indirect owner via GIH PARENT, LLC | MANAGING MEMBER since Nov 2024 | General partner, trustee or manager | Domestic Entity |
| GUGGENHEIM CAPITAL, LLC Control Indirect owner via GUGGENHEIM PARTNERS, LLC | MEMBER since Oct 2005 | 75% or more | Domestic Entity |
| GUGGENHEIM CAPITAL, LLC Control Indirect owner via GUGGENHEIM MANAGER, INC. | SHAREHOLDER since Nov 2000 | 75% or more | Domestic Entity |
| GUGGENHEIM INVESTMENTS HOLDINGS, LLC Control Indirect owner via GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC | MEMBER since Nov 2024 | 75% or more | Domestic Entity |
| GUGGENHEIM MANAGER, INC. Control Indirect owner via GMI GPIMH, LLC | MEMBER since Jul 2013 | 75% or more | Domestic Entity |
| GUGGENHEIM PARTNERS, LLC Control Indirect owner via GI HOLDCO II, LLC | MEMBER since Jul 2013 | 75% or more | Domestic Entity |
Ownership & leadership changes · 32 filings with changes since Mar 30, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
May 14, 2025 filing
- No longer listedCONSOLIDATED INVESTMENT SERVICES, INC. · SHAREHOLDER · 75% or more · indirect via SAGE ASSETS, INC. · control person · listed since Dec 2023
- No longer listedGREATBANC TRUST COMPANY, TRUSTEE · TRUSTEE · General partner, trustee or manager · indirect via SAMMONS ENTERPRISES, INC. ESOT · control person · listed since Jan 2010
- No longer listedSAGE ASSETS, INC. · MEMBER · 25–50% · indirect via GUGGENHEIM CAPITAL, LLC · control person · listed since Dec 2008
- No longer listedSAMMONS CORPORATION · SHAREHOLDER · 75% or more · indirect via CONSOLIDATED INVESTMENT SERVICES, INC. · control person · listed since Dec 2023
- No longer listedSAMMONS ENTERPRISES, INC. · SHAREHOLDER · 75% or more · indirect via SAMMONS CORPORATION · control person · listed since Dec 2023
- No longer listedSAMMONS ENTERPRISES, INC. ESOT · SHAREHOLDER · 75% or more · indirect via SAMMONS ENTERPRISES, INC. · control person · listed since Mar 2010
Mar 31, 2025 filing
- No longer listedGI HOLDCO LLC · MEMBER · 75% or more · indirect via GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC · control person · listed since Jul 2013
- No longer listedGMI GPIM, LLC · MANAGING MEMBER · Less than 5% · control person · listed since Jul 2013
- No longer listedGMI GPIMH, LLC · MANAGING MEMBER · General partner, trustee or manager · indirect via GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC · control person · listed since Jul 2013
- No longer listedGUGGENHEIM MANAGER, INC · MEMBER · 75% or more · indirect via GMI GPIM, LLC · control person · listed since Jul 2013
- AddedGI HOLDCO LLC · MEMBER · 75% or more · indirect via GIH BORROWER, LLC · control person
- AddedGIH BORROWER, LLC · MEMBER · 75% or more · indirect via GIH PARENT, LLC · control person
- AddedGIH PARENT, LLC · MEMBER · 75% or more · indirect via GUGGENHEIM INVESTMENTS HOLDINGS, LLC · control person
- AddedGMI GPIMH, LLC · MANAGING MEMBER · General partner, trustee or manager · indirect via GIH PARENT, LLC · control person
- AddedGUGGENHEIM INVESTMENTS HOLDINGS, LLC · MEMBER · 75% or more · indirect via GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC · control person
- AddedStone, Suzanne · HEAD OF CLIENT SERVICE · Less than 5% · control person
Mar 29, 2024 filing
- No longer listedBURSCHINGER, JOSEPH, MICHAEL · CHIEF RISK OFFICER · Less than 5% · control person · listed since Sep 2013
- No longer listedCONSOLIDATED INVESTMENT SERVICES, INC. · SHAREHOLDER · 75% or more · indirect via SAMMONS EQUITY ALLLIANCE, INC. · control person · listed since Jul 2011
- No longer listedRONE, DAVID, BRADLEY · MANAGING PARTNER, CO-PRESIDENT · Less than 5% · control person · listed since Mar 2021
- No longer listedSAMMONS ENTERPRISES, INC. · SHAREHOLDER · 75% or more · indirect via CONSOLIDATED INVESTMENT SERVICES, INC. · control person · listed since Dec 2008
- No longer listedSAMMONS EQUITY ALLIANCE, INC. · SHAREHOLDER · 75% or more · indirect via SAGE ASSETS, INC. · control person · listed since Jul 2011
- AddedSAMMONS CORPORATION · SHAREHOLDER · 75% or more · indirect via CONSOLIDATED INVESTMENT SERVICES, INC. · control person
- AddedSAMMONS ENTERPRISES, INC. · SHAREHOLDER · 75% or more · indirect via SAMMONS CORPORATION · control person
- Listed againCONSOLIDATED INVESTMENT SERVICES, INC. · SHAREHOLDER · 75% or more · indirect via SAGE ASSETS, INC. · control person
- ChangedBROWN, STEVEN, HERSCHEDE · title CHIEF INVESTMENT OFFICER FOR TOTAL RETURN AND MACRO STRATEGIES → CHIEF INVESTMENT OFFICER FOR FIXED INCOME, GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT
- ChangedDILORENZO, DINA, MARIE · title MANAGING PARTNER, CO-PRESIDENT → MANAGING PARTNER, PRESIDENT
Mar 31, 2023 filing
- No longer listedGMI GPIM, LLC · MANAGING MEMBER · General partner, trustee or manager · indirect via GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC · control person · listed since Jul 2013
- No longer listedSHANNON, DANIEL, JOSEPH · GLOBAL HEAD OF GI OPERATIONS · Less than 5% · control person · listed since Jul 2014
- ChangedBINDER, BRIAN, EDWARD · title SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE → PRESIDENT, MUTUAL FUNDS BOARDS AND SR. MANAGING DIRECTOR
- ChangedWALSH, ANNE, BOOKWALTER · title MANAGING PARTNER, CHIEF INVESTMENT OFFICER, FIXED INCOME → MANAGING PARTNER, CHIEF INVESTMENT OFFICER, GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT
Jan 20, 2023 filing
- No longer listedJEE, ROBERT, T · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Sep 2015
- AddedSAPERSTEIN, ROBERT, ANDREW · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Mar 31, 2022 filing
- No longer listedMINERD, BYRON, SCOTT · MANAGING PARTNER, CHIEF INVESTMENT OFFICER · Less than 5% · control person · listed since Jun 2006
- ChangedBROWN, STEVEN, HERSCHEDE · title SENIOR MANAGING DIRECTOR / ASSISTANT CHIEF INVESTMENT OFFICER → CHIEF INVESTMENT OFFICER FOR TOTAL RETURN AND MACRO STRATEGIES
Oct 8, 2021 filing
- No longer listedROBINSON, KEVIN, M · CHIEF LEGAL OFFICER · Less than 5% · control person · listed since Sep 2015
Mar 31, 2021 filing
- No longer listedMILLER, JERRY, WILLIAM · PRESIDENT · Less than 5% · control person · listed since Jul 2017
- Listed againRONE, DAVID, BRADLEY · MANAGING PARTNER, CO-PRESIDENT · Less than 5% · control person
- ChangedBROWN, STEVEN, HERSCHEDE · title SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE → SENIOR MANAGING DIRECTOR / ASSISTANT CHIEF INVESTMENT OFFICER; now a control person
- ChangedDILORENZO, DINA, MARIE · title CHIEF OPERATING OFFICER → MANAGING PARTNER, CO-PRESIDENT
- ChangedMINERD, BYRON, SCOTT · title CHIEF INVESTMENT OFFICER → MANAGING PARTNER, CHIEF INVESTMENT OFFICER
- ChangedWALSH, ANNE, BOOKWALTER · title SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE → MANAGING PARTNER, CHIEF INVESTMENT OFFICER, FIXED INCOME
Mar 30, 2020 filing
- No longer listedBEIER, DUSTAN, R · CHIEF FINANCIAL OFFICER · Less than 5% · control person · listed since Sep 2015
- No longer listedRONE, DAVID, BRADLEY · SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE · Less than 5% · control person · listed since Mar 2017
- No longer listedWRIGHT, TIMOTHY, SENGSTAKEN · SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE · Less than 5% · control person · listed since Oct 2017
- AddedBROWN, STEVEN, HERSCHEDE · SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE · Less than 5%
Mar 31, 2019 filing
- No longer listedCHRIST, MICHAEL, JAMES · DEPUTY CHIEF INVESTMENT OFFICER · Less than 5% · control person · listed since Mar 2016
- No longer listedGUNDERSEN, KEVIN, HANS · SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE · Less than 5% · control person · listed since Apr 2015
Older changes (23 more filings)
Mar 30, 2018 filing
- No longer listedCOURT, CATHERINE, ALEXANDRA · GLOBAL HEAD OF INSTITUTIONAL DISTRIBUTION · Less than 5% · control person · listed since Mar 2016
- AddedBINDER, BRIAN, EDWARD · SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE · Less than 5% · control person
- AddedWRIGHT, TIMOTHY, SENGSTAKEN · SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE · Less than 5% · control person
- Listed againWALSH, ANNE, BOOKWALTER · SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE · Less than 5% · control person
Jul 21, 2017 filing
- No longer listedABRAMS, JEFFREY, BRIAN · SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE · Less than 5% · control person · listed since Apr 2012
- AddedMILLER, JERRY, WILLIAM · PRESIDENT · Less than 5% · control person
- ChangedDILORENZO, DINA, MARIE · title SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE → CHIEF OPERATING OFFICER
Mar 31, 2017 filing
- AddedDILORENZO, DINA, MARIE · SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE · Less than 5% · control person
- AddedRONE, DAVID, BRADLEY · SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE · Less than 5% · control person
Jun 2, 2016 filing
- No longer listedCOURT, ALEXANDRA · GLOBAL HEAD OF INSTITUTIONAL DISTRIBUTION · Less than 5% · control person · listed since Mar 2016
- AddedCOURT, CATHERINE, ALEXANDRA · GLOBAL HEAD OF INSTITUTIONAL DISTRIBUTION · Less than 5% · control person
Apr 29, 2016 filing
- No longer listedCACCIAPAGLIA, DONALD, CHRISTOPHER · SENIOR MANAGING DIRECTOR · Less than 5% · control person · listed since Apr 2015
- AddedABRAMS, JEFFREY, BRIAN · SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE · Less than 5% · control person
- ChangedGUNDERSEN, KEVIN, HANS · title SENIOR MANAGING DIRECTOR → SENIOR MANAGING DIRECTOR / SENIOR EXECUTIVE
Mar 30, 2016 filing
- No longer listedHADDOCK, BETH, ANN · MANAGING DIRECTOR-REGULATORY STRATEGY AND DEVELOPMENTS · Less than 5% · listed since Sep 2015
- AddedCHRIST, MICHAEL, JAMES · DEPUTY CHIEF INVESTMENT OFFICER · Less than 5% · control person
- AddedCOURT, ALEXANDRA · GLOBAL HEAD OF INSTITUTIONAL DISTRIBUTION · Less than 5% · control person
Oct 16, 2015 filing
- ChangedHADDOCK, BETH, ANN · no longer a control person
Sep 29, 2015 filing
- AddedBEIER, DUSTAN, R · CHIEF FINANCIAL OFFICER · Less than 5% · control person
- AddedJEE, ROBERT, T · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- AddedROBINSON, KEVIN, M · CHIEF LEGAL OFFICER · Less than 5% · control person
- ChangedHADDOCK, BETH, ANN · title CHIEF COMPLIANCE OFFICER → MANAGING DIRECTOR-REGULATORY STRATEGY AND DEVELOPMENTS
Jul 2, 2015 filing
- No longer listedHAGNER, WILLIAM, ROBERT · SECRETARY · Less than 5% · control person · listed since Apr 2012
- No longer listedWALSH, ANNE, BOOKWALTER · TREASURER · Less than 5% · control person · listed since Apr 2007
- AddedBURSCHINGER, JOSEPH, MICHAEL · CHIEF RISK OFFICER · Less than 5% · control person
- AddedGUNDERSEN, KEVIN, HANS · SENIOR MANAGING DIRECTOR · Less than 5% · control person
- Listed againCACCIAPAGLIA, DONALD, CHRISTOPHER · SENIOR MANAGING DIRECTOR · Less than 5% · control person
Mar 31, 2015 filing
- No longer listedSHARAFF, FARHAN · ASSISTANT CHIEF INVESTMENT OFFICER · Less than 5% · control person · listed since May 2009
- ChangedHAGNER, WILLIAM, ROBERT · title CHIEF LEGAL OFFICER → SECRETARY
- ChangedWALSH, ANNE, BOOKWALTER · title ASSISTANT CHIEF INVESTMENT OFFICER → TREASURER
Jul 30, 2014 filing
- No longer listedSAUTEL, STEPHEN, D · CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Jun 2012
- AddedSHANNON, DANIEL, JOSEPH · GLOBAL HEAD OF GI OPERATIONS · Less than 5% · control person
Apr 16, 2014 filing
- No longer listedKLEIN, JOHN, FRANCIS · PRESIDENT · Less than 5% · control person · listed since Aug 2013
Mar 31, 2014 filing
- AddedGMI GPIM, LLC · MANAGING MEMBER · General partner, trustee or manager · indirect via GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC · control person
Nov 26, 2013 filing
- No longer listedANTHONY, JASON, MATTHEW · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Jun 2013
- AddedHADDOCK, BETH, ANN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Aug 28, 2013 filing
- No longer listedBOEHLY, TODD, LAWRENCE · PRESIDENT · Less than 5% · control person · listed since Jun 2012
- AddedKLEIN, JOHN, FRANCIS · PRESIDENT · Less than 5% · control person
Aug 16, 2013 filing
- No longer listedGUGGENHEIM MANAGER, INC. · MANAGING MEMBER · Less than 5% · control person · listed since Nov 2009
- No longer listedGUGGENHEIM MANAGER, INC. · MANAGING MEMBER · 25–50% · indirect via GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC · control person · listed since Nov 2009
- No longer listedGUGGENHEIM PARTNERS, LLC · MEMBER · 75% or more · indirect via GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC · control person · listed since Dec 2009
- AddedGI HOLDCO II LLC · MEMBER · 75% or more · indirect via GI HOLDCO LLC · control person
- AddedGI HOLDCO LLC · MEMBER · 75% or more · indirect via GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC · control person
- AddedGMI GPIM, LLC · MANAGING MEMBER · Less than 5% · control person
- AddedGMI GPIMH, LLC · MANAGING MEMBER · General partner, trustee or manager · indirect via GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC · control person
- AddedGUGGENHEIM MANAGER, INC · MEMBER · 75% or more · indirect via GMI GPIM, LLC · control person
- AddedGUGGENHEIM MANAGER, INC. · MEMBER · 75% or more · indirect via GMI GPIMH, LLC · control person
- AddedGUGGENHEIM PARTNERS, LLC · MEMBER · 75% or more · indirect via GI HOLDCO II, LLC · control person
Jun 3, 2013 filing
- No longer listedKING, ERIN, ELIZABETH · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Sep 2007
- AddedANTHONY, JASON, MATTHEW · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Apr 1, 2013 filing
- AddedSHARAFF, FARHAN · ASSISTANT CHIEF INVESTMENT OFFICER · Less than 5% · control person
- AddedWALSH, ANNE, BOOKWALTER · ASSISTANT CHIEF INVESTMENT OFFICER · Less than 5% · control person
- ChangedGUGGENHEIM CAPITAL, LLC · indirect via GUGGENHEIM MANAGER, INC.: now a control person
- ChangedGUGGENHEIM MANAGER, INC. · indirect via GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC: ownership 75% or more → 25–50%
- ChangedSAGE ASSETS, INC. · indirect via GUGGENHEIM CAPITAL, LLC: title SHAREHOLDER → MEMBER
Feb 28, 2013 filing
- No longer listedGUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC (FKA GPAM HOLDINGS, LLC) · MEMBER · 75% or more · control person · listed since Dec 2009
- AddedGREATBANC TRUST COMPANY, TRUSTEE · TRUSTEE · General partner, trustee or manager · indirect via SAMMONS ENTERPRISES, INC. ESOT · control person
- AddedGUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC · MEMBER · 75% or more · control person
Nov 27, 2012 filing
- No longer listedGPIM HOLDINGS, LLC · MEMBER · 75% or more · control person · listed since Apr 2012
- No longer listedGUGGENHEIM PARTNERS, LLC · MEMBER · 75% or more · indirect via GPIM HOLDINGS, LLC · control person · listed since Dec 2009
- AddedGUGGENHEIM MANAGER, INC. · MANAGING MEMBER · 75% or more · indirect via GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC · control person
- AddedGUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC (FKA GPAM HOLDINGS, LLC) · MEMBER · 75% or more · control person
- AddedGUGGENHEIM PARTNERS, LLC · MEMBER · 75% or more · indirect via GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT HOLDINGS, LLC · control person
- AddedSAMMONS EQUITY ALLIANCE, INC. · SHAREHOLDER · 75% or more · indirect via SAGE ASSETS, INC. · control person
Jul 17, 2012 filing
- No longer listedCACCIAPAGLIA, DONALD, CHRISTOPHER · CHIEF OPERATING OFFICER/PRESIDENT · Less than 5% · control person · listed since Mar 2010
- ChangedBOEHLY, TODD, LAWRENCE · title MANAGING PARTNER → PRESIDENT
- ChangedMINERD, BYRON, SCOTT · title CHIEF EXECUTIVE OFFICER → CHIEF INVESTMENT OFFICER
- ChangedSAUTEL, STEPHEN, D · title SENIOR MANAGING DIRECTOR → CHIEF OPERATING OFFICER
Jul 13, 2012 filing
- No longer listedCONSOLIDATED INVESTMENT SERVICES, INC. · SHAREHOLDER · 75% or more · indirect via SAGE ASSETS, INC. · control person · listed since Dec 2008
- No longer listedGPAM HOLDINGS, LLC · MEMBER · 75% or more · control person · listed since Dec 2009
- No longer listedGUGGENHEIM PARTNERS, LLC · MEMBER · 75% or more · indirect via GPAM HOLDINGS, LLC · control person · listed since Dec 2009
- AddedBOEHLY, TODD, LAWRENCE · MANAGING PARTNER · Less than 5% · control person
- AddedCONSOLIDATED INVESTMENT SERVICES, INC. · SHAREHOLDER · 75% or more · indirect via SAMMONS EQUITY ALLLIANCE, INC. · control person
- AddedGPIM HOLDINGS, LLC · MEMBER · 75% or more · control person
- AddedGUGGENHEIM PARTNERS, LLC · MEMBER · 75% or more · indirect via GPIM HOLDINGS, LLC · control person
- AddedHAGNER, WILLIAM, ROBERT · CHIEF LEGAL OFFICER · Less than 5% · control person
- AddedSAUTEL, STEPHEN, D · SENIOR MANAGING DIRECTOR · Less than 5% · control person
Mar 30, 2012 filing (earliest on record)
- ListedCACCIAPAGLIA, DONALD, CHRISTOPHER · CHIEF OPERATING OFFICER/PRESIDENT · Less than 5% · control person
- ListedCONSOLIDATED INVESTMENT SERVICES, INC. · SHAREHOLDER · 75% or more · indirect via SAGE ASSETS, INC. · control person
- ListedGPAM HOLDINGS, LLC · MEMBER · 75% or more · control person
- ListedGUGGENHEIM CAPITAL, LLC · MEMBER · 75% or more · indirect via GUGGENHEIM PARTNERS, LLC · control person
- ListedGUGGENHEIM CAPITAL, LLC · SHAREHOLDER · 75% or more · indirect via GUGGENHEIM MANAGER, INC.
- ListedGUGGENHEIM MANAGER, INC. · MANAGING MEMBER · Less than 5% · control person
- ListedGUGGENHEIM PARTNERS, LLC · MEMBER · 75% or more · indirect via GPAM HOLDINGS, LLC · control person
- ListedKING, ERIN, ELIZABETH · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ListedMINERD, BYRON, SCOTT · CHIEF EXECUTIVE OFFICER · Less than 5% · control person
- ListedSAGE ASSETS, INC. · SHAREHOLDER · 25–50% · indirect via GUGGENHEIM CAPITAL, LLC · control person
- ListedSAMMONS ENTERPRISES, INC. · SHAREHOLDER · 75% or more · indirect via CONSOLIDATED INVESTMENT SERVICES, INC. · control person
- ListedSAMMONS ENTERPRISES, INC. ESOT · SHAREHOLDER · 75% or more · indirect via SAMMONS ENTERPRISES, INC. · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- MICRON TECHNOLOGY INC$382.7M +257.3%
- ADVANCED MICRO DEVICES INC$214.2M +198.9%
- LAM RESEARCH CORP$198.1M +113.9%
- APPLIED MATLS INC$160.3M +112.9%
- INTEL CORP$117.0M +231.3%
Top Trims
- EXXON MOBIL CORP-$19.7M -29.3%
- ZOETIS INC-$17.4M -40.7%
- CHEVRON CORPORATION-$15.6M -21.5%
- NETFLIX INC.-$14.5M -15.0%
- ADOBE INC-$10.7M -19.9%
New Positions
- GUGGENHEIM FDS TR$135.8M
- GUGGENHEIM FDS TR$61.7M
- HONEYWELL INTL INC$28.4M
- HONEYWELL AEROSPACE INC$26.3M
- ROCKET LAB CORP$11.8M
Exited Positions
- HONEYWELL INTL INC$52.0M
- BLOCK INC$24.7M
- THOMSON REUTERS CORP$7.5M
- NUVEEN NEW JERSEY$4.1M
- DUPONT DE NEMOURS INC$3.3M
GUGGENHEIM CAPITAL LLC Holdings (2026-06-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | NVIDIA CORPORATION | NVDA | 67066G104 | $456.1M | 2.87% | 2,279,652 | SH |
| 2 | APPLE INC | AAPL | 037833100 | $362.6M | 2.28% | 1,253,115 | SH |
| 3 | MICRON TECHNOLOGY INC | MU | 595112103 | $309.9M | 1.95% | 268,491 | SH |
| 4 | MICROSOFT CORP | MSFT | 594918104 | $239.7M | 1.51% | 642,467 | SH |
| 5 | LAM RESEARCH CORP | LRCX | 512807306 | $235.9M | 1.48% | 544,287 | SH |
| 6 | ADVANCED MICRO DEVICES INC | AMD | 007903107 | $228.2M | 1.44% | 392,777 | SH |
| 7 | MICRON TECHNOLOGY INC | MU | 595112103 | $221.5M | 1.39% | 191,871 | SH |
| 8 | AMAZON COM INC | AMZN | 023135106 | $215.8M | 1.36% | 905,639 | SH |
| 9 | STATE STR SPDR S&P 500 ETF T Call | SPY | 78462F103 | $212.2M | 1.34% | 284,200 | SH |
| 10 | STATE STR SPDR S&P 500 ETF T Put | SPY | 78462F103 | $212.2M | 1.34% | 284,200 | SH |
| 11 | ALPHABET INC | GOOGL | 02079K305 | $185.3M | 1.17% | 518,442 | SH |
| 12 | BROADCOM INC | AVGO | 11135F101 | $180.6M | 1.14% | 478,095 | SH |
| 13 | TESLA INC | TSLA | 88160R101 | $166.8M | 1.05% | 396,572 | SH |
| 14 | INTEL CORP | INTC | 458140100 | $165.5M | 1.04% | 1,185,357 | SH |
| 15 | ALPHABET INC | GOOG | 02079K107 | $159.8M | 1.01% | 452,256 | SH |
| 16 | APPLIED MATLS INC | AMAT | 038222105 | $158.9M | 1.00% | 219,846 | SH |
| 17 | APPLIED MATLS INC | AMAT | 038222105 | $143.4M | 0.90% | 198,327 | SH |
| 18 | META PLATFORMS INC | META | 30303M102 | $140.2M | 0.88% | 248,905 | SH |
| 19 | LAM RESEARCH CORP | LRCX | 512807306 | $136.1M | 0.86% | 314,072 | SH |
| 20 | BROADCOM INC | AVGO | 11135F101 | $130.2M | 0.82% | 344,591 | SH |
| 21 | WALMART INC | WMT | 931142103 | $117.5M | 0.74% | 1,037,505 | SH |
| 22 | KLA CORP | KLAC | 482480100 | $104.0M | 0.65% | 344,652 | SH |
| 23 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $103.9M | 0.65% | 139,100 | SH |
| 24 | CISCO SYS INC | CSCO | 17275R102 | $103.0M | 0.65% | 877,284 | SH |
| 25 | MERCK & CO INC | MRK | 58933Y105 | $98.4M | 0.62% | 765,535 | SH |
| 26 | NVIDIA CORPORATION | NVDA | 67066G104 | $96.1M | 0.60% | 480,408 | SH |
| 27 | ADVANCED MICRO DEVICES INC | AMD | 007903107 | $93.7M | 0.59% | 161,319 | SH |
| 28 | SANDISK CORP | SNDK | 80004C200 | $93.7M | 0.59% | 41,209 | SH |
| 29 | GUGGENHEIM FDS TR | GCSH | 40169J416 | $93.5M | 0.59% | 1,865,321 | SH |
| 30 | CISCO SYS INC | CSCO | 17275R102 | $88.4M | 0.56% | 752,751 | SH |
| 31 | COSTCO WHOLESALE CORPORATION | COST | 22160K105 | $88.1M | 0.55% | 94,165 | SH |
| 32 | VISA INC | V | 92826C839 | $83.4M | 0.53% | 243,192 | SH |
| 33 | ALPHABET INC | GOOGL | 02079K305 | $82.7M | 0.52% | 231,320 | SH |
| 34 | APPLE INC | AAPL | 037833100 | $82.1M | 0.52% | 283,816 | SH |
| 35 | MICROSOFT CORP | MSFT | 594918104 | $81.7M | 0.51% | 218,985 | SH |
| 36 | WASTE MGMT INC DEL | WM | 94106L109 | $80.9M | 0.51% | 363,119 | SH |
| 37 | MARVELL TECHNOLOGY INC | MRVL | 573874104 | $80.7M | 0.51% | 271,020 | SH |
| 38 | TEXAS INSTRS INC | TXN | 882508104 | $68.5M | 0.43% | 229,676 | SH |
| 39 | QUALCOMM INC | QCOM | 747525103 | $68.0M | 0.43% | 367,855 | SH |
| 40 | MARVELL TECHNOLOGY INC | MRVL | 573874104 | $66.2M | 0.42% | 222,111 | SH |
| 41 | NETFLIX INC. | NFLX | 64110L106 | $65.8M | 0.41% | 920,898 | SH |
| 42 | GUGGENHEIM FDS TR | GISC | 40169J465 | $61.7M | 0.39% | 1,227,191 | SH |
| 43 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $60.7M | 0.38% | 81,326 | SH |
| 44 | JPMORGAN CHASE & CO | JPM | 46625H100 | $60.5M | 0.38% | 184,827 | SH |
| 45 | META PLATFORMS INC | META | 30303M102 | $60.2M | 0.38% | 106,878 | SH |
| 46 | PALO ALTO NETWORKS INC | PANW | 697435105 | $60.2M | 0.38% | 176,387 | SH |
| 47 | JOHNSON & JOHNSON | JNJ | 478160104 | $59.9M | 0.38% | 235,859 | SH |
| 48 | PALANTIR TECHNOLOGIES INC | PLTR | 69608A108 | $59.9M | 0.38% | 513,252 | SH |
| 49 | MASTERCARD INCORPORATED | MA | 57636Q104 | $56.9M | 0.36% | 110,777 | SH |
| 50 | AMAZON COM INC | AMZN | 023135106 | $56.0M | 0.35% | 235,059 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-06-30 | 2026-08-12 | $15.89B | 3,086 | 0001283072-26-000004 |
| 2026-03-31 | 2026-05-15 | $12.89B | 2,956 | 0001283072-26-000003 |
| 2025-12-31 | 2026-02-17 | $13.97B | 3,138 | 0001283072-26-000002 |
| 2025-09-30 | 2025-11-13 | $13.78B | 2,922 | 0001283072-25-000005 |
Filer Information
Address
227 WEST MONROESUITE 4900
CHICAGO, IL 60606
Phone
(212) 401-0227
Filing Manager
GUGGENHEIM CAPITAL LLC
CHICAGO, IL
Signatory
Robert A. Saperstein
Authorized Signatory