DG
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
39 advisors
Number of Clients
113 clients
Average Client Portfolio
$65.4M average
Assets Under Management
$7.4B
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Advisor Information
Office location
330 Madison Avenue, 10th Floor, New York, NY, 10017
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Guggenheim Investments
February 2014 - Present · 11 yrs 11 mos
Guggenheim Funds Distributors, LLC
April 2013 - Present · 12 yrs 9 mos
Guggenheim Funds Distributors, LLC Broker
April 2013 - Present · 12 yrs 9 mos
Previous Registrations
Waddell & Reed, INC.
July 2010 - April 2012 · 1 yr 9 mos
Waddell & Reed, INC.Broker
January 2008 - April 2012 · 4 yrs 3 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.