Fundraisers / Guggenheim Securities, LLC

FundraiserRegistered broker-dealer

Guggenheim Securities, LLC

FINRA 40638 · placing rounds since Jun 2016

17company rounds placed
2in the last two years, last Mar 2026
$1.5Bsold in the rounds they placed
6.0%typical commission; the median firm takes 4.9%

Named on 23 Form D filings as paid to sell the offering: 17 for operating companies, 6 for funds. 1 registered agent named.

Quarter by quarter

Company rounds they placed in each quarter, from the filings.

223Q3123Q4124Q2124Q3125Q2126Q1

What they place

17rounds
  • Biotechnology41%
  • Pharmaceuticals18%
  • Other Banking and Financial Services12%
  • Other Technology12%
  • Insurance6%
  • Retailing6%
  • Energy Conservation6%

How big the rounds are

  1. Under $1M0
  2. $1M to $5M0
  3. $5M to $20M2
  4. $20M to $100M11
  5. $100M+5

Where the companies are

CA7MA2TX2NC1PA1WA1DE1FL1

Rounds they placed

Company roundsEverything, funds and real estate too

FiledIssuerIndustrySold
Mar 2026Immunic, Inc.Biotechnology$200M
Apr 2025Surrozen, Inc./DEBiotechnology$76M
Aug 2024Tenax Therapeutics, Inc.Pharmaceuticals$100M
Apr 2024Surrozen, Inc./DEBiotechnology$193M
Dec 2023Spyre Therapeutics, Inc.Biotechnology$180M
Jul 2023Wastefuel Global, Inc.Energy Conservation$10M
Jul 2023Aeglea BioTherapeutics, Inc.Biotechnology$210M
Mar 2023Orchard Therapeutics plcBiotechnology$34M
Sept 2022Iliad Biotechnologies, LLCBiotechnology$43M
Mar 2022Marlette Holdings, Inc.Other Banking and Financial Services$75M
Feb 2022H2scan CorpOther Technology$70M
Sept 2021TMGcore, Inc.Other Technology$20M
Nov 2020Trupanion, Inc.Insurance$60M
Dec 201799 Cents Only Stores LLCRetailing$140M
Aug 2016Zosano Pharma CorpPharmaceuticals$7.5M
Aug 2016Solar Mosaic, Inc.Other Banking and Financial Services$41M
Jun 2016Aclaris Therapeutics, Inc.Pharmaceuticals$20M
Dec 2014DL Private Variable Account AOther$60M

From the SEC's Form D data sets: the issuer named this firm as paid to sell the offering. The latest 40 shown.

Often on the same rounds

Other fundraisers named on the same filings: the firms they syndicate with.

William Blair & Company, L.L.C.3 rounds togetherStifel, Nicolaus & Company Incorporated3 rounds togetherLifeSci Capital, LLC2 rounds togetherCowen and Company2 rounds togetherLeerink Partners LLC2 rounds togetherEaton Partners LLC2 rounds together

Founders who worked with them

No one has said so yet.

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Marked verified when your company is one of the rounds they placed.

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