# Guggenheim Securities, LLC: fundraiser

> Guggenheim Securities, LLC placed 17 company rounds filed with the SEC, most recently Mar 2026. Who they placed, by sector and size.

Source: https://millionrounds.com/providers/guggenheim-securities-llc (Millionrounds; every figure on the page links to its filing or article)

[Fundraisers](https://millionrounds.com/fundraisers) / Guggenheim Securities, LLC

Fundraiser Registered broker-dealer

# Guggenheim Securities, LLC

FINRA 40638 · placing rounds since Jun 2016

**17** company rounds placed

**2** in the last two years, last Mar 2026

**$1.5B** sold 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.

**2** 23Q3 **1** 23Q4 **1** 24Q2 **1** 24Q3 **1** 25Q2 **1** 26Q1

## What they place

- Biotechnology **41%**
- Pharmaceuticals **18%**
- Other Banking and Financial Services **12%**
- Other Technology **12%**
- Insurance **6%**
- Retailing **6%**
- Energy Conservation **6%**

## How big the rounds are

- Under $1M **0**
- $1M to $5M **0**
- $5M to $20M **2**
- $20M to $100M **11**
- $100M+ **5**

## Where the companies are

**CA** 7 **MA** 2 **TX** 2 **NC** 1 **PA** 1 **WA** 1 **DE** 1 **FL** 1

## Rounds they placed

[Company rounds](https://millionrounds.com/providers/guggenheim-securities-llc)[Everything, funds and real estate too](https://millionrounds.com/providers/guggenheim-securities-llc?show=all)

Filed Issuer Industry Sold

Mar 2026 Immunic, Inc. Biotechnology **$200M**

Apr 2025 Surrozen, Inc./DE Biotechnology **$76M**

Aug 2024 Tenax Therapeutics, Inc. Pharmaceuticals **$100M**

Apr 2024 Surrozen, Inc./DE Biotechnology **$193M**

Dec 2023 Spyre Therapeutics, Inc. Biotechnology **$180M**

Jul 2023 Wastefuel Global, Inc. Energy Conservation **$10M**

Jul 2023 Aeglea BioTherapeutics, Inc. Biotechnology **$210M**

Mar 2023 Orchard Therapeutics plc Biotechnology **$34M**

Sept 2022 Iliad Biotechnologies, LLC Biotechnology **$43M**

Mar 2022 Marlette Holdings, Inc. Other Banking and Financial Services **$75M**

Feb 2022 H2scan Corp Other Technology **$70M**

Sept 2021 TMGcore, Inc. Other Technology **$20M**

Nov 2020 Trupanion, Inc. Insurance **$60M**

Dec 2017 99 Cents Only Stores LLC Retailing **$140M**

Aug 2016 Zosano Pharma Corp Pharmaceuticals **$7.5M**

Aug 2016 Solar Mosaic, Inc. Other Banking and Financial Services **$41M**

Jun 2016 Aclaris Therapeutics, Inc. Pharmaceuticals **$20M**

Dec 2014 DL Private Variable Account A Other **$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 together](https://millionrounds.com/providers/william-blair-and-company-l-l-c)[**Stifel, Nicolaus & Company Incorporated** 3 rounds together](https://millionrounds.com/providers/stifel-nicolaus-and-company-incorporated)[**LifeSci Capital, LLC** 2 rounds together](https://millionrounds.com/providers/lifesci-capital-llc)[**Cowen and Company** 2 rounds together](https://millionrounds.com/providers/cowen-and-company)[**Leerink Partners LLC** 2 rounds together](https://millionrounds.com/providers/leerink-partners-llc)[**Eaton Partners LLC** 2 rounds together](https://millionrounds.com/providers/eaton-partners-llc)

## Founders who worked with them

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