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
- Biotechnology41%
- Pharmaceuticals18%
- Other Banking and Financial Services12%
- Other Technology12%
- Insurance6%
- Retailing6%
- Energy Conservation6%
How big the rounds are
- Under $1M0
- $1M to $5M0
- $5M to $20M2
- $20M to $100M11
- $100M+5
Where the companies are
CA7MA2TX2NC1PA1WA1DE1FL1
Rounds they placed
FiledIssuerIndustrySold
Mar 2026Rangeley Lake Partners, LPPooled Investment Fund$163M
Mar 2026Immunic, Inc.Biotechnology$200M
Feb 2026AKD Holdings-1 LPPooled Investment Fund$243M
Apr 2025Surrozen, Inc./DEBiotechnology$76M
Aug 2024Tenax Therapeutics, Inc.Pharmaceuticals$100M
Apr 2024Surrozen, Inc./DEBiotechnology$193M
Dec 2023Spyre Therapeutics, Inc.Biotechnology$180M
Sept 2023BV RN Continuation Fund, L.P.Pooled Investment Fund-
Jul 2023Wastefuel Global, Inc.Energy Conservation$10M
Jul 2023Aeglea BioTherapeutics, Inc.Biotechnology$210M
Mar 2023Orchard Therapeutics plcBiotechnology$34M
Feb 2023Ksb-1 Holdings, LPPooled Investment Fund$95M
Feb 2023Ksn-1 Holdings, LPPooled Investment Fund$111M
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
Jul 2019Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLCAgents: GUGGENHEIM SECURITIES, LLCPooled Investment Fund$305M
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
Sept 2015Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLCAgents: GUGGENHEIM SECURITIES, LLCPooled Investment Fund$71M
Sept 2015Guggenheim Loan Fund, Ltd.Agents: GUGGENHEIM SECURITIES, LLCPooled Investment Fund$59M
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.
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