WEALTH MANAGEMENT

SEPARATELY

MANAGED

ACCOUNTS

Our proven expertise managing institutional separate accounts is now delivered in lower minimum account sizes for the wealth management market

Our team-based approach to investing, founded on the principles of behavioral finance, is designed to make better decisions and express our best ideas in actively managed fixed-income portfolios.

Explore Our Wealth Management Separately Managed Account Strategies

Core Plus Strategy

Actively managed strategy designed to take full advantage of the fixed income universe.

Core Total Return Strategy

Actively managed investment grade strategy designed to take full advantage of the fixed income universe.

Limited Duration Strategy

Actively managed strategy designed to take advantage of the lower duration subset of the fixed income universe.

Tax-Exempt Municipal Strategy

Tax-exempt income from a portfolio of high quality municipal securities.

Podcast: The SMA Advantage

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Potential Benefits of Wealth Management SMAs

Seek to maximize after-tax returns

Including potential enhanced tax-loss harvesting to offset gains

Portfolio Transparency

Visibility into individual securities

Enhanced Customization*

Through use of overlay screens and investment restrictions

Fee Transparency

More clarity on fees being charged

Implementing Our Wealth Management SMAs With Guggenheim Active INvestment Series (GAINS)

GAINS are “Completion funds” designed to complement individual securities in certain SMA strategies

Registered, actively managed 40-Act mutual funds only available within our SMA strategies

Typically hold less liquid or more complex securities

Enable diversification into potentially less liquid fixed-income markets

Target exposure through dialing risk up or down more easily

Learn More About Completion Funds

Guggenheim Active Investment Series (GAINS) - Core Plus Fund

Guggenheim Active Investment Series (GAINS) - Limited Duration Fund

Are You a Financial Professional?

Financial professionals interested in learning more about our SMA capabilities should contact us
by calling 800.345.7999 or send us an email. Individual investors should contact their financial advisor.

Investment Risks. The strategies described herein may not be suitable for all investors. All investments have inherent risks. • The market value of fixed income securities will change in response to interest rate changes and market conditions among other things. In general, bond prices rise when interest rates fall and vice versa. • High yield securities present more liquidity and credit risk than investment grade bonds and may be subject to greater volatility.• Diversification neither assures a profit nor eliminates the risk of experiencing investment losses.

The SMA strategies described herein are offered by Guggenheim Wealth Solutions, LLC (GWS). Guggenheim Partners Investment Management, LLC (GPIM) serves as Sub-Adviser to the SMA strategies and is the Investment Adviser to the Guggenheim Active Investment Series (GAINS) Funds. Guggenheim Wealth Solutions, LLC Form CRS | Guggenheim Partners Investment Management, LLC Form CRS.

SMA Strategies are not offered directly and are available exclusively through financial professionals. This material is distributed with the understanding that it is not rendering accounting, legal or tax advice. Please consult your legal or tax advisor concerning such matters.

Read a prospectus and summary prospectus (if available) carefully before investing. It contains the investment objective, risks charges, expenses and the other information, which should be considered carefully before investing. To obtain a prospectus and summary prospectus (if available) click here or call 800.820.0888.

Investing involves risk, including the possible loss of principal.

Guggenheim Investments represents the following affiliated investment management businesses of Guggenheim Partners, LLC: Guggenheim Partners Investment Management, LLC, Security Investors, LLC, Guggenheim Funds Distributors, LLC, Guggenheim Funds Investment Advisors, LLC, Guggenheim Corporate Funding, LLC, Guggenheim Wealth Solutions, LLC, Guggenheim Private Investments, LLC, Guggenheim Investments Loan Advisors, LLC, Guggenheim Partners Europe Limited, Guggenheim Partners Japan Limited, and GS GAMMA Advisors, LLC.

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Not FDIC Insured • No Bank Guarantee • May Lose Value

This website is directed to and intended for use by citizens or residents of the United States of America only. The material provided on this website is not intended as a recommendation or as investment advice of any kind, including in connection with rollovers, transfers, and distributions. Such material is not provided in a fiduciary capacity, may not be relied upon for or in connection with the making of investment decisions, and does not constitute a solicitation of an offer to buy or sell securities. All content has been provided for informational or educational purposes only and is not intended to be and should not be construed as legal or tax advice and/or a legal opinion. Always consult a financial, tax and/or legal professional regarding your specific situation. Investing involves risk, including the possible loss of principal.

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