PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 12:01 AM ET

Sponsor Check › Person

Adam Bloch

Related person on Form D filings · address state as listed: CA · listed Aug 25, 2020 → May 15, 2026

6issuers
26Form D filings
2020–2026years listed

Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:56 PM ET · SEC enforcement last checked: not yet

Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.

Key records

The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.

1. Lawsuits

None found in sources searched.

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:56 PM ET.

State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.

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3. Bankruptcies

None found in sources searched.

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:56 PM ET.

State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons are made for sponsors and sponsor groups, not individual people.

5. Money to insiders and sales commissions

5 of 6 offerings report sales commissions totalling $2,494,422; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

SourceOffering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell it
EDGAR ↗May 15, 2026 D/A
File 021-365154
$122,500 (est.)$0$0Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)

ABG, LLC BrokerCheck CRD 167190 ↗
via ABG, LLC (CRD 167190 ↗)

Kelson Capital LLC BrokerCheck CRD 149477 ↗
via Kelson Capital LLC (CRD 149477 ↗)

Guggenheim Securities, LLC BrokerCheck CRD 40638 ↗
via Guggenheim Securities, LLC (CRD 40638 ↗)
EDGAR ↗May 15, 2026 D/A
File 021-536763
$480,019 (est.)$0$0 (est.)ABG, LLC BrokerCheck CRD 167190 ↗
via ABG, LLC (CRD 167190 ↗)

Kelson Capital LLC BrokerCheck CRD 149477 ↗
via Kelson Capital LLC (CRD 149477 ↗)

Guggenheim Fund Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Fund Distributors, LLC (CRD 39805 ↗)
EDGAR ↗Sep 11, 2024 D/A
File 021-247335
$1,695,696 (est.)$0$0GUGGENHEIM SECURITIES, LLC BrokerCheck CRD 40638 ↗
via GUGGENHEIM SECURITIES, LLC (CRD 40638 ↗)

Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)
EDGAR ↗Mar 17, 2023 D/A
File 021-261297
$69,884 (est.)$0$0Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)
EDGAR ↗Jan 10, 2023 D/A
File 021-259431
$126,323 (est.)$0$0Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)
EDGAR ↗Aug 24, 2021 D/A
File 021-247322
$0$0$0Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)

As reported by the issuer on Form D (Items 12–15), latest filing per offering (one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Appears on these filings

SourceIssuerRoleFiledFormOfferingSoldInvestorsMin. investment
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Fund, LLC
group: Guggenheim
Executive OfficerMay 15, 2026D/AIndefinite
similar: $155,000–$5,250,000
$362,506,99312
similar: 4–27
$1,000,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Offshore Fund, Ltd.
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
May 15, 2026D/AIndefinite
similar: $155,000–$5,250,000
$556,033,91117
similar: 4–27
$5,000,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Offshore Fund, Ltd.
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Oct 14, 2025D/AIndefinite
similar: $155,000–$5,250,000
$556,033,91117
similar: 4–27
$5,000,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Fund, LLC
group: Guggenheim
Executive OfficerOct 14, 2025D/AIndefinite
similar: $155,000–$5,250,000
$362,506,99312
similar: 4–27
$1,000,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Offshore Fund, Ltd.
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Apr 11, 2025D/AIndefinite
similar: $155,000–$5,250,000
$556,033,91117
similar: 4–27
$5,000,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Fund, LLC
group: Guggenheim
Executive OfficerJan 30, 2025DIndefinite
similar: $155,000–$5,250,000
$00
similar: 4–27
$1,000,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Sep 11, 2024D/AIndefinite
similar: $155,000–$5,250,000
$312,711,04639
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Aug 21, 2024D/AIndefinite
similar: $155,000–$5,250,000
$312,711,04639
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Offshore Fund, Ltd.
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Apr 15, 2024D/AIndefinite
similar: $155,000–$5,250,000
$556,033,91117
similar: 4–27
$5,000,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Aug 22, 2023D/AIndefinite
similar: $155,000–$5,250,000
$312,711,04639
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Offshore Fund, Ltd.
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Aug 22, 2023D/AIndefinite
similar: $155,000–$5,250,000
$556,033,91117
similar: 4–27
$5,000,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Core Plus Fund, Ltd.
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Mar 17, 2023D/AIndefinite
similar: $155,000–$5,250,000
$62,000,0002
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Core Plus Fund, LLC
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Jan 10, 2023D/AIndefinite
similar: $155,000–$5,250,000
$96,425,0005
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Aug 23, 2022D/AIndefinite
similar: $155,000–$5,250,000
$312,711,04639
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Offshore Fund, Ltd.
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Aug 23, 2022D/AIndefinite
similar: $155,000–$5,250,000
$556,033,91117
similar: 4–27
$5,000,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Core Plus Fund, Ltd.
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Mar 18, 2022D/AIndefinite
similar: $155,000–$5,250,000
$62,000,0002
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Core Plus Fund, Ltd.
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Jan 11, 2022D/AIndefinite
similar: $155,000–$5,250,000
$62,000,0002
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Core Plus Fund, LLC
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Jan 11, 2022D/AIndefinite
similar: $155,000–$5,250,000
$96,425,0005
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Private Pensions Fund, LLC
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Aug 24, 2021D/AIndefinite
similar: $155,000–$5,250,000
$236,976,4321
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Aug 24, 2021D/AIndefinite
similar: $155,000–$5,250,000
$308,211,04637
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Offshore Fund, Ltd.
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Aug 24, 2021D/AIndefinite
similar: $155,000–$5,250,000
$552,033,91114
similar: 4–27
$5,000,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Core Plus Fund, LLC
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Jan 12, 2021D/AIndefinite
similar: $155,000–$5,250,000
$95,200,0005
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Guggenheim Core Plus Fund, Ltd.
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Jan 12, 2021D/AIndefinite
similar: $155,000–$5,250,000
$55,500,0002
similar: 4–27
$100,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Private Pensions Fund, LLC
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Aug 25, 2020D/AIndefinite
similar: $155,000–$5,250,000
$236,976,4321
similar: 4–27
No minimum reported
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Offshore Fund, Ltd.
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Aug 25, 2020D/AIndefinite
similar: $155,000–$5,250,000
$247,033,91112
similar: 4–27
$5,000,000
similar: $1,000–$100,000
EDGAR ↗Guggenheim Partners Opportunistic Investment Grade Securities Fund 2015, LLC
group: Guggenheim
Executive Officer
Mr. Bloch is Portfolio Manager and Managing Director of the Investment Adviser of the Issuer.
Aug 25, 2020D/AIndefinite
similar: $155,000–$5,250,000
$306,211,04635
similar: 4–27
No minimum reported
similar: $1,000–$100,000

Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Connections as of Oct 23, 2026, 5:45 PM ET

Listed alongside — 13 names on the same filings (1 management entity, 12 people)

People and management entities the issuers listed as related persons on the same Form D filings as Adam Bloch. Source: the EDGAR rows in the table above.

  • Guggenheim Partners Investment Management, LLC entity — 3 shared filings (1 issuer) · role as listed: Promoter · also listed on 3 other issuers
  • Steven Brown — 26 shared filings (6 issuers) · role as listed: Executive Officer · also listed on 4 other issuers
  • Anne Walsh — 26 shared filings (6 issuers) · role as listed: Executive Officer · also listed on 4 other issuers
  • Paras Malde — 7 shared filings (1 issuer) · role as listed: Director · also listed on 77 other issuers
  • B. Scott Minerd — 7 shared filings (3 issuers) · role as listed: Executive Officer · also listed on 18 other issuers
  • Nicole Ramroop — 4 shared filings (1 issuer) · role as listed: Director · also listed on 42 other issuers
  • Kevin Solomon — 4 shared filings (1 issuer) · role as listed: Director · also listed on 96 other issuers
  • Scott B. Minerd — 4 shared filings (2 issuers) · role as listed: Executive Officer · also listed on 4 other issuers
  • Amber Ramsey — 3 shared filings (1 issuer) · role as listed: Director · also listed on 63 other issuers
  • Sherri Fleming — 2 shared filings (1 issuer) · role as listed: Director · also listed on 52 other issuers
  • William Shaw — 2 shared filings (1 issuer) · role as listed: Director · also listed on 82 other issuers
  • Roger H. Hanson — 1 shared filing (1 issuer) · role as listed: Director · also listed on 132 other issuers
  • Don Seymour — 1 shared filing (1 issuer) · role as listed: Director · also listed on 207 other issuers

Other offering types (Regulation A and Regulation Crowdfunding)

None found in sources searched.

Sources searched: SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 · Last checked Oct 23, 2026, 8:41 PM ET.

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