PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:25 AM ET

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Thomas Hauser

Named as an officer, director or promoter on SEC Form D filings · NY, CA · Oct 20, 2017 → May 15, 2026

13deals (issuers)
$5.55Breported sold
409investors
109Form D filings
2017–2026years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:17 AM ET · SEC enforcement last checked: Oct 24, 2026, 2:16 AM ET

The short version

Thomas Hauser is listed as an executive officer on 109 SEC Form D filings by 13 issuers between Mar 2009 and May 2026. Largest by amount reported sold: Guggenheim Private Debt Fund Note Issuer 2.0, LLC (New York, NY — pooled investment fund — 2016–2017; $1.15B reported sold to 26 investors), NZC GUGGENHEIM FUND LLC (Santa Monica, CA — pooled investment fund — 2009–2026; $1.11B reported sold to 165 investors), Guggenheim Loan Fund, Ltd. (Santa Monica, CA — pooled investment fund — 2015–2026; $577.6M reported sold to 12 investors), Guggenheim High-Yield Plus Fund SPC (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2009–2014; $571.2M reported sold to 73 investors), GUGGENHEIM LOAN FUND, LLC (Santa Monica, CA — pooled investment fund — 2015–2026; $474.9M reported sold to 17 investors) and 8 more (all listed below).

What this means That is a lot of deals — 13 separate companies raised money with this person listed as executive officer, over about 17 years. Across those companies the filings report $5.55B sold in total.

Listed alongside Kevin H. Gundersen (82 shared filings), Alastair McKeever (76 shared filings), Matthew S. Bloom (70 shared filings), Zachary D. Warren (54 shared filings), B. Scott Minerd (46 shared filings) and 35 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Thomas. Each name links to their own page.

All 13 issuers belong to the sponsor group Guggenheim (52 issuers, $13.85B reported sold, 2009–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Guggenheim has 52 companies on file and $13.85B reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 9 bankruptcy cases matching the name listed in Key records below.

What this means 9 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared the newest 50 of 109 public filings for Thomas Hauser and found 8 differences, 3 worth asking the sponsor about: Bankruptcy case: Thomas E Hauser, Sr; Bankruptcy case: Thomas R. Hauser; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Thomas Hauser has not run yet — it is joining a line of 32,698 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:17 AM ET.

State courts: not covered (one-tap state court links under Look further). 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

None found in sources searched — SEC enforcement releases (checked Oct 24, 2026) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases + SEC administrative proceedings (sec.gov index, 1995-09-19 → 2026-10-23) — last checked Oct 24, 2026, 2:16 AM ET.

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

9 cases: 9 closed (disposition not in docket feed)

Thomas R. Hauser closed
United States Bankruptcy Court, D. New Hampshire · No. 24-10186 · Filed Mar 26, 2024 · Closed Jul 17, 2024
Role of Thomas R. Hauser: Debtor · Outcome: Case closed 2024-07-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); 2 people with this name in Form D filings; court in NH (not a filing state)
Thomas R. Hauser closed
United States Bankruptcy Court, D. New Hampshire · No. 14-11064 · Filed May 23, 2014 · Closed Sep 3, 2014
Role of Thomas R. Hauser: Debtor · Outcome: Case closed 2014-09-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); 2 people with this name in Form D filings; court in NH (not a filing state)
Thomas E Hauser, Sr closed
United States Bankruptcy Court, C.D. California · No. 6:11-bk-43670 · Filed Oct 31, 2011 · Closed Feb 13, 2012
Role of Thomas E Hauser, Sr: Debtor · Outcome: Case closed 2012-02-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)
Thomas E Hauser, Sr closed
United States Bankruptcy Court, C.D. California · No. 6:11-bk-17488 · Filed Mar 8, 2011 · Closed Jun 23, 2011
Role of Thomas E Hauser, Sr: Debtor · Outcome: Case closed 2011-06-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (CA)
Thomas R. Hauser closed
United States Bankruptcy Court, W.D. New York · No. 2-05-26747 · Filed Oct 14, 2005 · Closed Apr 3, 2009
Role of Thomas R. Hauser: Debtor · Outcome: Case closed 2009-04-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (NY)
Thomas A Hauser closed
United States Bankruptcy Court, N.D. Illinois · No. 05-73481 · Filed Jul 12, 2005 · Closed Mar 22, 2006
Role of Thomas A Hauser: Debtor · Outcome: Case closed 2006-03-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); 2 people with this name in Form D filings; court in IL (not a filing state)
THOMAS P HAUSER closed
United States Bankruptcy Court, D. Minnesota · No. 97-40026 · Filed Jan 2, 1997 · Closed Mar 11, 1999
Role of THOMAS P HAUSER: Debtor · Outcome: Case closed 1999-03-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); 2 people with this name in Form D filings; court in MN (not a filing state)
Thomas P. Hauser closed
United States Bankruptcy Court, N.D. Iowa · No. 95-11055 · Filed Jun 5, 1995 · Closed Dec 22, 1997
Role of Thomas P. Hauser: Debtor · Outcome: Case closed 1997-12-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); 2 people with this name in Form D filings; court in IA (not a filing state)
Thomas E. Hauser and Linda A. Hauser closed
United States Bankruptcy Court, M.D. Pennsylvania · No. 5:87-bk-00513 · Filed Aug 10, 1987 · Closed Mar 4, 1988
Role of Thomas E. Hauser and Linda A. Hauser: Debtor · Outcome: Case closed 1988-03-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 18 federal dockets); 2 people with this name in Form D filings; court in PA (not a filing state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:17 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). 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 cover issuers and sponsor groups — see the issuer pages under Deals

8 differences found between the filings for Thomas Hauser — 3 worth asking about (compared the newest 50 of 109 filings on Oct 24, 2026; older filings not covered)

Worth asking · Oct 31, 2011 – Feb 13, 2012

Bankruptcy case: Thomas E Hauser, Sr — filed Oct 31, 2011

United States Bankruptcy Court, C.D. California docket "Thomas E Hauser, Sr" filed Oct 31, 2011, closed Feb 13, 2012. Thomas Hauser is listed as Debtor ("Thomas E Hauser, Sr"). Our match estimate: 44%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, C.D. California ↗
Sources
Worth asking · Mar 8, 2011 – Jun 23, 2011

Bankruptcy case: Thomas E Hauser, Sr — filed Mar 8, 2011

United States Bankruptcy Court, C.D. California docket "Thomas E Hauser, Sr" filed Mar 8, 2011, closed Jun 23, 2011. Thomas Hauser is listed as Debtor ("Thomas E Hauser, Sr"). Our match estimate: 44%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, C.D. California ↗
Sources
Worth asking · Oct 14, 2005 – Apr 3, 2009

Bankruptcy case: Thomas R. Hauser — filed Oct 14, 2005

United States Bankruptcy Court, W.D. New York docket "Thomas R. Hauser" filed Oct 14, 2005, closed Apr 3, 2009. Thomas Hauser is listed as Debtor ("Thomas R. Hauser"). Our match estimate: 44%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, W.D. New York ↗
Sources
Note · Dec 1, 2015 – Mar 15, 2024

No amendment in the last 12 months on an offering that may still be open — Guggenheim High-Yield Fund, Ltd. (latest filing Mar 15, 2024)

The latest filing for this offering is dated Mar 15, 2024 (first sale Dec 1, 2015). It reports $16,601,774 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · Mar 15, 2024 ↗Guggenheim High-Yield Fund, Ltd. — PartnerFacts page ↗
Sources
Note · Mar 16, 2009 – Sep 10, 2015

Thomas Hauser is written 2 different ways on the filings

listed as "Thomas J. Hauser" on 14 filings (from Mar 16, 2009), and "Thomas Hauser" on 76 filings (from Sep 10, 2015).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D/A · Mar 16, 2009 ↗Form D · Sep 10, 2015 ↗Thomas Hauser — PartnerFacts page ↗
Sources
Note · Oct 19, 2026

Same name, different state: "Thomas Hauser" (IN) is a separate record

This page covers filings where the address state is NY or CA. A separate record, "Thomas Hauser" with address state IN, is listed on 2 filings — most recently by Two Seventy Direct Lending Perpetual Capital Fund A (L), LP (Oct 19, 2026). The two records do not overlap in time: this page runs Oct 20, 2017 to May 15, 2026; the other has one filing dated Oct 19, 2026.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Thomas Hauser (IN) — PartnerFacts page ↗Form D · Oct 19, 2026 ↗Two Seventy Direct Lending Perpetual Capital Fund A (L), LP — PartnerFacts page ↗Thomas Hauser (NY,CA) — this page ↗
Sources
Note · Oct 3, 2013 – Mar 14, 2025

11 address changes between filings

Address moved from New York, NY to Grand Cayman, Cayman Islands (as filed: E9) — Guggenheim Loan Fund, Ltd. · Address moved from Santa Monica, CA to New York, NY — Guggenheim Loan Fund, Ltd. · Address moved from Santa Monica, CA to New York, NY — GUGGENHEIM LOAN FUND, LLC · Address moved from Santa Monica, CA to New York, NY — GUGGENHEIM HIGH-YIELD FUND, LLC · Address moved from Santa Monica, CA to New York, NY — NZC GUGGENHEIM FUND LTD · and 6 more

What this means Businesses move. If you were told one city and the forms say another, ask which is current.

Form D/A · Mar 15, 2024 ↗Form D/A · Mar 14, 2025 ↗Guggenheim Loan Fund, Ltd. — PartnerFacts page ↗Form D/A · Sep 8, 2017 ↗
Sources
Note · Mar 16, 2009 – May 15, 2026

Thomas Hauser is listed with 2 different address states: NY, CA

NY on 76 filings (Mar 16, 2009 to May 15, 2026); CA on 14 filings (Sep 10, 2015 to Sep 8, 2017).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.

Form D/A · Mar 16, 2009 ↗Form D · Sep 10, 2015 ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. We compared the newest 50 of 109 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

11 of 13 offerings report sales commissions totalling $14,911,988; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 15, 2026 D/A
NZC GUGGENHEIM FUND LTD
File 021-123969
$268,307 (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 ↗)

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

Kelson Capital LLC BrokerCheck CRD 149477 ↗
via Kelson Capital LLC (CRD 149477 ↗)
EDGAR ↗
May 15, 2026 D/A
NZC GUGGENHEIM FUND LLC
File 021-122826
$213,500 (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 ↗)

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

Kelson Capital LLC BrokerCheck CRD 149477 ↗
via Kelson Capital LLC (CRD 149477 ↗)
EDGAR ↗
May 15, 2026 D/A
GUGGENHEIM LOAN FUND, LLC
File 021-204487
$702,235 (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 ↗)

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

Kelson Capital LLC BrokerCheck CRD 149477 ↗
via Kelson Capital LLC (CRD 149477 ↗)
EDGAR ↗
May 15, 2026 D/A
Guggenheim Loan Fund, Ltd.
File 021-247323
$787,940 (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 ↗)

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

Kelson Capital LLC BrokerCheck CRD 149477 ↗
via Kelson Capital LLC (CRD 149477 ↗)
EDGAR ↗
May 15, 2026 D/A
GUGGENHEIM HIGH-YIELD FUND, LLC
File 021-203969
$251,756 (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 ↗)

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

Kelson Capital LLC BrokerCheck CRD 149477 ↗
via Kelson Capital LLC (CRD 149477 ↗)
EDGAR ↗
Mar 15, 2024 D/A
Guggenheim High-Yield Fund, Ltd.
File 021-253730
$37,500 (est.)$0$0Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)
EDGAR ↗
Oct 6, 2017 D
Guggenheim Corporate Opportunity Fund, L.P.
File 021-296152
$9,918,750 (est.)$0$0Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗
via Guggenheim Funds Distributors, LLC (CRD 39805 ↗)
EDGAR ↗
Sep 22, 2017 D/A
Guggenheim Private Debt Fund 2.0, Ltd.
File 021-256830
$683,000 (est.)$0$0Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗
Guggenheim Fund Distributors, LLC BrokerCheck CRD 39805 ↗		EDGAR ↗
Sep 22, 2017 D/A
Guggenheim Private Debt Fund 2.0, LLC
File 021-256827
$683,000 (est.)$0$0Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗
Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗		EDGAR ↗
Sep 22, 2017 D/A
Guggenheim Private Debt Fund 2.0-I, LLC
File 021-269285
$683,000 (est.)$0$0Credite Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗
Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗		EDGAR ↗
Sep 22, 2017 D/A
Guggenheim Private Debt Fund Note Issuer 2.0, LLC
File 021-256841
$683,000 (est.)$0$0Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗
Guggenheim Funds Distributors, LLC BrokerCheck CRD 39805 ↗		EDGAR ↗
Sep 11, 2014 D/A
Guggenheim High-Yield Plus Fund SPC
File 021-132059
$0$0$0Guggenheim Securities, LLC BrokerCheck CRD 40638 ↗EDGAR ↗
Aug 19, 2013 D/A
Orpheus Holdings Ltd
File 021-136185
$0$0$0Guggenheim Securities, LLC BrokerCheck CRD 40638 ↗EDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (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).

Deals 13

Every issuer that named Thomas Hauser on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

Logo
Pooled Investment Fund · group: Guggenheim

GUGGENHEIM HIGH-YIELD FUND, LLC

Santa Monica, CA · Oct 23, 2015 → May 15, 2026 · 12 filings
  • May 15, 2026 · D/A · $267,760,836 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 14, 2025 · D/A · $267,760,836 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 11, 2024 · D/A · $267,760,836 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 13, 2023 · D/A · $267,760,836 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 14, 2022 · D/A · $267,760,836 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 15, 2021 · D/A · $267,760,836 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 16, 2020 · D/A · $267,760,836 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 18, 2019 · D/A · $267,760,836 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 19, 2018 · D/A · $267,760,836 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 20, 2017 · D/A · $267,760,836 sold of Indefinite · 11 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 21, 2016 · D/A · $217,760,836 sold of Indefinite · 10 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 23, 2015 · D/A · $79,875,000 sold of Indefinite · 3 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗

Raised $267.8M from 11 investors as of the latest filing. Thomas is listed as executive officer on 12 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "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.

Logo
Pooled Investment Fund · group: Guggenheim

GUGGENHEIM LOAN FUND, LLC

Santa Monica, CA · Sep 10, 2015 → May 15, 2026 · 14 filings
  • May 15, 2026 · D/A · $474,931,115 sold of Indefinite · 17 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Oct 14, 2025 · D/A · $454,931,115 sold of Indefinite · 17 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 11, 2025 · D/A · $454,931,115 sold of Indefinite · 17 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 11, 2024 · D/A · $454,931,115 sold of Indefinite · 17 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Aug 21, 2024 · D/A · $454,931,115 sold of Indefinite · 17 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Aug 22, 2023 · D/A · $454,931,115 sold of Indefinite · 17 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Aug 23, 2022 · D/A · $454,931,115 sold of Indefinite · 17 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Aug 24, 2021 · D/A · $454,931,115 sold of Indefinite · 17 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Aug 25, 2020 · D/A · $454,931,115 sold of Indefinite · 17 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 5, 2019 · D/A · $454,931,115 sold of Indefinite · 17 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 6, 2018 · D/A · $454,931,115 sold of Indefinite · 17 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 8, 2017 · D/A · $347,980,154 sold of Indefinite · 15 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 9, 2016 · D/A · $279,028,657 sold of Indefinite · 12 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 10, 2015 · D/A · $162,688,318 sold of Indefinite · 8 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗

Raised $474.9M from 17 investors as of the latest filing. Thomas is listed as executive officer on 14 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "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.

Logo
Pooled Investment Fund · group: Guggenheim

Guggenheim Loan Fund, Ltd.

Santa Monica, CA · Sep 10, 2015 → May 15, 2026 · 14 filings
  • May 15, 2026 · D/A · $577,632,213 sold of Indefinite · 12 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Oct 14, 2025 · D/A · $577,632,213 sold of Indefinite · 12 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Apr 24, 2025 · D/A · $377,632,213 sold of Indefinite · 12 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Mar 14, 2025 · D/A · $377,632,213 sold of Indefinite · 12 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Mar 15, 2024 · D/A · $369,632,213 sold of Indefinite · 12 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Mar 17, 2023 · D/A · $369,632,213 sold of Indefinite · 12 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Mar 18, 2022 · D/A · $364,632,213 sold of Indefinite · 12 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Aug 24, 2021 · D/A · $352,632,213 sold of Indefinite · 12 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Aug 25, 2020 · D/A · $352,632,213 sold of Indefinite · 12 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 5, 2019 · D/A · $352,632,213 sold of Indefinite · 12 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 6, 2018 · D/A · $352,632,213 sold of Indefinite · 12 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 8, 2017 · D/A · $345,632,213 sold of Indefinite · 12 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 9, 2016 · D/A · $241,752,213 sold of Indefinite · 9 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 10, 2015 · D · $58,728,318 sold of Indefinite · 2 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗

Raised $577.6M from 12 investors as of the latest filing. Thomas is listed as executive officer on 14 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "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.

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Pooled Investment Fund · group: Guggenheim

NZC GUGGENHEIM FUND LLC

Santa Monica, CA · Mar 16, 2009 → May 15, 2026 · 19 filings
  • May 15, 2026 · D/A · $1,112,365,238 sold of Indefinite · 165 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 14, 2025 · D/A · $1,112,365,238 sold of Indefinite · 165 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 11, 2024 · D/A · $1,112,365,238 sold of Indefinite · 165 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 13, 2023 · D/A · $1,112,365,238 sold of Indefinite · 165 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 14, 2022 · D/A · $1,112,365,238 sold of Indefinite · 165 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 15, 2021 · D/A · $1,112,365,238 sold of Indefinite · 165 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 16, 2020 · D/A · $1,112,365,238 sold of Indefinite · 165 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 18, 2019 · D/A · $1,112,115,238 sold of Indefinite · 164 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 19, 2018 · D/A · $1,112,115,238 sold of Indefinite · 164 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 20, 2017 · D/A · $1,112,115,238 sold of Indefinite · 164 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 21, 2016 · D/A · $1,107,290,238 sold of Indefinite · 161 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 23, 2015 · D/A · $1,056,234,946 sold of Indefinite · 161 investors · min. No minimum reported · role: Executive Officer (Mr. Hauser is Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 11, 2014 · D/A · $993,914,545 sold of Indefinite · 128 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Aug 19, 2013 · D/A · $841,066,110 sold of Indefinite · 107 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Aug 16, 2012 · D/A · $544,101,110 sold of Indefinite · 73 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Mar 15, 2012 · D/A · $520,901,110 sold of Indefinite · 66 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Mar 15, 2011 · D/A · $503,833,795 sold of Indefinite · 61 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Mar 12, 2010 · D/A · $432,750,000 sold of Indefinite · 39 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Mar 16, 2009 · D/A · $211,908,601 sold of Indefinite · 14 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $1.11B from 165 investors as of the latest filing. Thomas is listed as executive officer on 19 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "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.

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Pooled Investment Fund · group: Guggenheim

NZC GUGGENHEIM FUND LTD

Santa Monica, CA · Mar 16, 2009 → May 15, 2026 · 21 filings
  • May 15, 2026 · D/A · $407,996,116 sold of Indefinite · 71 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 14, 2025 · D/A · $407,996,116 sold of Indefinite · 71 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Apr 24, 2025 · D/A · $407,996,116 sold of Indefinite · 71 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 11, 2024 · D/A · $407,996,116 sold of Indefinite · 71 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 13, 2023 · D/A · $407,996,116 sold of Indefinite · 71 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 14, 2022 · D/A · $407,996,116 sold of Indefinite · 71 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Mar 18, 2022 · D/A · $407,996,116 sold of Indefinite · 71 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 15, 2021 · D/A · $407,996,116 sold of Indefinite · 71 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 16, 2020 · D/A · $407,996,116 sold of Indefinite · 71 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 18, 2019 · D/A · $406,996,116 sold of Indefinite · 71 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 19, 2018 · D/A · $404,926,116 sold of Indefinite · 70 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 20, 2017 · D/A · $400,216,116 sold of Indefinite · 65 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 21, 2016 · D/A · $348,262,883 sold of Indefinite · 52 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 23, 2015 · D/A · $294,336,586 sold of Indefinite · 49 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗
  • Sep 11, 2014 · D/A · $277,071,593 sold of Indefinite · 40 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Aug 19, 2013 · D/A · $182,540,199 sold of Indefinite · 23 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Aug 16, 2012 · D/A · $168,540,198 sold of Indefinite · 20 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Mar 15, 2012 · D/A · $168,065,198 sold of Indefinite · 20 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Mar 15, 2011 · D/A · $120,566,394 sold of Indefinite · 23 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Mar 12, 2010 · D/A · $101,870,000 sold of Indefinite · 17 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Mar 16, 2009 · D/A · $211,908,601 sold of Indefinite · 14 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $408M from 71 investors as of the latest filing. Thomas is listed as executive officer on 21 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "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.

Logo
Pooled Investment Fund · group: Guggenheim

Guggenheim High-Yield Fund, Ltd.

Santa Monica, CA · Dec 23, 2015 → Mar 15, 2024 · 10 filings
  • Mar 15, 2024 · D/A · $16,601,774 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Mar 17, 2023 · D/A · $16,601,774 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Mar 18, 2022 · D/A · $16,601,774 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 15, 2021 · D/A · $16,601,774 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 16, 2020 · D/A · $16,601,774 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 18, 2019 · D/A · $16,601,774 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 19, 2018 · D/A · $16,601,774 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 20, 2017 · D/A · $16,582,927 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Oct 21, 2016 · D/A · $16,582,927 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Managing Director of the Investment Adviser of the Issuer.) EDGAR ↗
  • Dec 23, 2015 · D · $16,673,385 sold of Indefinite · 1 investors · min. $100,000 · role: Executive Officer (Mr. Hauser is Managing Director of the Investment Advisor of the Issuer.) EDGAR ↗

Raised $16.7M from 1 investor as of the latest filing. Thomas is listed as executive officer on 10 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "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.

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Pooled Investment Fund · group: Guggenheim

Guggenheim Corporate Opportunity Fund, L.P.

New York, NY · Oct 6, 2017
  • Oct 6, 2017 · D · $200,000,000 sold of Indefinite · 3 investors · min. $5,000,000 · role: Executive Officer (Mr. Hauser is Senior Managing Director of the Investment Adviser to the Issuer.) EDGAR ↗

Raised $200M from 3 investors as of the latest filing. Thomas is listed as executive officer.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "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.

Logo
Pooled Investment Fund · group: Guggenheim

Guggenheim Private Debt Fund 2.0, Ltd.

New York, NY · Feb 5, 2016 → Sep 22, 2017 · 4 filings
  • Sep 22, 2017 · D/A · $386,500,000 sold of $2,000,000,000 · 14 investors · min. $100,000 · role: Executive Officer (Reinsurer) EDGAR ↗
  • Sep 22, 2017 · D/A · $386,500,000 sold of $2,000,000,000 · 14 investors · min. $5,000,000 · role: Executive Officer (Reinsurer) EDGAR ↗
  • Aug 22, 2016 · D/A · $238,000,000 sold of $2,000,000,000 · 10 investors · min. $5,000,000 · role: Executive Officer (Reinsurer) EDGAR ↗
  • Feb 5, 2016 · D · $10,000,000 sold of $2,000,000,000 · 1 investors · min. $5,000,000 · role: Executive Officer EDGAR ↗

Raised $386.5M from 14 investors (19% of the $2B target) as of the latest filing. Thomas is listed as executive officer on 4 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "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.

Logo
Pooled Investment Fund · group: Guggenheim

Guggenheim Private Debt Fund 2.0, LLC

New York, NY · Feb 5, 2016 → Sep 22, 2017 · 3 filings
  • Sep 22, 2017 · D/A · $83,500,000 sold of $2,000,000,000 · 7 investors · min. No minimum reported · role: Executive Officer (Reinsurer) EDGAR ↗
  • Aug 19, 2016 · D/A · $23,500,000 sold of $2,000,000,000 · 3 investors · min. $5,000,000 · role: Executive Officer EDGAR ↗
  • Feb 5, 2016 · D · $104,000,000 sold of $2,000,000,000 · 5 investors · min. $5,000,000 · role: Executive Officer EDGAR ↗

Raised $104M from 7 investors (5% of the $2B target) as of the latest filing. Thomas is listed as executive officer on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "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.

Logo
Pooled Investment Fund · group: Guggenheim

Guggenheim Private Debt Fund Note Issuer 2.0, LLC

New York, NY · Aug 22, 2016 → Sep 22, 2017 · 2 filings
  • Sep 22, 2017 · D/A · $1,148,947,369 sold of $2,000,000,000 · 26 investors · min. No minimum reported · role: Executive Officer (Reinsurer) EDGAR ↗
  • Aug 22, 2016 · D/A · $1,070,000,000 sold of $2,000,000,000 · 23 investors · min. $5,000,000 · role: Executive Officer (Reinsurer) EDGAR ↗

Raised $1.15B from 26 investors (57% of the $2B target) as of the latest filing. Thomas is listed as executive officer on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "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.

Logo
Pooled Investment Fund · group: Guggenheim

Guggenheim Private Debt Fund 2.0-I, LLC

New York, NY · Aug 22, 2016 → Sep 22, 2017 · 2 filings
  • Sep 22, 2017 · D/A · $90,000,000 sold of $2,000,000,000 · 1 investors · min. No minimum reported · role: Executive Officer (Reinsurer) EDGAR ↗
  • Aug 22, 2016 · D · $90,000,000 sold of $2,000,000,000 · 1 investors · min. $5,000,000 · role: Executive Officer (Reinsurer) EDGAR ↗

Raised $90M from 1 investor (5% of the $2B target) as of the latest filing. Thomas is listed as executive officer on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "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.

Logo
Pooled Investment Fund · group: Guggenheim

Guggenheim High-Yield Plus Fund SPC

Grand Cayman, Cayman Islands (as filed: E9) · Jun 17, 2009 → Sep 11, 2014 · 6 filings
  • Sep 11, 2014 · D/A · $571,182,782 sold of Indefinite · 73 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Aug 19, 2013 · D/A · $534,560,963 sold of Indefinite · 64 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Aug 16, 2012 · D/A · $491,131,666 sold of Indefinite · 56 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Mar 15, 2012 · D/A · $392,071,666 sold of Indefinite · 46 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Jun 25, 2010 · D/A · $277,685,000 sold of Indefinite · 18 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Jun 17, 2009 · D · $58,000,000 sold of Indefinite · 5 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $571.2M from 73 investors as of the latest filing. Thomas is listed as executive officer on 6 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "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.

Logo
Pooled Investment Fund · group: Guggenheim

Orpheus Holdings Ltd

New York, NY · Aug 19, 2013
  • Aug 19, 2013 · D/A · $194,608,348 sold of Indefinite · 8 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $194.6M from 8 investors as of the latest filing. Thomas is listed as executive officer.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Other pages with the same name (1)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • Thomas Hauser — IN, 2 issuers, Oct 19, 2026 → Oct 19, 2026 · no shared issuer

People around Thomas 40

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET. Showing the 40 with the most shared filings.

GP
Management entity

Guggenheim Partners Investment Management, LLC

Promoter, Executive Officer · 21 shared filings (8 issuers) · also on 24 other issuers

Guggenheim Partners Investment Management, LLC is on 32 issuers in total — a repeat sponsor. Their page lists every one.

GP
Management entity

Guggenheim Partners, LLC

Executive Officer, Promoter · 17 shared filings (3 issuers) · also on 6 other issuers

Guggenheim Partners, LLC is on 9 issuers in total — a repeat sponsor. Their page lists every one.

GI
Management entity

Guggenheim Investment Management, LLC

Promoter · 11 shared filings (3 issuers) · also on 4 other issuers

Guggenheim Investment Management, LLC is on 7 issuers in total — a repeat sponsor. Their page lists every one.

KG
No photo found yet (own website and image search run after this page is viewed)
Person

Kevin H. Gundersen

Executive Officer · 82 shared filings (13 issuers) · also on 5 other issuers

Kevin H. Gundersen is on 18 issuers in total — a repeat sponsor. Their page lists every one.

AM
No photo found yet (own website and image search run after this page is viewed)
Person

Alastair McKeever

Executive Officer, Director · 76 shared filings (11 issuers) · also on 6 other issuers

Alastair McKeever is on 17 issuers in total — a repeat sponsor. Their page lists every one.

MB
No photo found yet (own website and image search run after this page is viewed)
Person

Matthew S. Bloom

Executive Officer · 70 shared filings (11 issuers) · also on 3 other issuers

Matthew S. Bloom is on 14 issuers in total — a repeat sponsor. Their page lists every one.

ZW
No photo found yet (own website and image search run after this page is viewed)
Person

Zachary D. Warren

Executive Officer · 54 shared filings (11 issuers) · also on 7 other issuers

Zachary D. Warren is on 18 issuers in total — a repeat sponsor. Their page lists every one.

BM
No photo found yet (own website and image search run after this page is viewed)
Person

B. Scott Minerd

Executive Officer · 46 shared filings (11 issuers) · also on 10 other issuers

B. Scott Minerd is on 21 issuers in total — a repeat sponsor. Their page lists every one.

KS
No photo found yet (own website and image search run after this page is viewed)
Person

Kevin Solomon

Director · 33 shared filings (4 issuers) · also on 93 other issuers

Kevin Solomon is on 97 issuers in total — a repeat sponsor. Their page lists every one.

WS
No photo found yet (own website and image search run after this page is viewed)
Person

William Shaw

Director · 30 shared filings (5 issuers) · also on 78 other issuers

William Shaw is on 83 issuers in total — a repeat sponsor. Their page lists every one.

JA
No photo found yet (own website and image search run after this page is viewed)
Person

Jeffrey Abrams

Executive Officer · 30 shared filings (8 issuers) · also on 6 other issuers

Jeffrey Abrams is on 14 issuers in total — a repeat sponsor. Their page lists every one.

AD
No photo found yet (own website and image search run after this page is viewed)
Person

Adrian G.W. Duffy

Executive Officer · 29 shared filings (8 issuers) · also on 3 other issuers

Adrian G.W. Duffy is on 11 issuers in total — a repeat sponsor. Their page lists every one.

MD
No photo found yet (own website and image search run after this page is viewed)
Person

Michael P. Damaso

Executive Officer · 21 shared filings (4 issuers) · also on 10 other issuers

Michael P. Damaso is on 14 issuers in total — a repeat sponsor. Their page lists every one.

TB
No photo found yet (own website and image search run after this page is viewed)
Person

Todd L. Boehly

Executive Officer · 18 shared filings (4 issuers) · also on 9 other issuers

Todd L. Boehly is on 13 issuers in total — a repeat sponsor. Their page lists every one.

SS
No photo found yet (own website and image search run after this page is viewed)
Person

Stephen Sautel

Executive Officer · 18 shared filings (4 issuers) · also on 3 other issuers

Stephen Sautel is on 7 issuers in total — a repeat sponsor. Their page lists every one.

AM
No photo found yet (own website and image search run after this page is viewed)
Person

Anthony D. Minella

Executive Officer · 18 shared filings (4 issuers) · also on 20 other issuers

Anthony D. Minella is on 24 issuers in total — a repeat sponsor. Their page lists every one.

WH
No photo found yet (own website and image search run after this page is viewed)
Person

William R. Hagner

Executive Officer · 18 shared filings (4 issuers) · also on 4 other issuers

William R. Hagner is on 8 issuers in total — a repeat sponsor. Their page lists every one.

ES
No photo found yet (own website and image search run after this page is viewed)
Person

Erich E. Schram

Executive Officer · 18 shared filings (4 issuers) · also on 1 other issuer

Erich E. Schram is on 5 issuers in total — a repeat sponsor. Their page lists every one.

SF
No photo found yet (own website and image search run after this page is viewed)
Person

Sherri Fleming

Director · 11 shared filings (3 issuers) · also on 50 other issuers

Sherri Fleming is on 53 issuers in total — a repeat sponsor. Their page lists every one.

RP
No photo found yet (own website and image search run after this page is viewed)
Person

Russell W. Parks III

Executive Officer · 11 shared filings (4 issuers) · also on 5 other issuers

Russell W. Parks III is on 9 issuers in total — a repeat sponsor. Their page lists every one.

JM
No photo found yet (own website and image search run after this page is viewed)
Person

Joseph R. Mccurdy

Executive Officer · 11 shared filings (4 issuers) · also on 5 other issuers

Joseph R. Mccurdy is on 9 issuers in total — a repeat sponsor. Their page lists every one.

CL
No photo found yet (own website and image search run after this page is viewed)
Person

Christopher LeBeau

Director · 11 shared filings (4 issuers) · also on 28 other issuers

Christopher LeBeau is on 32 issuers in total — a repeat sponsor. Their page lists every one.

RW
No photo found yet (own website and image search run after this page is viewed)
Person

Rich de Wet

Executive Officer · 11 shared filings (2 issuers)

Listed on the same filings as Thomas Hauser. Their page shows their other deals.

DM
No photo found yet (own website and image search run after this page is viewed)
Person

Daniel Montegari

Executive Officer · 11 shared filings (2 issuers) · also on 5 other issuers

Daniel Montegari is on 7 issuers in total — a repeat sponsor. Their page lists every one.

JA
No photo found yet (own website and image search run after this page is viewed)
Person

Jeff Abrams

Executive Officer · 10 shared filings (5 issuers)

Jeff Abrams is on 5 issuers in total — a repeat sponsor. Their page lists every one.

TM
No photo found yet (own website and image search run after this page is viewed)
Person

Timothy H. Murray

Executive Officer · 8 shared filings (3 issuers) · also on 2 other issuers

Timothy H. Murray is on 5 issuers in total — a repeat sponsor. Their page lists every one.

KG
No photo found yet (own website and image search run after this page is viewed)
Person

Kevin H. Gunderson

Executive Officer · 7 shared filings (3 issuers) · also on 4 other issuers

Kevin H. Gunderson is on 7 issuers in total — a repeat sponsor. Their page lists every one.

JA
No photo found yet (own website and image search run after this page is viewed)
Person

Jason M. Anthony

Executive Officer · 4 shared filings (4 issuers) · also on 2 other issuers

Jason M. Anthony is on 6 issuers in total — a repeat sponsor. Their page lists every one.

PM
No photo found yet (own website and image search run after this page is viewed)
Person

Patrick Mitchell

Executive Officer · 4 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Thomas Hauser. Their page shows their other deals.

TA
No photo found yet (own website and image search run after this page is viewed)
Person

Thomas J.W. Archie

Executive Officer · 3 shared filings (3 issuers)

Listed on the same filings as Thomas Hauser. Their page shows their other deals.

TH
No photo found yet (own website and image search run after this page is viewed)
Person

Todd D. Hearle

Executive Officer · 3 shared filings (3 issuers) · also on 14 other issuers

Todd D. Hearle is on 17 issuers in total — a repeat sponsor. Their page lists every one.

JF
No photo found yet (own website and image search run after this page is viewed)
Person

JAMES M. FREELAND

Executive Officer · 3 shared filings (3 issuers) · also on 19 other issuers

JAMES M. FREELAND is on 22 issuers in total — a repeat sponsor. Their page lists every one.

BH
No photo found yet (own website and image search run after this page is viewed)
Person

Beth Haddock

Executive Officer · 3 shared filings (3 issuers)

Listed on the same filings as Thomas Hauser. Their page shows their other deals.

CB
No photo found yet (own website and image search run after this page is viewed)
Person

Christopher Boyle

Executive Officer · 3 shared filings (3 issuers)

Listed on the same filings as Thomas Hauser. Their page shows their other deals.

GN
No photo found yet (own website and image search run after this page is viewed)
Person

Gregg J. Nardone

Executive Officer · 3 shared filings (3 issuers)

Listed on the same filings as Thomas Hauser. Their page shows their other deals.

SE
No photo found yet (own website and image search run after this page is viewed)
Person

Sam Ellis

Director · 2 shared filings (1 issuer) · also on 103 other issuers

Sam Ellis is on 104 issuers in total — a repeat sponsor. Their page lists every one.

CK
No photo found yet (own website and image search run after this page is viewed)
Person

Claire Kasumba

Director · 2 shared filings (1 issuer) · also on 27 other issuers

Claire Kasumba is on 28 issuers in total — a repeat sponsor. Their page lists every one.

LS
No photo found yet (own website and image search run after this page is viewed)
Person

Lorraine Spurge

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Thomas Hauser. Their page shows their other deals.

PW
No photo found yet (own website and image search run after this page is viewed)
Person

Patrick M Warren

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Thomas Hauser. Their page shows their other deals.

CB
No photo found yet (own website and image search run after this page is viewed)
Person

Carrie Bunton

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Thomas Hauser. Their page shows their other deals.

The team behind the deals

Logo
Sponsor group

Guggenheim

52 issuers · 233 filings · $13.85B reported sold · 2009–2026

One team, 52 deal companies. Thomas Hauser is listed on 13 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Thomas Hauser.

Same business address

51 other issuers file from the same address (first 50 shown)

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

A person is never an adviser firm. 10 of the 13 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): NZC GUGGENHEIM FUND LLC, NZC GUGGENHEIM FUND LTD, GUGGENHEIM HIGH-YIELD FUND, LLC, GUGGENHEIM LOAN FUND, LLC, Guggenheim Private Debt Fund 2.0, Ltd., Guggenheim Private Debt Fund 2.0, LLC, Guggenheim Private Debt Fund Note Issuer 2.0, LLC, Guggenheim Private Debt Fund 2.0-I, LLC, Guggenheim High-Yield Plus Fund SPC, Orpheus Holdings Ltd.

Other offering types (Regulation A and Regulation Crowdfunding)

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 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Thomas Hauser by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 13 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Thomas Hauser is listed on, as found in their SEC filings (Form C, Reg A, Form ADV, EDGAR profile) or on the sponsor's own site; none belongs to the person unless the sponsor's site says so. Checked Oct 24, 2026.

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (New York, NY). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Found on the sponsor's own site

guggenheiminvestments.com ↗ found on GUGGENHEIM HIGH-YIELD FUND, LLC (guggenheiminvestments.com — same registered sponsor family (group "Guggenheim Private", confidence 0.96); known from management entity Guggenheim Partners, LLC (Form ADV of GUGGENHEIM INVESTMENTS, CRD 105477))

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗New York WebCivil Supreme ↗California — find the county court ↗Los Angeles Superior Court case search ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

New York Secretary of State business search ↗California Secretary of State business search ↗OpenCorporates ↗

Change history

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