Our Commitment to Sustainability

A note from Scott Minerd and Jerry Miller on why principles of sustainability and ESG are important to our management approach.

At Guggenheim Investments, our ability to deliver innovative solutions that address our clients’ complex challenges is built upon many factors, including our commitment to sustainability. At a high level, sustainability means managing our investment process and our firm with a long-term focus that seeks to deliver compelling investment results while considering our environment and positive social outcomes.

In more practical terms, our commitment to sustainability is expressed in our client-focused processes, in our globally conscious cooperation and activism, and in our own corporate management approach. Contained within this commitment is the integration of environmental, social, and governance considerations (ESG) into our investment process and business operations.

We describe these activities, policies, and processes in this report. But beyond describing how we deliver on this commitment, it is our hope that we also explain why this is such an important part of our organization’s belief system.

Not only has ethical business behavior been a hallmark of the Guggenheim family for generations, but a concern for sustainability has also been a part of our lives for a long time. Growing up in a time when corporations and governments were not held accountable for environmental stewardship or equitable social outcomes, we have witnessed how irresponsible development and short-term profit incentives decimated local populations and ravaged the countryside in ways that are still being felt. More recently, the disastrous inequities that arose from the financial crisis, which in many ways was caused by the heedless pursuit of short-term profit, also continue to reverberate through global markets.

These events and others have had a significant impact on the way we view Guggenheim’s conduct as a corporate citizen. Our commitment to sustainability in all its forms is designed to avoid these kinds of outcomes and contribute to a better world. We have found that adherence to the goals of sustainability and ESG helps to eliminate risk and to create lasting value for our clients and ourselves. Included in this report are several case studies that illustrate how this works.

We want to thank the team at Guggenheim that is responsible for leading our commitment to sustainability and the integration of ESG principles into our business practices. We know that it is not possible for one person or one firm to fix the problems in our society, but together we have a shared obligation to do what we can to make the world a better place.

Scott Minerd

Scott Minerd
Chairman of Investments and Global CIO

Jerry Miller

Jerry Miller
President, Guggenheim Investments



Investing involves risk, including the possible loss of principal. Infrastructure investments may be subject to a variety of risks, not all of which can be foreseen or quantified, including operating, economic, environmental, commercial, currency, regulatory, political and financial risks. Investing in a specific sector such as infrastructure is more volatile than investing in a broadly diversified portfolio, as there is a greater risk due to the concentration of holdings in issuers of similar offerings. Sustainability requirements, including environmental, social, and governance (ESG) obligations may limit available investments, which could hinder performance when compared to strategies with no such requirements.

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 Investment Advisors, LLC, Guggenheim Funds Distributors, LLC, GS GAMMA Advisors, LLC, Guggenheim Partners Europe Limited and Guggenheim Partners India Management. Securities offered through Guggenheim Funds Distributors, LLC, an affiliate of Guggenheim, SI, GFIA and GPIM.

© Guggenheim Investments. All rights reserved.

Research our firm with FINRA Broker Check.

• 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.