GUARDIAN WEALTH ADVISORS, LLC

RIASEC RegisteredEst. 2020
Total AUM
$2.7B
Discretionary
$2.6B
95% of AUM
Avg account
$509K
Accounts
5,387
Employees
50
Advisory reps
32

Firm details

Headquarters
RALEIGH, North Carolina
CRD number
305412
Registered since
February 24, 2020
Website
www.guardian-wa.com
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI55.91%
  • Pension & Profit Sharing Plans27.48%
  • Individuals15.88%
  • Corporations / Businesses0.73%
Services
Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Guardian Wealth Advisors, LLC is an independent, SEC-registered registered investment adviser (registered in 2020) structured as an LLC and owned by an individual. The firm serves both individual/family and institutional clients and positions itself as a capital allocator, combining discretionary portfolio management with financial planning, pension consulting, and selection of other advisers. Its fee arrangements include percentage-of-AUM billing alongside hourly and fixed-fee engagements. Guardian does not list itself as an ESG-focused manager.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 76%, Exchange Traded Equities 14%, Cash & Cash Equivalents 6%, Non-Exchange Traded Equities 1%, US Government Bonds 1%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%76%
  • Public Funds/Mutual Funds76%
  • Exchange Traded Equities14%
  • Cash & Cash Equivalents6%
  • Non-Exchange Traded Equities1%
  • US Government Bonds1%

Owners & executives

2 of 2

  • MARISSA PRATT

    Chief Operating OfficerCRD 7719304

  • CHRISTIAN KEEDY

    Chief Compliance Officer, Managing PartnerCRD 4325571

Contacts

3 of 30

  • JEFFREY LINK

    Financial Advisor & Wealth ManagerCRD 2739333

  • SAMUEL SEXTON

    FounderCRD 6164831

  • Jacqueline Hall

    Client Service AssociateCRD 7969874

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 501

Active vs passive

$1.4B in ETFs

Passive

44%

$620M

Active

50%

$803M

ETFProviderStyleCategoryValueShares% of portfolio
APTUS COLLARED INVESTMENT OPPORTUNITY ETF (ACIO) Aptus Capital AdvisorsActiveOptions Trading$188M4,472,40313.19%
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Location

Primary office

RALEIGH, NC

WAKE

Location

RALEIGH, NC

Headquartered in RALEIGH, NC, anchoring the Raleigh-Durham-Cary, NC metro in the South.

Metro area
Raleigh-Durham-Cary, NC
Region
South
County
WAKE
Address
2413 Blue Ridge Rd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth