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GUARDIAN CAPITAL, LLC

WEXFORD, PA · CRD 156015 · IAPD ↗ · guardiancapitalllc.com · 724-934-3050

$128.1MRegulatory AUM
4Advisory reps
4Employees
0Clients
0Planning clients
0Private funds
2States
2Disclosures
wealthSegment
ApprovedSEC status

Filing changes

50
May 2025 — GUARDIAN CAPITAL, LLC's Item 11 disclosure-reporting entries rose by 2 (1 -> 3).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
42
March 2025 — GUARDIAN CAPITAL, LLC notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
March 2025 — GUARDIAN CAPITAL, LLC now reports custody of client assets.
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
95
December 2024 — GUARDIAN CAPITAL, LLC (WEXFORD, PA) is newly SEC-registered with $105.9M RAUM and 3 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.