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GUIDANCE CAPITAL, INC.

LOUISVILLE, KY · CRD 323541 · IAPD ↗ · guidancecapital.com · (502) 813-2100

$449.8MRegulatory AUM
7Advisory reps
10Employees
0Clients
More than 500Planning clients
0Private funds
15States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
March 2025 — GUIDANCE CAPITAL, INC. notice-filed in IL, MD, MI, PA, SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
March 2025 — GUIDANCE CAPITAL, INC. reports More than 500 financial-planning clients, up from 251-500.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
64
March 2025 — GUIDANCE CAPITAL, INC. reported RAUM up 33% ($288.3M -> $384.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
47
April 2024 — GUIDANCE CAPITAL, INC. notice-filed in FL, GA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
April 2024 — GUIDANCE CAPITAL, INC. now reports custody of client assets ($3.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

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