Guardian Wealth Advisors, LLC

CRD#143254
Investment Advisor Firm

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Overview

Guardian Wealth Advisors, LLC operates as an advisory company that has its headquarters in Minneapolis, Minnesota. The company manages $149.5 million in total assets throughout 512 accounts, making it a mid-tier firm in the United States by assets under management (AUM). It has a small team of four employees, of which two are financial advisors. Guardian Wealth Advisors, LLC is not a registered broker-dealer, signifying that the firm is not able to buy and sell securities for its accounts and those of its clients and instead must go through a broker-dealer firm to do so. Securities are defined as tradable financial assets like equities, options and bonds.

Guardian Wealth Advisors, LLC administers 404 of its accounts on a discretionary basis. Discretionary management signifies that buy and sell judgments are made by an investment advisor without requiring the customer's consent. It also manages 108 non-discretionary accounts totaling $65.2 million in assets. Guardian Wealth Advisors, LLC's typical account size is $291,943. An average financial advisor at Guardian Wealth Advisors, LLC manages about 256 client accounts.

The company's central office is at 8201 Norman Center Drive, Suite 420, Minneapolis, Minnesota 55437. The company is legally registered to serve clients throughout a number of states, including Louisiana, Minnesota, Nebraska and Texas.

Assets Under Management

$149.5 million

Number of Advisors

2

Fee Structure

Asset-based, Hourly, Fixed

Disclosures

No

Office Location

8201 Norman Center Drive, Suite 420
Minneapolis, MN 55437

Guardian Wealth Advisors, LLC by the Numbers

Total Assets Under Management

$149.5 million

National Average: $3.3 billion
Total Number of Employees

4

National Average: 4,943
Total Number of Accounts

512

National Average: 2,522
Average Account Size

$291.9 thousand

National Average: $1.3 million

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Products and Services

Guardian Wealth Advisors, LLC provides a variety of financial services, which can consist of financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients and selection of other advisers. Notably, the company did not provide financial planning services to any of its clients in the previous financial year. Guardian Wealth Advisors, LLC does not sell products or offer services other than investment advice to its investment advisory accounts.

Core Advisor Services

  • Offered by 45% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 63% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 23% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

  • Find a firm that offers this service

    Publication of Periodicals

    This is the publication of various financial education materials.

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    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Fees for financial advice typically are based on the type of services offered. Fee types charged by the company likely consist of some blend of the following fee structures: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the company.

Available

  • Offered by 75% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 37% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 3% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

Guardian Wealth Advisors, LLC works with retail investors and high net worth investors. Out of its 512 accounts, Guardian Wealth Advisors, LLC's biggest client type by number of accounts is retail investors, but it also serves 54 high-net-worth individuals. A high-net-worth individual is defined by the SEC as someone who has at least $750,000 under management or a net worth of at least $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its customers are from outside of the U.S.

  • High-Net-Worth Individuals* - 32.34%
  • Other Individuals - 67.66%
  • Corporations - 0%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Guardian Wealth Advisors, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA