GUARDIAN WEALTH STRATEGIES, LLC
Adviser information for GUARDIAN WEALTH STRATEGIES, LLC last updated from Form ADV on January 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Minnesota, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3,344 | $725.5M |
| Non-Discretionary | 8 | $6.5M |
| Total | 3,352 | $732.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 769 | $279.0M |
| HNW Individuals | 208 | $431.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 28 | $21.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 20 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-107034 |
|---|---|
| SEC ERA File Number | 801-107034 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 167485 |
| Legal Entity Identifier | None |
Principal Office
6465 WAYZATA BLVDSTE 230
MINNEAPOLS
MN
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 952-746-1746, Fax: 612-601-8935
Websites
Chief Compliance Officer
GREGORY GASSERT
MANAGING MEMBER
6465 WAYZATA BLVD
STE 230
MINNEAPOLIS
MN
United States
Tel:
952-746-1748
Fax:
612-601-8935
A****@**********M
(Full email address available in API data)
Regulatory Contact
BRENT HOPPE
MANAGING MEMBER
6465 WAYZATA BLVD
SUITE 230
MINNEAPOLIS
MN
United States
Tel:
952-746-1747
Fax:
612-601-8935
B****@**********M
(Full email address available in API data)
Industry Affiliates
| ALL THINGS FINANCIAL LLC | Insurance company or agency |
| GUARDIAN INSURANCE SOLUTIONS, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GASSERT, GREGORY, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2013 | < 5% |
| UNIVERSITY INVESTMENT ADVISORS | Domestic Entity | – | MEMBER | 01/2015 | > 75% |
| GASSERT, GREGORY, JOSEPH | Individual | UNIVERSTIY INVESTMENT ADVISORS | MEMBER | 01/2015 | 50-75% |
| HOPPE, BRENT, DEAN | Individual | UNIVERSITY INVESTMENT ADVISORS | MEMBER | 01/2015 | 25-50% |
| HOPPE, BRENT, DEAN | Individual | – | FOUNDER | 04/2013 | < 5% |