GUARDIAN FINANCIAL PARTNERS, LLC
Adviser information for GUARDIAN FINANCIAL PARTNERS, LLC last updated from Form ADV on March 5th, 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 | California, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 14 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 710 | $763.7M |
| Non-Discretionary | 0 | $0 |
| Total | 710 | $763.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 162 | $76.2M |
| HNW Individuals | 178 | $232.5M |
| 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 | 14 | $435.5M |
| Charitable organizations | <5 | $10.6M |
| 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 | 5 | $8.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 510.3M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| GUARDIAN FINANCIAL WRAP PROGRAM | GUARDIAN FINANCIAL PARTNERS, LLC |
Principal Office
635 E. CHAPMAN AVE.ORANGE
CA
United States
Monday - Friday, 8AM - 5PM
Tel: 949-771-2969, Fax: None
Chief Compliance Officer
HUNG NGUYEN
MANAGING MEMBER
635 E. CHAPMAN AVE.
ORANGE
CA
United States
Tel:
949-771-2971
H******@****************************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BARTELS, CASEY, STEVEN | Individual | CK FINANCIAL, LLC | MANAGING MEMBER | 04/2017 | > 75% |
| NGUYEN, HUNG, PHUC | Individual | HMGL, LLC | MANAGING MEMBER | 04/2017 | > 75% |
| GUINET, PATRICK, CLAUDE ROBERT | Individual | PT3GB, LLC | MANAGING MEMBER | 04/2017 | > 75% |
| NGUYEN, HUNG, PHUC | Individual | – | CHIEF COMPLIANCE OFFICER & MANAGING MEMBER | 04/2017 | 25-50% |
| PT3GB, LLC | Domestic Entity | – | MEMBER | 04/2017 | 25-50% |
| HMGL LLC | Domestic Entity | – | MEMBER | 04/2017 | 10-25% |
| CK FINANCIAL LLC | Domestic Entity | – | MEMBER | 04/2017 | 25-50% |
| BARTELS, CASEY, STEVEN | Individual | – | MANAGING MEMBER | 04/2017 | 10-25% |
| GUINET, PATRICK, CLAUDE ROBERT | Individual | – | MANAGING MEMBER | 04/2017 | 50-75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 15th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ALPS ETF TR | SMITH CORE PLUS | 9M | 370K | – |
| AMAZON COM INC | COM | 514K | 3K | – |
| APPLE INC | COM | 3M | 14K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 3M | 7K | – |
| BROADCOM INC | COM | 234K | 146 | – |
| COSTCO WHSL CORP NEW | COM | 2M | 2K | – |
| EDISON INTL | COM | 853K | 12K | – |
| ELI LILLY & CO | COM | 753K | 832 | – |
| HOME DEPOT INC | COM | 1M | 3K | – |
| INNOVATOR ETFS TRUST | LADERD ALCTN PWR | 4M | 102K | – |
| INTUITIVE SURGICAL INC | COM NEW | 641K | 1K | – |
| ISHARES TR | AGGRES ALLOC ETF | 229K | 3K | – |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 2M | 33K | – |
| JANUS DETROIT STR TR | HENDRSON AAA CL | 6M | 127K | – |
| MARVELL TECHNOLOGY INC | COM | 927K | 13K | – |
| MICROSOFT CORP | COM | 1M | 3K | – |
| NEOS ETF TRUST | NEOS S&P 500 HI | 2M | 39K | – |
| NVIDIA CORPORATION | COM | 2M | 14K | – |
| PACER FDS TR | METAURUS CAP 400 | 2M | 52K | – |
| PROCTER AND GAMBLE CO | COM | 499K | 3K | – |
| ROYAL BK CDA | COM | 426K | 4K | – |
| SCHWAB STRATEGIC TR | EMRG MKTEQ ETF | 5M | 184K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL EMER | 517K | 17K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL INTL | 302K | 9K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL INTL | 5M | 141K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL US B | 5M | 69K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL US L | 4M | 65K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL US S | 569K | 10K | – |
| SCHWAB STRATEGIC TR | INTL EQTY ETF | 13M | 346K | – |
| SCHWAB STRATEGIC TR | INTL SCEQT ETF | 741K | 21K | – |
| SCHWAB STRATEGIC TR | SHT TM US TRES | 783K | 16K | – |
| SCHWAB STRATEGIC TR | US AGGREGATE B | 4M | 82K | – |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 229K | 4K | – |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 6M | 73K | – |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | 3M | 32K | – |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 6M | 93K | – |
| SCHWAB STRATEGIC TR | US REIT ETF | 1M | 72K | – |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 1M | 30K | – |
| SCHWAB STRATEGIC TR | US TIPS ETF | 258K | 5K | – |
| SERIES PORTFOLIOS TR | PANAGRAM BBB B | 18M | 658K | – |
| TOYOTA MOTOR CORP | ADS | 205K | 1K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 21M | 43K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 298K | 1K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 6M | 47K | – |
| VANGUARD WHITEHALL FDS | INTL HIGH ETF | 6M | 84K | – |