GUARDIAN INVESTMENT MANAGEMENT
GUARDIAN INVESTMENT MANAGEMENT, LLC Legal Name
Adviser information for GUARDIAN INVESTMENT MANAGEMENT last updated from Form ADV on March 29th, 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 | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 154 | $266.8M |
| Non-Discretionary | 25 | $37.5M |
| Total | 179 | $304.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 7 | $7.0M |
| HNW Individuals | 159 | $247.3M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 9 | $13.6M |
| Charitable organizations | <5 | $36.3M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 75 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-11279 |
|---|---|
| SEC ERA File Number | 801-11279 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104935 |
| Legal Entity Identifier | None |
Principal Office
1120 MAR WEST ST., SUITE DTIBURON
CA
United States
Monday - Friday, 8:30 A.M -4:30P.M..
Tel: 415-765-6860, Fax: 415-937-5142
Websites
Chief Compliance Officer
STEPHEN A. ETHRIDGE
PRINCIPAL & CCO
134 FLEITAS AVE.
PASS CHRISTIAN
MS
United States
Tel:
415-336-1405
S****@***********M
(Full email address available in API data)
Regulatory Contact
ROBERT M. TOMASELLO
PRINCIPAL/PRESIDENT
1120 MAR WEST ST., SUITE D
TIBURON
CA
United States
Tel:
415-765-6860
R*****@***********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 |
|---|---|---|---|---|---|
| TOMASELLO, ROBERT, MICHAEL | Individual | – | PRESIDENT, MANAGING MEMBER | 04/2013 | 50-75% |
| ETHRIDGE, STEPHEN, ARTHUR | Individual | – | MEMBER, CHIEF COMPLIANCE OFFICER | 04/2013 | 25-50% |