GUARDIAN CAPITAL PARTNERS
GUARDIAN CAPITAL PARTNERS INVESTMENT MANAGEMENT, L.P. Legal Name
Adviser information for GUARDIAN CAPITAL PARTNERS 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 16 |
|---|---|
| Investment Advisory/Research | 16 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 5 | $464.3M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $464.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $464.3M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesPORTFOLIO MONITORING AND TRANSACTION FEES |
Identifiers
| SEC RIA File Number | 801-126626 |
|---|---|
| SEC ERA File Number | 801-126626 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 321695 |
| Legal Entity Identifier | None |
Principal Office
724 W. LANCASTER AVENUE SUITE 120WAYNE
PA
United States
Monday - Friday, 8:30 - 5:30
Tel: 610-263-0100, Fax: 610-465-8900
Chief Compliance Officer
JANET STOTT
CHIEF FINANCIAL OFFICER
724 W LANCASTER AVENUE, SUITE 120
WAYNE
PA
United States
Tel:
610-263-0109
Fax:
610-465-8900
J*****@*************M
(Full email address available in API data)
Regulatory Contact
PETER HAABESTAD
MANAGING PARTNER
724 W LANCASTER AVENUE, SUITE 120
WAYNE
PA
United States
Tel:
610-263-0100
Fax:
610-465-8900
P*********@*************M
(Full email address available in API data)
Industry Affiliates
| GUARDIAN CAPITAL PARTNERS II GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| GUARDIAN CAPITAL PARTNERS II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| GUARDIAN CAPITAL PARTNERS III GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| GUARDIAN CAPITAL PARTNERS III, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GUARDIAN CAPITAL PARTNERS FUND II (Q), L.P. | Private Equity Fund | $69.4M | $0.1M | 22 |
| GUARDIAN CAPITAL PARTNERS FUND II, L.P. | Private Equity Fund | $51.1M | $0.0M | 88 |
| GUARDIAN CAPITAL PARTNERS FUND III (A), L.P. | Private Equity Fund | $130.4M | $0.2M | 12 |
| GUARDIAN CAPITAL PARTNERS FUND III (Q), L.P. | Private Equity Fund | $211.3M | $0.1M | 56 |
| GUARDIAN CAPITAL PARTNERS FUND III, L.P. | Private Equity Fund | $2.1M | $0.1M | 10 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HAABESTAD, PETER, HENRY | Individual | – | LIMITED PARTNER | 08/2013 | 25-50% |
| EVANS, SCOTT, DOUGLAS | Individual | – | LIMITED PARTNER | 08/2013 | 25-50% |
| GUARDIAN CAPITAL PARTNERS II, LLC | Domestic Entity | – | GENERAL PARTNER | 08/2013 | < 5% |
| STOTT, JANET, LOIS | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2013 | < 5% |
| HAABESTAD, PETER, HENRY | Individual | GUARDIAN CAPITAL PARTNERS II, LLC | MEMBER | 08/2013 | 50-75% |
| EVANS, SCOTT, DOUGLAS | Individual | GUARDIAN CAPITAL PARTNERS II, LLC | MEMBER | 08/2013 | 50-75% |