Guidance Investments, Llc
- Regulatory AUM
- $5.7M
- Discretionary
- $5.7M
- Clients
- 1
- Avg AUM / client
- $5.7M
- Accounts
- 1
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 0 | $0 | — |
| High net worth individuals | 0 | $0 | — |
| Banking or thrift institutions | 0 | $0 | — |
| Pooled investment vehicles (non-investment companies) | 1 | $5.7M | 100.0% |
| Pension and profit sharing plans | 0 | $0 | — |
| Charitable organizations | 0 | $0 | — |
| State or municipal government entities | 0 | $0 | — |
| Other investment advisers | 0 | $0 | — |
| Insurance companies | 0 | $0 | — |
| Sovereign wealth funds and foreign official institutions | 0 | $0 | — |
| Corporations and other businesses | 0 | $0 | — |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Patrick Industries, Inc. 401(k) Employee Savings Plan Patrick Industries, Inc. | 2024 | |
| Gulf Stream Coach, Inc. Retirement Savings Plan Gulf Stream Coach, Inc. | Nappanee, IN | 2024 |
| Morryde International, Inc. 401(k) Plan And Trust Morryde International, Inc. | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Thomas Richard Gainor | Chief Compliance Officer | Jun 2001 (25y) | Less than 5% | |
| Anthony, William, D. | Director | Dec 2003 (23y) | Less than 5% | |
| Dodwell, James, Stuart | Director | Jan 2011 (16y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Guidance Financial Group, Llc | Member | May 2001 | A | 75% or more |
| Cg(ifs), Inc. | Member | May 2001 | B | ≈ 56.25% – 100% via Guidance Financial Group, Llc |
| Capital Guidance America, Inc. | Shareholder | May 2001 | B | ≈ 42.19% – 100% via Cg(ifs), Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Cg(ifs), Inc.: 75% – 100% of Guidance Financial Group, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Capital Guidance America, Inc.: 75% – 100% of Cg(ifs), Inc. × 75% – 100% of Guidance Financial Group, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Patrick Industries, Inc. 401(k) Employee Savings Plan | Patrick Industries, Inc. | 7,812 | $157M | 01/01/2024 |
| Gulf Stream Coach, Inc. Retirement Savings Plan | Gulf Stream Coach, Inc. | 380 | $11.4M | 01/01/2024 |
| Morryde International, Inc. 401(k) Plan And Trust | Morryde International, Inc. | 649 | $24.6M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/04/2026 | 1.29 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 04, 2026.
View current Form ADV (SEC/IAPD) ↗