Guardian Capital, Llc
- Regulatory AUM
- $128M
- Discretionary
- $128M
- Clients
- 241
- Avg AUM / client
- $531K
- Accounts
- 300
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 11, 2026
Investments (13F portfolio — 81 positions, $104,523,648)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Vaneck Etf Trust | SEMICONDUCTR ETF | $9,002,470 | 23,481 | 8.61% | 7.03% |
| 2 | Invesco Qqq Tr | UNIT SER 1 | $6,734,002 | 11,667 | 6.44% | 5.26% |
| 3 | Nvidia Corporation | COM | $4,676,159 | 26,813 | 4.47% | 3.65% |
| 4 | Spdr Gold Tr | GOLD SHS | $4,658,320 | 10,826 | 4.46% | 3.64% |
| 5 | Spdr Series Trust | STATE STREET SPD | $4,090,486 | 44,695 | 3.91% | 3.19% |
| 6 | Invesco Exchange Traded Fd T | S&P500 PUR GWT | $3,946,398 | 84,433 | 3.78% | 3.08% |
| 7 | Aim Etf Products Trust | ALLIANZIM US EQU | $3,827,688 | 99,498 | 3.66% | 2.99% |
| 8 | Aim Etf Products Trust | ALLIANZIM US EQU | $3,790,418 | 103,904 | 3.63% | 2.96% |
| 9 | Aim Etf Products Trust | ALLIANZIM US EQT | $3,743,662 | 105,827 | 3.58% | 2.92% |
| 10 | Aim Etf Products Trust | ALLIANZIM US EQT | $3,691,109 | 95,103 | 3.53% | 2.88% |
| 11 | Apple Inc | COM | $3,502,126 | 13,799 | 3.35% | 2.73% |
| 12 | Ishares Tr | MSCI USA MMENTM | $2,685,728 | 11,191 | 2.57% | 2.1% |
| 13 | Amazon Com Inc | COM | $2,204,121 | 10,583 | 2.11% | 1.72% |
| 14 | Costco Wholesale Corporation | COM | $2,145,074 | 2,153 | 2.05% | 1.68% |
| 15 | Vanguard World Fd | INF TECH ETF | $2,067,269 | 2,963 | 1.98% | 1.61% |
| 16 | Home Depot Inc | COM | $2,051,527 | 6,238 | 1.96% | 1.6% |
| 17 | Broadcom Inc | COM | $1,866,315 | 6,030 | 1.79% | 1.46% |
| 18 | Waste Mgmt Inc Del | COM | $1,738,535 | 7,566 | 1.66% | 1.36% |
| 19 | Walmart Inc | COM | $1,636,649 | 13,169 | 1.57% | 1.28% |
| 20 | Ishares Tr | IBOXX HI YD ETF | $1,594,064 | 20,036 | 1.53% | 1.24% |
| 21 | Meta Platforms Inc | CL A | $1,576,576 | 2,756 | 1.51% | 1.23% |
| 22 | Litman Gregory Fds Tr | IMGP DBI MANAGED | $1,429,532 | 47,414 | 1.37% | 1.12% |
| 23 | Microsoft Corp | COM | $1,424,333 | 3,848 | 1.36% | 1.11% |
| 24 | Vanguard Index Fds | VALUE ETF | $1,299,614 | 6,624 | 1.24% | 1.01% |
| 25 | Mastercard Incorporated | CL A | $1,069,695 | 2,141 | 1.02% | 0.84% |
Top 25 of 81 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 209 | $73.0M | 57.0% |
| High net worth individuals | 31 | $55.0M | 43.0% |
| Investment companies | 1 | $100K | 0.08% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Greg H Miller | Managing Member/Chief Compliance Officer | Dec 2010 (16y) | 50% – 75% | |
| Miller, Carole | Owner | Dec 2010 (16y) | 25% – 50% | |
| James Patrick Shields | Registered representative | Feb 2012 (14y) | ||
| Thomas Joseph Boris | Registered representative | Feb 2012 (14y) | ||
| Benjamin Hayden Pearce | Registered representative | Feb 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/11/2026 | 1.22 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
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $128M (100% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 11, 2026.
View current Form ADV (SEC/IAPD) ↗