Capital Guard Investments Llc
- Regulatory AUM
- $21.4M
- Discretionary
- $0
- Clients
- 20
- Avg AUM / client
- $1.1M
- Accounts
- 38
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 4 | $1.8M | 8.37% |
| High net worth individuals | 16 | $19.6M | 91.6% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Our Retirement Plan Diamond Group Llc | 2024 | |
| Monument Academy Inc 401(k) Profit Sharing Plan & Trust Monument Academy Inc | 2024 | |
| Harmonia Holdings Group, Llc 401(k) Plan Harmonia Holdings Group, Llc | 2024 | |
| B&A 401(k) Plan Bart & Associates, Llc | 2024 |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Thomas James Imhof | Registered representative | CFP | Sep 2025 (1y) |
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 (4)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Our Retirement Plan | Diamond Group Llc | 0 | $1.6M | 01/01/2024 |
| Monument Academy Inc 401(k) Profit Sharing Plan & Trust | Monument Academy Inc | 109 | $2.2M | 01/01/2024 |
| Harmonia Holdings Group, Llc 401(k) Plan | Harmonia Holdings Group, Llc | 395 | $37.1M | 01/01/2024 |
| B&A 401(k) Plan | Bart & Associates, Llc | 152 | $20.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/16/2026 | 1.05 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $21.4M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Mar 16, 2026.
View current Form ADV (SEC/IAPD) ↗