Capital Guard Investments LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$21,387,530
Clients
20
80% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
20
LowAverage account size
$1,069,377
About
Capital Guard Investments LLC provides individualized portfolio management and financial planning to individual and high-net-worth clients, managing roughly $21.4 million for about 20 clients. The firm prepares an Investment Policy Statement for each client and generally recommends mutual funds, ETFs, equities, fixed income, real estate funds and other securities as part of ongoing account monitoring.
The adviser follows a Modern Portfolio Theory framework and may use long‑term and options strategies (including covered and uncovered options) alongside model allocations and tailored recommendations. Unusually for an independent adviser of this size, all reported assets are managed on a non‑discretionary basis, so the firm seeks client approval before effecting trades rather than exercising delegated trading authority.
Distinctive operational features include an affiliated insurance practice — the firm’s supervised person is a licensed insurance agent and may receive commissions for insurance sales, a conflict the firm discloses and documents when making recommendations — and a custody relationship with an institutional broker‑dealer that can provide research and services. The firm does not aggregate trades for multiple clients, a practice that can affect execution outcomes compared with advisers who block trades.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Fee options
$50,000 - $1,000,000: 1.00% $1,000,001 - $3,000,000: 0.50% $3,000,001+: 0.25%
$250 per hour
Account minimum: $50,000
Main office location
Capital Guard Investments LLC
Agoura Hills CA, United States
Number of offices
1
Most active in
Capital Guard Investments LLC has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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