Guardian Capital, LLC

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Client assets under management

$127,950,000

Clients

240

13% high-net worth

Advisors

of 4 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

High

Average account size

$533,125

About

Guardian Capital, LLC is a fee-based investment adviser that manages about $128 million for roughly 240 clients, serving individuals, high-net-worth clients, pension and profit-sharing plans, trusts, estates, charitable organizations and small businesses. It offers discretionary portfolio management, financial planning and limited-scope ERISA 3(21) retirement-plan advisory services.

The firm documents client goals in Investment Policy Statements and implements strategies using common stocks, mutual funds and exchange-traded funds, including portfolios that may contain leveraged or derivative-based ETFs. Guardian Capital also uses model marketplace services (AIM’s Nucleus) and may engage sub‑advisors to provide ongoing portfolio monitoring and discretionary trading on behalf of clients.

Guardian Capital’s brochure discloses that several supervised persons maintain separate legal and estate‑planning practices and that the managing member’s principal business is estate planning, arrangements the firm acknowledges as conflicts of interest and addresses through disclosures and procedures. The firm also reported a 2025 consent order with a state regulator concerning business‑continuity procedures and provides detailed ERISA plan‑service terms and exclusions that may be material for plan sponsors evaluating its services.

Client services

Financial planning Portfolio management Pension consulting Selection of other advisers

Expertise

General estate planning guidance Cash flow / budgeting General tax planning College savings (529s, UTMA, etc.)

Occupation focus

Founder/Business Owner Retired

Fee options

Fixed

Financial planning services with negotiable fixed fees up to $3,000

Percentage

$0 - $500,000: 1.50% annually $500,001 - $1,000,000: 1.20% annually $1,000,001 - $2,000,000: 1.00% annually $2,000,001 - $3,000,000: 0.80% annually $3,000,001+: 0.50% annually

Project-based

$150 per hour for financial planning services

Other

Account minimum: $25,000 Fee-only: Financial planning fixed fees up to $3,000; hourly fees $150 per hour (fees negotiable)

Main office location

Guardian Capital, LLC

109 Vip Drive

Wexford PA 15090, United States

Number of offices

Most active in

Pennsylvania · Texas

Disclosures

Business activities & affiliations

Is active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Lawyer

They provide legal services, typically billed separately.

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.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

Website 724-934-3050

Advisors at this firm

Benjamin P

Series 66

Wexford, PA

Guardian Capital, LLC

Benjamin Pearce is a financial advisor at Guardian Capital, LLC with eight years of industry experience. He holds a Series 66 designation and previously worked at PNC Investments, Edward Jones Investments, Quicken Loans Inc., and Target Corporation. Pearce is based in Wexford, Pennsylvania. Guardian Capital, LLC is a fee-based investment adviser managing approximately $128 million for around 240 clients, including individuals, high-net-worth clients, pension and profit-sharing plans, trusts, estates, charitable organizations, and small businesses. The firm offers discretionary portfolio management, financial planning, and limited-scope ERISA 3(21) retirement-plan advisory services.

General estate planning guidance Cash flow / budgeting General tax planning College savings (529s, UTMA, etc.) Founder/Business Owner Retired

Greg M

Series 63, Series 65

Wexford, PA

Guardian Capital, LLC

Greg Miller is a financial advisor with Guardian Capital, LLC, holding Series 63 and Series 65 credentials and 19 years of industry experience. He has been with Guardian Capital since 2010 and also operates Greg Miller & Associates, where he provides estate planning services and insurance products. Additionally, he is a franchise owner of SportsClips in Pennsylvania. Guardian Capital, LLC is a fee-based investment adviser managing approximately $128 million for around 240 clients, including individuals, high-net-worth clients, pension and profit-sharing plans, trusts, estates, charitable organizations, and small businesses. The firm offers discretionary portfolio management, financial planning, and limited-scope ERISA 3(21) retirement-plan advisory services.

General estate planning guidance Cash flow / budgeting General tax planning College savings (529s, UTMA, etc.) Founder/Business Owner Retired

James S

Series 63

Wexford, PA

Guardian Capital, LLC

James Shields is a financial advisor at Guardian Capital, LLC with 14 years of industry experience. He holds a Series 63 designation and has been with Guardian Capital since 2012. In addition to his advisory role, Shields is a managing partner and attorney at the Elder Care Offices of Shields & Boris, where he manages the law firm and provides legal representation, focusing on estate planning and related legal services. Guardian Capital, LLC manages approximately $128 million for around 240 clients, including individuals, high-net-worth clients, pension and profit-sharing plans, trusts, estates, charitable organizations, and small businesses. The firm offers discretionary portfolio management, financial planning, and limited-scope ERISA 3(21) retirement-plan advisory services using a range of investment strategies and tools.

General estate planning guidance Cash flow / budgeting General tax planning College savings (529s, UTMA, etc.) Founder/Business Owner Retired

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