Guardian Rock Wealth Investment Management, Inc.

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Client assets under management

$45,536,747

Clients

50% high-net worth

Advisors

of 3 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Typical

Average account size

$569,209

About

Guardian Rock provides investment and portfolio management and financial planning to individuals, trusts, retirement plans, and charitable organizations, serving both high-net-worth and non‑HNW clients. Its services include ongoing discretionary portfolio management as well as one-time or segmented financial planning engagements.

The firm’s investment approach centers on its proprietary Advocacy Investing® strategy, which blends fundamental analysis with values‑based and governance screens to build customized, diversified portfolios (typically about 30–35 individual securities). Portfolios may include equities, mutual funds, ETFs, fixed income, options, and structured notes and are tailored to each client’s risk tolerance, tax considerations, and objectives.

Compared with many peers, Guardian Rock discloses the use of client testimonials in its advertising, a practice relatively uncommon among similarly sized advisers. It also emphasizes highly customized screening and targeted model portfolios across environmental, social justice, and corporate governance themes, and discloses that a firm principal is a licensed insurance agent who may recommend or sell insurance products.

Client services

Financial planning Portfolio management

Expertise

ESG / Sustainable investing Options & derivatives strategies Wealth management Long-term care insurance General estate planning guidance

Fee options

Percentage

$0 - $500,000: 1.25% $500,001 - $1,000,000: 0.80% $1,000,001 - $5,000,000: 0.75% $5,000,001 - $10,000,000: 0.65% $10,000,001 - $25,000,000: 0.60% $25,000,001+: 0.40%

Commissions

Insurance commissions are earned by John Browning when recommending insurance products, which presents a conflict of interest.

Other

Account minimum: No minimum initial account value for retail clients, but the minimum annual fee of $6,250 (equivalent to 1.25% of $500,000) effectively sets a minimum fee threshold. The firm will aggregate related client accounts at the same address to meet the minimum annual fee. Minimum fee: Minimum annual fee of $6,250 per account relationship. Fee-only: Financial planning fees range from $3,000 to $6,000 per engagement.

Main office location

Guardian Rock Wealth Investment Management, Inc.

3333 Warrenville Road, Suite 200

Lisle IL 60532, United States

Number of offices

Most active in

Florida · Illinois · North Carolina

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

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

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.

Lawyer

They provide legal services, typically billed separately.

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

Quick links

LinkedIn Facebook Instagram Website 312-372-5000

Advisors at this firm

Roy N

Series 63, Series 65

Pinehurst, NC

Guardian Rock Wealth Investment Management, Inc.

Roy Neal is a financial advisor at Guardian Rock Wealth Investment Management, Inc. with 40 years of industry experience. He previously worked at Thurston Springer Miller Herd & Titak, Inc. for six years before joining Guardian Rock in 2021. Neal holds Series 63 and Series 65 licenses. Guardian Rock provides investment and portfolio management as well as financial planning services to individuals, trusts, retirement plans, and charitable organizations, serving both high-net-worth and non-high-net-worth clients. The firm uses its proprietary Advocacy Investing® strategy, combining fundamental analysis with values-based and governance screens to create customized, diversified portfolios tailored to clients’ risk tolerance and objectives.

ESG / Sustainable investing Options & derivatives strategies Wealth management Long-term care insurance General estate planning guidance

John B

Series 63, Series 65

Palm Springs, FL

Guardian Rock Wealth Investment Management, Inc.

John Browning is a financial advisor with Guardian Rock Wealth Investment Management, Inc. in Palm Springs, FL, holding Series 63 and Series 65 licenses and bringing 33 years of industry experience. His prior work includes positions at Marc J. Lane & Company, Hennion & Walsh, Nuveen Investments, and Incapital. He also works as an independent life and health insurance agent. Guardian Rock provides investment and portfolio management as well as financial planning to individuals, trusts, retirement plans, and charitable organizations, employing a proprietary Advocacy Investing® strategy that integrates fundamental analysis with values-based and governance screening to create customized, diversified portfolios.

ESG / Sustainable investing Options & derivatives strategies Wealth management Long-term care insurance General estate planning guidance

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