Guide Wealth Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$42,098,507
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
37
43% high-net worth
Advisors
1
of 2 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
37
LowAverage account size
$1,137,797
About
Guide Wealth Management is a small SEC-registered advisory firm managing roughly $42 million for about 37 clients, serving individuals (including high‑net‑worth clients), businesses, trusts, estates, and retirement plans. It offers integrated wealth management combining investment management and financial planning with business tax preparation and tax representation delivered through an affiliated accounting practice.
The firm constructs individually tailored, discretionary portfolios that emphasize passive asset-allocation approaches supplemented by fundamental and cyclical analysis. GWM also uses derivatives-based strategies—such as covered calls, protective puts, collars, and spreads—and employs portfolio margining and borrowing in certain separately managed accounts as part of its risk‑management and capital‑efficiency toolkit.
Noteworthy aspects include the formal affiliation with a tax/accounting firm that provides one business-entity tax service credited against advisory fees and the principal’s substantial seasonal involvement (about 30% of his time between January and April 15) in that tax practice. GWM is also among a small subset of peers that disclose the use of derivatives and borrowing in client accounts and the attendant client disclosures, restrictions, and operational controls tied to portfolio‑margin arrangements.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Options & derivatives strategies
Passive / index investing
Tax-loss harvesting
General tax planning
Cash flow / budgeting
Fee options
$0 - $5,000,000: 1.50% $5,000,001 - $10,000,000: 1.00% Above $10,000,000+: 0.75%
Minimum fee: Client-specific minimum fee generally starts at $15,000 per year for Wealth Management Services Fee-only: Fees are charged based on assets under management and/or client minimum fee; no commissions or sales charges accepted.
Main office location
Guide Wealth Management
Putnam Valley NY, United States
Number of offices
2
Most active in
Guide Wealth Management has reported serving >5 clients in these states in the last 12 months.
Massachusetts · New York · Texas
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:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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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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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.
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