Guardian Financial Partners provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.
Guardian Financial Partners reports 433 clients. They include 246 high-net-worth individuals, 181 individual clients, and 6 pension and profit-sharing plans. Of its assets, 100.0% ($912M across 906 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $552M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 42% | 9% |
| High-net-worth individuals | 57% | 36% |
| Pension and profit-sharing plans | 1% | 52% |
| Charitable organizations | Fewer than 5 | 2% |
| Corporations and other businesses | Fewer than 5 | 1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 181 | $83.8M | 9.2% | $463K |
| High-net-worth individuals | 246 | $327M | 35.9% | $1.33M |
| Pension and profit-sharing plans | 6 | $473M | 51.9% | $78.9M |
| Charitable organizations | Fewer than 5 | $16.5M | 1.8% | — |
| Corporations and other businesses | Fewer than 5 | $11M | 1.2% | — |
| Total | 433 | $912M | 100% | — |
- Clients
- 181
- Regulatory AUM
- $83.8M
- AUM share
- 9.2%
- Avg. per client
- $463K
- Clients
- 246
- Regulatory AUM
- $327M
- AUM share
- 35.9%
- Avg. per client
- $1.33M
- Clients
- 6
- Regulatory AUM
- $473M
- AUM share
- 51.9%
- Avg. per client
- $78.9M
- Clients
- Fewer than 5
- Regulatory AUM
- $16.5M
- AUM share
- 1.8%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $11M
- AUM share
- 1.2%
- Avg. per client
- —
Total
- Clients
- 433
- Regulatory AUM
- $912M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Guardian Financial Partners is paid through a percentage of assets under management and fixed fees (other than subscription fees); its fees and minimums are set out in its brochures on the SEC website.
Hung Nguyen owns 25% to 50% of Guardian Financial Partners. The leadership team of Guardian Financial Partners includes Chief Compliance Officer Hung Nguyen. It has 4 employees, 3 of them in advisory roles.
Leadership
- Hung NguyenChief Compliance Officer & Managing Member
- Casey BartelsManaging Member
- Patrick GuinetManaging Member
Investment adviser representatives
8 representatives listed in the SEC register as of 9 October 2026.
- Casey Steven Bartels
- John Felix Bodovitz
- Patrick Claude Robert Guinet
- Paula Jane Hart
- Hung Phuc Nguyen
- Sharon Oberlander Novell Mrs.
- Norris Benedict Perez Jr.
- Ilkay Sepulveda
Staff
- 4 employees
- 3 in advisory functions
- 3 state-registered reps
- 1 insurance agent
- 14 soliciting firms
- Owns 25% to 50% of Guardian Financial Partners, LLC
Hung Nguyen
Control person · since April 2017
- Owns 25% to 50% of Guardian Financial Partners, LLC
PT3GB, LLC
Control person · since April 2017
- Owns 25% to 50% of Guardian Financial Partners, LLC
HMGL LLC
Control person · since April 2017
- Owns 25% to 50% of Guardian Financial Partners, LLC
CK Financial LLC
Control person · since April 2017
- Owns 25% to 50% of Guardian Financial Partners, LLC
Casey Bartels
Control person · since April 2017
- Owns 25% to 50% of Guardian Financial Partners, LLC
Patrick Guinet
Control person · since April 2017
Guardian Financial Partners’ regulatory assets grew from $683M (June 2021) to $912M (February 2026); clients rose from 271 to 433 and employees fell from 6 to 4.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| February 2026 | $912M | 433 | 4 | 1 |
| February 2025 | $836M | 396 | 5 | 1 |
| March 2024 | $764M | 359 | 5 | 1 |
| February 2023 | $675M | 311 | 4 | 1 |
| March 2022 | $749M | 285 | 5 | 1 |
| June 2021 | $683M | 271 | 6 | 1 |
Besides its headquarters, Guardian Financial Partners has 0 offices, with 1 listed address in California.
California · 1 listed address
- 635 E. Chapman Ave., OrangeHQ
Contact and registration details
- Legal name
- Guardian Financial Partners, LLC
- Headquarters
- 635 E. Chapman Ave., Orange, CA 92866
- Phone
- 949-771-2969
- @guardian-financial-partners
- SEC file
- 801-110423
- Structure
- California LLC
- Fiscal year end
- December
Guardian Financial Partners uses Charles Schwab ($912M) as custodian for its separately managed accounts. Guardian Financial Partners has custody of $86.6M in client assets for 134 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $912M100%
At year end, Guardian Financial Partners’ separately managed accounts were mostly in funds (61%) and stocks (25%). Its reported 13F holdings for the quarter ended 30 June 2026 total $257M across 69 positions; the largest are Janus Detroit Str TR (8.6%), Series Portfolios TR (7.9%) and Vanguard Index Fds (6.9%).
What the accounts hold
- Stocks25%
- Exchange-traded equities22%
- Non-exchange-traded equities3%
- Funds61%
- Bonds11%
- Investment grade corporate bonds4%
- U.S. government and agency bonds3%
- High-yield corporate bonds2%
- State and local bonds1%
- Sovereign bonds1%
- Cash3%
Reported 13F holdings
- $257M
- Reported 13F value
- 69
- Positions
- 56.7%
- In the 10 largest
- +8.5%
- Value vs. prior quarter
- Janus Detroit Str TR · Hend Secu IN ETF8.6%
- Series Portfolios TR · Eldridge Bbb B7.9%
- Vanguard Index Fds · S&P 500 ETF Shs6.9%
- Schwab Strategic TR · Intl Eqty ETF6.8%
- Berkshire Hathaway Inc. Del · CL A5.8%
- Alps ETF TR · Smith Core Plus5.3%
- Schwab Strategic TR · US Lrg Cap ETF4.8%
- Schwab Strategic TR · Fundamental US L3.8%
- Vanguard Whitehall Fds · Intl High ETF3.4%
- Schwab Strategic TR · US Dividend EQ3.4%
Together, the ten largest are 56.7% of reported value.
How many clients does Guardian Financial Partners have?
Guardian Financial Partners has 433 clients and manages $912 million for them, as of February 2026. They include 246 high-net-worth individuals, 181 individual clients, and 6 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 5 February 2026
What services does Guardian Financial Partners offer?
Guardian Financial Partners provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Guardian Financial Partners use?
Guardian Financial Partners’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $912M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 February 2026
How many financial advisors does Guardian Financial Partners have?
Guardian Financial Partners has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Guardian Financial Partners invest in?
At the end of its last fiscal year, Guardian Financial Partners’ separately managed accounts held 61% registered funds (mutual funds, ETFs, BDCs), 22% exchange-traded equities, 4% investment grade corporate bonds, 3% non-exchange-traded equities, 3% U.S. government and agency bonds, 3% cash and equivalents, 2% high-yield corporate bonds, 1% state and local bonds and 1% sovereign bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Guardian Financial Partners?
Guardian Financial Partners’ direct owners are Hung Nguyen, PT3GB, LLC, HMGL LLC, CK Financial LLC, Casey Bartels and Patrick Guinet, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 5 February 2026
How does Guardian Financial Partners get paid?
Guardian Financial Partners is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Guardian Financial Partners?
Guardian Financial Partners’ main office is at 635 E. Chapman Ave., Orange, CA 92866. Its phone number is 949-771-2969. Its website is guardianfinancialpartners.com.