{"url":"https://nivawealth.com/firms/guardian-investment-management-104935","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/104935","regulatoryAum":310319536,"crd":"104935","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4231817","suffix":null,"lastName":"DOLEY","firstName":"DENISE","middleName":"LOUISE"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-19","regulatoryAum":276357699,"clients":90,"employees":3,"offices":1},{"filedOn":"2022-03-29","regulatoryAum":300810451,"clients":82,"employees":3,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":269657807,"clients":75,"employees":3,"offices":2},{"filedOn":"2024-03-29","regulatoryAum":304226392,"clients":179,"employees":3,"offices":2},{"filedOn":"2025-03-07","regulatoryAum":312829207,"clients":61,"employees":1,"offices":1},{"filedOn":"2026-03-06","regulatoryAum":310319536,"clients":53,"employees":0,"offices":1}],"secFileNumber":"801-11279","legalName":"Guardian 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They include 43 high-net-worth individuals and 10 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 6 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Guardian Investment Management offer?","answer":"Guardian Investment Management provides portfolio management for individuals and small businesses and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Guardian Investment Management use?","answer":"Guardian Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $167M, Merrill Lynch, Pierce, Fenner & Smith Incorporated (New York, NY), with $83.2M and Morgan Stanley Smith Barney LLC (San Francisco, CA), with $42.7M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 6 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"What does Guardian Investment Management invest in?","answer":"At the end of its last fiscal year, Guardian Investment Management’s separately managed accounts held 84% exchange-traded equities, 9% U.S. government and agency bonds, 6% cash and equivalents, 1% state and local bonds and 1% derivatives.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Guardian Investment Management?","answer":"Guardian Investment Management’s direct owners are Robert Tomasello (50% to 75%) and Denise Doley (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 6 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Guardian Investment Management get paid?","answer":"Guardian Investment Management is paid through a percentage of assets under management and fixed fees. 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}