{"url":"https://nivawealth.com/firms/guardian-wealth-management-118668","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/118668","regulatoryAum":411118208,"crd":"118668","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7238142","suffix":null,"lastName":"CROW","firstName":"DARYL","middleName":"PAUL"},{"crd":"4931527","suffix":null,"lastName":"MOTTE","firstName":"JAMES","middleName":"LAMAR"},{"crd":"8215043","suffix":"III","lastName":"Palacios","firstName":"Eduardo","middleName":null},{"crd":"7637561","suffix":null,"lastName":"RAPER","firstName":"JAMES","middleName":"CHRISTOPHER"},{"crd":"7637368","suffix":null,"lastName":"REID","firstName":"LAURA","middleName":"ANN"},{"crd":"4508518","suffix":"JR.","lastName":"VANLANDINGHAM","firstName":"DONALD","middleName":"CRANFORD"}],"total":6,"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":"2021-03-16","regulatoryAum":288960049,"clients":231,"employees":10,"offices":1},{"filedOn":"2022-04-11","regulatoryAum":344109696,"clients":288,"employees":9,"offices":1},{"filedOn":"2023-04-03","regulatoryAum":306573921,"clients":304,"employees":11,"offices":2},{"filedOn":"2024-02-27","regulatoryAum":320884080,"clients":301,"employees":10,"offices":2},{"filedOn":"2025-05-15","regulatoryAum":343098000,"clients":334,"employees":10,"offices":2},{"filedOn":"2026-07-06","regulatoryAum":411118208,"clients":348,"employees":11,"offices":2}],"secFileNumber":"801-61330","legalName":"Guardian Wealth Management, LLC","displayName":"Guardian Wealth Management","slug":"guardian-wealth-management-118668","website":"https://guardianwealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/guardian-wealth-management-inc-","founded":"1997","organization":"Tennessee limited liability company","fiscalYearEnd":"December","headquarters":{"street":"736 Market Street, Suite 1320","city":"Chattanooga","state":"TN","stateName":"Tennessee","country":"United States","postalCode":"37402"},"tradeNames":[],"registration":{"secApproved":"19 July 2002","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1172332.3908045976,"staff":{"employees":11,"advisory":5,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":411118208,"discretionary":406027010,"discretionaryAccounts":1161,"nonDiscretionary":5091198,"nonDiscretionaryAccounts":52,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":226,"regulatoryAum":60462031},{"label":"High-net-worth individuals","clients":122,"regulatoryAum":347509641},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":3146536}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050783","versionId":1050783,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-07-06","documentName":"GWM - FIRM BROCHURE","fee_rate_low":0.75,"fee_rate_high":1.5,"fee_negotiable":null,"minimum_account":500000,"feeMinimumPeriod":"annual","fee_minimum_annual":5000},{"role":"other","program":"Financial Planning & Consultations","summary":"Billed hourly at $200 for financial advisors with a $200 minimum, or as a flat fee; a comprehensive financial plan is generally $2,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050783","versionId":1050783,"submittedOn":"2026-07-06","documentName":"GWM - FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T08:43:05.217191+00:00","documents":[{"name":"GWM - FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050783","versionId":1050783,"submittedOn":"2026-07-06"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":370336575}],"custodyNote":"Guardian Wealth Management has custody of $5.6M for 19 clients.","otherCustodians":[],"leadership":[{"name":"James Motte","title":"Chief Compliance Officer","crd":"4931527"}],"ownership":[{"label":"GWM Holdings, Inc","detail":"Owner in the 50% to 75% ownership band and a control person, since January 2025."},{"label":"Mauldin & Jenkins, LLC","detail":"Owner in the 50% to 75% ownership band and a control person, since January 2025."},{"label":"Donald Vanlandingham","detail":"Indirect owner: owner, president & ceo of GWM Holdings, Inc and a control person, since January 2025.","parent":"GWM Holdings, Inc"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Tennessee","offices":1,"addresses":[{"street":"736 Market Street, Suite 1320","city":"Chattanooga","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"423-510-0409","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":79},{"label":"Non-exchange-traded equity securities","percent":18},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"6 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/118668/PDF/118668.pdf","brochureDate":"6 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050783","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Guardian Wealth Management have?","answer":"Guardian Wealth Management has 348 clients and manages $411 million for them, as of July 2026. They include 226 individual clients and 122 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 6 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Guardian Wealth Management offer?","answer":"Guardian Wealth Management provides financial planning, portfolio management for individuals and small businesses, education planning, estate planning, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Guardian Wealth Management charge?","answer":"Guardian Wealth Management charges 0.75%–1.50% a year for its Asset Management. The fee is billed in advance, has a $5,000 annual minimum and requires an account of at least $500,000.","source":"GWM - FIRM BROCHURE, filed 6 July 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Guardian Wealth Management use?","answer":"Guardian Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $370M. 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 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Guardian Wealth Management have?","answer":"Guardian Wealth Management has 5 investment adviser representatives registered with state securities authorities, out of 11 employees, and 5 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Guardian Wealth Management invest in?","answer":"At the end of its last fiscal year, Guardian Wealth Management’s separately managed accounts held 79% exchange-traded equities, 18% non-exchange-traded equities and 3% cash and equivalents.","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":"Does Guardian Wealth Management have a minimum investment?","answer":"Yes, Guardian Wealth Management’s minimum account size for its Asset Management is $500K. It charges a $5K annual minimum fee.","source":"GWM - FIRM BROCHURE, filed 6 July 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Guardian Wealth Management?","answer":"Guardian Wealth Management’s direct owners are GWM Holdings, Inc (50% to 75%) and Mauldin & Jenkins, LLC (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 6 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Guardian Wealth Management get paid?","answer":"Guardian Wealth Management is paid through a percentage of assets under management, hourly charges 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Guardian Wealth Management?","answer":"Guardian Wealth Management’s main office is at 736 Market Street, Suite 1320, Chattanooga, TN 37402. Its phone number is 423-510-0409. Its website is guardianwealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 6 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/guardian-wealth-management-118668/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-24","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2095373/000209537326000003/0002095373-26-000003-index.html","totalValue":356701503,"positionCount":30,"top10Share":0.7295794797926601,"top10":[{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US MKTWIDE VALUE","cusip":"25434V724","value":45346583,"shares":824333,"shareType":"SH","priorValue":40876516,"priorShares":843510},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US EQUI MARK ETF","cusip":"25434V401","value":40540568,"shares":494759,"shareType":"SH","priorValue":35262138,"priorShares":497280},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US SMALL CAP ETF","cusip":"25434V500","value":27863313,"shares":338393,"shareType":"SH","priorValue":24222355,"priorShares":340536},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"GLOBAL REAL EST","cusip":"25434V658","value":26435617,"shares":912517,"shareType":"SH","priorValue":24063432,"priorShares":905321},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"INTL COR FIX ETF","cusip":"25434V575","value":26099006,"shares":486969,"shareType":"SH","priorValue":23517231,"priorShares":448370},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US TARGETED VLU","cusip":"25434V609","value":24639695,"shares":352499,"shareType":"SH","priorValue":22298973,"priorShares":357069},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"SHOR DUR FIX ETF","cusip":"25434V864","value":23362505,"shares":489267,"shareType":"SH","priorValue":21507079,"priorShares":449187},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"CORE FIXE IN ETF","cusip":"25434V872","value":18304039,"shares":433642,"shareType":"SH","priorValue":17041068,"priorShares":403625},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"INTERNATNAL VAL","cusip":"25434V807","value":13846842,"shares":256328,"shareType":"SH","priorValue":13731939,"priorShares":257587},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"INTL CORE EQT MK","cusip":"25434V203","value":13803929,"shares":334641,"shareType":"SH","priorValue":12921958,"priorShares":331672}],"positionsListed":30,"positions":[{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US MKTWIDE VALUE","cusip":"25434V724","value":45346583,"shares":824333,"shareType":"SH","priorValue":40876516,"priorShares":843510},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US EQUI MARK ETF","cusip":"25434V401","value":40540568,"shares":494759,"shareType":"SH","priorValue":35262138,"priorShares":497280},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US SMALL CAP ETF","cusip":"25434V500","value":27863313,"shares":338393,"shareType":"SH","priorValue":24222355,"priorShares":340536},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"GLOBAL REAL EST","cusip":"25434V658","value":26435617,"shares":912517,"shareType":"SH","priorValue":24063432,"priorShares":905321},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"INTL COR FIX ETF","cusip":"25434V575","value":26099006,"shares":486969,"shareType":"SH","priorValue":23517231,"priorShares":448370},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US TARGETED VLU","cusip":"25434V609","value":24639695,"shares":352499,"shareType":"SH","priorValue":22298973,"priorShares":357069},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"SHOR DUR FIX ETF","cusip":"25434V864","value":23362505,"shares":489267,"shareType":"SH","priorValue":21507079,"priorShares":449187},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"CORE FIXE IN ETF","cusip":"25434V872","value":18304039,"shares":433642,"shareType":"SH","priorValue":17041068,"priorShares":403625},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"INTERNATNAL VAL","cusip":"25434V807","value":13846842,"shares":256328,"shareType":"SH","priorValue":13731939,"priorShares":257587},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"INTL CORE EQT MK","cusip":"25434V203","value":13803929,"shares":334641,"shareType":"SH","priorValue":12921958,"priorShares":331672},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"EMERGING MKTS VA","cusip":"25434V740","value":13753247,"shares":322338,"shareType":"SH","priorValue":12410257,"priorShares":346462},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"EMGR CRE EQT MNG","cusip":"25434V302","value":13713084,"shares":341037,"shareType":"SH","priorValue":12258381,"priorShares":362031},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"INTL SMALL CAP E","cusip":"25434V773","value":12505604,"shares":356997,"shareType":"SH","priorValue":12152533,"priorShares":356695},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"INTL SMALL CAP V","cusip":"25434V781","value":12170374,"shares":303274,"shareType":"SH","priorValue":12190391,"priorShares":306061},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"NATL MUN BD ETF","cusip":"25434V849","value":9570895,"shares":198012,"shareType":"SH","priorValue":8957335,"priorShares":186884},{"issuer":"VANGUARD SCOTTSDALE FDS","titleOfClass":"SHORT TERM TREAS","cusip":"92206C102","value":8803623,"shares":151265,"shareType":"SH","priorValue":8879581,"priorShares":151684},{"issuer":"VANGUARD WORLD FD","titleOfClass":"ENERGY ETF","cusip":"92204A306","value":5711562,"shares":38044,"shareType":"SH","priorValue":7070431,"priorShares":40860},{"issuer":"VANGUARD WORLD FD","titleOfClass":"MATERIALS ETF","cusip":"92204A801","value":5504305,"shares":24058,"shareType":"SH","priorValue":5433021,"priorShares":24110},{"issuer":"ISHARES GOLD TR","titleOfClass":"ISHARES NEW","cusip":"464285204","value":5291391,"shares":70075,"shareType":"SH","priorValue":6033340,"priorShares":67733},{"issuer":"VANGUARD WORLD FD","titleOfClass":"HEALTH CAR ETF","cusip":"92204A504","value":4480718,"shares":14985,"shareType":"SH","priorValue":3937123,"priorShares":14457},{"issuer":"DANAHER CORP DEL","titleOfClass":"COM","cusip":"235851102","value":1115832,"shares":5858,"shareType":"SH","priorValue":1214578,"priorShares":6406},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US REAL ESTA ETF","cusip":"25434V823","value":1003130,"shares":38346,"shareType":"SH","priorValue":994867,"priorShares":42066},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"ULTR FIX INC ETF","cusip":"25434V591","value":989093,"shares":19478,"shareType":"SH","priorValue":916279,"priorShares":18069},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US COR EQU 2 ETF","cusip":"25434V708","value":325892,"shares":7347,"shareType":"SH","priorValue":264359,"priorShares":6803},{"issuer":"COLGATE PALMOLIVE CO","titleOfClass":"COM","cusip":"194162103","value":290992,"shares":3174,"shareType":"SH"},{"issuer":"APPLE INC","titleOfClass":"COM","cusip":"037833100","value":289360,"shares":1000,"shareType":"SH","priorValue":248207,"priorShares":978},{"issuer":"GLOBAL PMTS INC","titleOfClass":"COM","cusip":"37940X102","value":264459,"shares":3645,"shareType":"SH","priorValue":244407,"priorShares":3632},{"issuer":"AMAZON COM INC","titleOfClass":"COM","cusip":"023135106","value":235480,"shares":988,"shareType":"SH","priorValue":228680,"priorShares":1098},{"issuer":"WALMART INC","titleOfClass":"COM","cusip":"931142103","value":235354,"shares":2078,"shareType":"SH","priorValue":259497,"priorShares":2088},{"issuer":"SOUTHERN CO","titleOfClass":"COM","cusip":"842587107","value":205011,"shares":2142,"shareType":"SH","priorValue":205588,"priorShares":2130}]},"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. 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."}