Capital Guardian Wealth Management, LLC is a large advisory firm based in Miami. It manages $465 million of regulatory assets for 860 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of California, Colorado, Florida, and 13 other states.
Capital Guardian Wealth Management provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Capital Guardian Wealth Management, LLC is $465 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 316% since the beginning of its operation, and $70 million of the total AUM is attributable to clients outside of the United States.
The advisory firm has several streams of revenue. Clients pay Capital Guardian Wealth Management, LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The firm provides services to individuals, insurance companies, other investment advisers, high net worth individuals, pooled investment vehicles, banking or thrift institutions, and corporations or other businesses. The largest group of clients of Richard Thomas Moran is high net worth individuals with 56 clients and $163.97 million of assets under management. Among the 13 most similar advisory firms, Capital Guardian Wealth Management has the 7th highest percentage of high net worth individuals out of all clients.
The amount of regulatory assets under management is $465 million for 860 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 15% of the firm’s clients are foreign persons or businesses.
Capital Guardian Wealth Management doesn't advise any private funds.
The company employs 30 people that are either part- or full-time employees. 77 percent of the employees work as investment advisers or researchers. 20 employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Richard Thomas Moran has been acting as President since 1 Jan 2015. Sandro Louis Ramos joined the executive team most recently as the Cco Interim.
The principal office where Capital Guardian Wealth Management, LLC performs its advisory services is located at 1395 Brickell Avenue, Suite 800, Miami, FL 33131, which is also the mailing address of the firm. An additional office of the firm is in Winter Park, FL. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 786-594-4400 or by fax 786-594-4401. The normal business hours are 9:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at capitalguardianllc.com.