Capital Guardian Wealth Management, LLC (Miami)

Name: Capital Guardian Wealth Management, LLC
Address: 1395 Brickell Avenue, Suite 800, Miami, FL, 33131
Telephone: 786-594-4400

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.

Capital Guardian Wealth Management: assets under management

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 firm manages $465 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $540.7 thousand each.

Investments

The firm invests in investment and business development companies the most. They account for 29% of the total AUM. The second-largest asset type is exchange traded securities, which make up 27% of the firm’s portfolio. Investments in government bonds form 20% of the total invested assets.

Fees & Commissions

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. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Richard Thomas Moran serves?

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.

Careers at Capital Guardian Wealth Management, LLC

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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Matthew Adam Chotkowski	Chief compliance officer	1 Dec 2006	Other	5233117
David Watts Mcmahan	Chief operations officer	1 Jan 2009	Other	3078266
Michael Eric Fayed	Chief financial officer	1 Jan 2009	Other	3230462
David Alan Boyer	Chief executive officer	1 Jan 2009	Other	4284554
Llc Capital Guardian Holding	Owner	1 Jan 2009	75% - 100%	94-3459695
Llc Capital Guardian Holding	Owner	1 Jul 2009	75% - 100%	94-3459695
Llc Capital Guardian Holding Company	Owner	1 Jul 2009	75% - 100%	94-3459695
Franklin Thomas Gutierrez	Chief compliance officer	1 Dec 2009	Other	1796271
Walter Russell Costenbader	Chief complaince officer	1 Sep 2014	Other	1828345
Joseph Harold Gieker	Ceo	1 Nov 2014	Other	2331712
James C Ball	Compliance officer	1 Nov 2014	Other	4434124
James C Ball	Chief compliance officer	1 Jan 2015	Other	4434124
Keith Edward Gregg	Chief executive officer	1 Jan 2015	Other	1621694
Richard Thomas Moran	President	1 Jan 2015	Other	2288850
Karl Willem Lohwater	Manager	1 Jan 2015	Other	2684561
Sandro Louis Ramos	Chief compliance officer	1 Oct 2015	Other	1695283
Justin Peter Lowe	Manager	1 Mar 2016	25% - 50%	3114310
Gregory Papin Hogan	Manager	1 Mar 2016	Other	1647874
James C Ball	Manager	1 Mar 2016	Other	4434124
Greg Hogan	Manager	1 Mar 2016	Other	6632707
Sandro Louis Ramos	Md / amlco	1 Sep 2016	Other	1695283
James C Ball	Cco	1 Sep 2016	Other	4434124
Sandro Louis Ramos	Cco interim	1 Jan 2017	Other	1695283
Stephen Rocco Facella	Managing member	1 Jan 2017	Other	2912309
Stephen R Facella	Pres	1 Jan 2017	Other	2912309

Indirect Owners

The SEC currently registers 12 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Alexander Chatfield Burns	Owner	1 May 2010	75% - 100%	4823069
Andrew Brian Scherr	Owner	1 May 2010	75% - 100%	2830943
Llc Capital L Group	Owner	1 Jan 2011	75% - 100%	41-2177617
Theo Muller	Owner	1 May 2012	50% - 75%	6125501
Avery Ellis Llc	Owner	1 Jun 2013	Other	27-3547033
Heartland Family Group Llc	Owner	1 Jun 2013	50% - 75%	46-0854372
Southport Lane Securities Llc	Owner	1 Jun 2013	75% - 100%	46-3641788
Southport Lane Inc	Owner	1 Jun 2013	75% - 100%	46-3131201
Llc Northern Star Capital Management	Owner	1 Jan 2015	50% - 75%	47-2980761
Llc Northern Star Capital Holdings	Owner	1 Jan 2015	50% - 75%	27-1261043
Justin Peter Lowe	Owner	1 Jan 2015	25% - 50%	3114310
Patrick Robert Lebedis	Owner	1 Jan 2015	25% - 50%	4046716

Based in Miami

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.