Capital Guard Investments LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Capital Guard Investments LLC provides individualized portfolio management and financial planning to individual and high-net-worth clients, managing roughly $21.4 million for about 20 clients. The firm prepares an Investment Policy Statement for each client and generally recommends mutual funds, ETFs, equities, fixed income, real estate funds and other securities as part of ongoing account monitoring.
The adviser follows a Modern Portfolio Theory framework and may use long‑term and options strategies (including covered and uncovered options) alongside model allocations and tailored recommendations. Unusually for an independent adviser of this size, all reported assets are managed on a non‑discretionary basis, so the firm seeks client approval before effecting trades rather than exercising delegated trading authority.
Distinctive operational features include an affiliated insurance practice — the firm’s supervised person is a licensed insurance agent and may receive commissions for insurance sales, a conflict the firm discloses and documents when making recommendations — and a custody relationship with an institutional broker‑dealer that can provide research and services. The firm does not aggregate trades for multiple clients, a practice that can affect execution outcomes compared with advisers who block trades.
Client services
Expertise
Fee options
$50,000 - $1,000,000: 1.00% $1,000,001 - $3,000,000: 0.50% $3,000,001+: 0.25%
$250 per hour
Account minimum: $50,000
Main office
5470 Luis Dr.
Agoura Hills CA 91301
Advisors at this office
1
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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