Guardian Capital, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$127,950,000
Clients
240
Advisors
4
of 4 employees
About
Guardian Capital, LLC is a fee-based investment adviser that manages about $128 million for roughly 240 clients, serving individuals, high-net-worth clients, pension and profit-sharing plans, trusts, estates, charitable organizations and small businesses. It offers discretionary portfolio management, financial planning and limited-scope ERISA 3(21) retirement-plan advisory services.
The firm documents client goals in Investment Policy Statements and implements strategies using common stocks, mutual funds and exchange-traded funds, including portfolios that may contain leveraged or derivative-based ETFs. Guardian Capital also uses model marketplace services (AIM’s Nucleus) and may engage sub‑advisors to provide ongoing portfolio monitoring and discretionary trading on behalf of clients.
Guardian Capital’s brochure discloses that several supervised persons maintain separate legal and estate‑planning practices and that the managing member’s principal business is estate planning, arrangements the firm acknowledges as conflicts of interest and addresses through disclosures and procedures. The firm also reported a 2025 consent order with a state regulator concerning business‑continuity procedures and provides detailed ERISA plan‑service terms and exclusions that may be material for plan sponsors evaluating its services.
Client services
Expertise
Occupation focus
Fee options
Financial planning services with negotiable fixed fees up to $3,000
$0 - $500,000: 1.50% annually $500,001 - $1,000,000: 1.20% annually $1,000,001 - $2,000,000: 1.00% annually $2,000,001 - $3,000,000: 0.80% annually $3,000,001+: 0.50% annually
$150 per hour for financial planning services
Account minimum: $25,000 Fee-only: Financial planning fixed fees up to $3,000; hourly fees $150 per hour (fees negotiable)
Main office
109 Vip Drive
Wexford PA 15090
Advisors at this office
4
Most active in
Pennsylvania · Texas
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.
Lawyer
They provide legal services, typically billed separately.
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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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.
Advisors at this firm
Benjamin P
Series 66
Wexford, PA
Guardian Capital, LLC
Benjamin Pearce is a financial advisor with Guardian Capital, LLC in Wexford, PA, holding a Series 66 designation and eight years of industry experience. Prior to joining Guardian Capital in 2025, he worked at PNC Investments for seven years and had roles at Edward Jones Investments and Quicken Loans Inc. Guardian Capital, LLC is a fee-based investment adviser managing approximately $128 million for around 240 clients, including individuals, high-net-worth clients, pension and profit-sharing plans, trusts, estates, charitable organizations, and small businesses. The firm provides discretionary portfolio management, financial planning, and limited-scope ERISA 3(21) retirement-plan advisory services.
Thomas B
Wexford, PA
Guardian Capital, LLC
Thomas Boris is a financial advisor with Guardian Capital, LLC, where he has worked for 14 years. He holds legal credentials and has also practiced law at the Elder Law Offices of Shields & Boris for over 22 years. Outside of his financial advisory role, he maintains an active legal practice specializing in elder law and insurance services. Guardian Capital, LLC manages approximately $128 million for about 240 clients, including individuals, high-net-worth clients, pension plans, trusts, and charitable organizations. The firm provides discretionary portfolio management, financial planning, and retirement-plan advisory services using a variety of investment strategies and third-party model services.
Greg M
Series 63, Series 65
Wexford, PA
Guardian Capital, LLC
Greg Miller is a financial advisor with Guardian Capital, LLC, holding Series 63 and Series 65 credentials and 19 years of industry experience. He has been with Guardian Capital since 2010 and also operates Greg Miller & Associates, where he provides estate planning services and insurance products. Additionally, he is a franchise owner of SportsClips in Pennsylvania. Guardian Capital, LLC is a fee-based investment adviser managing approximately $128 million for around 240 clients, including individuals, high-net-worth clients, pension and profit-sharing plans, trusts, estates, charitable organizations, and small businesses. The firm offers discretionary portfolio management, financial planning, and limited-scope ERISA 3(21) retirement-plan advisory services.
James S
Series 63
Wexford, PA
Guardian Capital, LLC
James Shields is a financial advisor at Guardian Capital, LLC with 14 years of industry experience. He holds a Series 63 designation and has been with Guardian Capital since 2012. In addition to his advisory role, Shields is a managing partner and attorney at the Elder Care Offices of Shields & Boris, where he manages the law firm and provides legal representation, focusing on estate planning and related legal services. Guardian Capital, LLC manages approximately $128 million for around 240 clients, including individuals, high-net-worth clients, pension and profit-sharing plans, trusts, estates, charitable organizations, and small businesses. The firm offers discretionary portfolio management, financial planning, and limited-scope ERISA 3(21) retirement-plan advisory services using a range of investment strategies and tools.
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