Guardian Rock Wealth Investment Management, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$45,536,747
Clients
80
Advisors
1
of 3 employees
About
Guardian Rock provides investment and portfolio management and financial planning to individuals, trusts, retirement plans, and charitable organizations, serving both high-net-worth and non‑HNW clients. Its services include ongoing discretionary portfolio management as well as one-time or segmented financial planning engagements.
The firm’s investment approach centers on its proprietary Advocacy Investing® strategy, which blends fundamental analysis with values‑based and governance screens to build customized, diversified portfolios (typically about 30–35 individual securities). Portfolios may include equities, mutual funds, ETFs, fixed income, options, and structured notes and are tailored to each client’s risk tolerance, tax considerations, and objectives.
Compared with many peers, Guardian Rock discloses the use of client testimonials in its advertising, a practice relatively uncommon among similarly sized advisers. It also emphasizes highly customized screening and targeted model portfolios across environmental, social justice, and corporate governance themes, and discloses that a firm principal is a licensed insurance agent who may recommend or sell insurance products.
Client services
Expertise
Fee options
$0 - $500,000: 1.25% $500,001 - $1,000,000: 0.80% $1,000,001 - $5,000,000: 0.75% $5,000,001 - $10,000,000: 0.65% $10,000,001 - $25,000,000: 0.60% $25,000,001+: 0.40%
Insurance commissions are earned by John Browning when recommending insurance products, which presents a conflict of interest.
Account minimum: No minimum initial account value for retail clients, but the minimum annual fee of $6,250 (equivalent to 1.25% of $500,000) effectively sets a minimum fee threshold. The firm will aggregate related client accounts at the same address to meet the minimum annual fee. Minimum fee: Minimum annual fee of $6,250 per account relationship. Fee-only: Financial planning fees range from $3,000 to $6,000 per engagement.
Main office
3333 Warrenville Road, Suite 200
Lisle IL 60532, United States
Offices (1)
Most active in
Florida · Illinois · North Carolina
Also doing business as
Guardian Rock Wealth Investment Management, Inc. · Marc J. Lane Investment Management,Inc. · N/A
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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
Quick links
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