Wealthguard LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
WealthGuard LLC is a registered investment adviser that primarily provides fee‑only financial planning to individuals, families (including high‑net‑worth clients), business owners, trustees, and charitable organizations. The firm offers comprehensive and as‑needed planning across areas such as asset allocation, retirement and income planning, estate and tax planning, college funding, asset protection, and post‑divorce or sudden wealth planning, and reports no assets under management or discretionary portfolio authority.
The firm’s process centers on an extensive client questionnaire and in‑depth interviews to produce a written Action Plan and long‑term, fundamentals‑based “buy and be vigilant” investment perspective. Clients retain full discretion over implementation — the firm does not accept custody or discretionary trading authority — and services are provided on hourly and fixed‑fee arrangements rather than on percentage‑of‑assets or performance‑based fees.
Compared with many firms classified as investment managers, WealthGuard’s planning‑centric model and reported $0 under management, combined with a direct client base that includes both high‑net‑worth and non‑HNW individuals, is atypical for the category. The firm’s principal also spends a substantial portion of time at an affiliated broker‑dealer and holds insurance licenses, so implementation recommendations may involve third‑party accounts and potential commission or 12b‑1 compensation, which clients should weigh as a possible conflict of interest.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
Agreed upon fixed rates for financial planning services
$150 to $300 per hour
Fee-only: Hourly fees between $150 and $300 per hour; fixed fees by agreement
Main office
Westport CT
Advisors at this office
1
Most active in
Connecticut
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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