About Us

Capital Guardian was founded and has been built to fulfill a unique vision. We have created a stable, unconstrained environment for Clients and their Financial Advisors to execute upon their investment goals, free of conflicts, restrictive boundaries, and bureaucracies of the large investment firms and banks. Our goal is to create true alignment of interests and partnerships between the Client, the Financial Advisor and Capital Guardian.

Strength and Credibility

Capital Guardian is built on the Pershing platform. Pershing, LLC, is the leader in global clearing services and the largest custodian based on their list of broker dealer customers. Pershing is part of The Bank of New York Mellon Corporation, which has in excess of $28 trillion in assets under custody and administration, and more than 40,000 employees in 34 countries on six continents. You should have peace of mind, knowing your Capital Guardian advisor is supported by a worldwide network of financial professionals and the most respected custodian on Wall Street. Recently, Pershing was rated #1 for Customer Statements by DALBAR, Inc., the nation’s leading financial services market research firm.

Experience and Expertise

Capital Guardian's Management Team has long tenure and deep experience in the Financial Services industry. Unlike many of our competitors, in addition to a talented group who have worked for large wire house and independent firms, we have Senior Management with long-term experience in the institutional, hedge fund, private equity and family office sectors of the Industry. Many of us have been Financial Advisors and we still work with our Clients today.

We offer a broad suite of investment, insurance, and lending solutions, among others. We can advise you on a wide spectrum of alternative asset classes that have traditionally been available only to ultra-high net worth clients and institutions.

In terms of value-added services, we have capabilities in estate and retirement planning, trusts, foundations, legal, custody and tax planning. Our clients, whether they are US-domiciled retirees or multi-generational families with relatives in multiple countries, find value in these Capital Guardian services. Our Financial Advisors and Management Staff hold the industry's most valued professional designations, including CFP®, CIMA®, CFA, and CPA®.

Domestic and International

We serve both US-domiciled as well as international clients. We have presence in major US financials centers, as well as international financial gateways. For example, in our Miami office, our business and personal lives are immersed in the diverse cultures of South Florida and Latin America. We speak the languages, and live the lifestyles. This enables us to better understand the investment goals of our clients, as well as the challenges they can face. We have expansion planned for cities such as San Francisco and abroad, which are major investment centers for Asian and South American clients on the West Coast.

Security and Service

We intimately understand our clients’ requirement for financial stability and transparency. Capital Guardian and its subsidiaries are members of FINRA and SIPC. We are also an SEC-registered Registered Investment Advisor (RIA). Our clients rely on us to guide them through the complexities of the U.S. markets and all of their investment choices. And they know that we’re an independent wealth management firm who plans to be here for many years to come.

At Capital Guardian, our financial advisors have the freedom to focus solely on the financial goals of their clients. Instead of promoting company products, we take a custom approach to each client's portfolio. And we develop solid relationships by providing a higher level of personal service. The way we see it, your financial advisor should answer to one person, you.