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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

FINANCIAL GUARD, LLC

CRD 156059

SALT LAKE CITY, UT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:38bb847f-735e-498c-9f37-eff8ac3aa9de

Data as of Nov 7, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 16
On other graphs: 0
Observed: Feb 28, 2012 to Nov 7, 2022
37 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $977,294Item 5.F on the latest filing (2022-11-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $977,294
Private client RAUM: $977,294derivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18
Advisory employees: 10
Offices: 5Schedule D 1.F, beyond the principal office
Accounts: 7
Individual clients: 6
SEC number: 801-78197
CRD: 156059
Filings on the tape: 37
First filed: Feb 28, 2012
Latest filed: Nov 7, 2022
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Cieprisz, Kenneth, David	CHIEF COMPLIANCE OFFICER	Na	yes	08/2016	Aug 26, 2016	Nov 7, 2022
FRANKLIN RESOURCES, INC.	SOLE SHAREHOLDER OF LEGG MASON, INC.	E	yes	07/2020	Aug 4, 2020	Nov 7, 2022
LEGG MASON, INC.	SOLE MEMBER	E	yes	07/2021	Oct 12, 2016	Nov 7, 2022
Macomber, Matthew, Scott	PRESIDENT AND CHIEF OPERATING OFFICER	Na	yes	12/2021	Feb 3, 2022	Nov 7, 2022
MALLOY, RYAN, JAMES	OPERATIONS MANAGER	Na	yes	07/2021	Sep 13, 2021	Nov 7, 2022
VIG, PURNIMA	CHIEF TECHNOLOGY OFFICER	Na	yes	09/2020	Oct 1, 2020	Nov 7, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
FRANKLIN ADVISERS, INC.	n/a	Asset manager	$509B	N	yes	n/a
FRANKLIN DISTRIBUTORS, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Stamford	Ct	United States	4	no
SAN MATEO	CA	United States	2	no
NEW YORK	NY	United States	2	no
SAN ROMAN	CA	United States	1	no
Baltimore	Md	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 10 of 11

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Nov 7, 2022	$977,294	$977,294	18	10	5	n/a	n/a
2021	Dec 3, 2021	$1.6M	$1.6M	19	12	4	n/a	n/a
2020	Jun 5, 2020	$1.1M	$1.1M	26	15	3	n/a	n/a
2019	Jun 24, 2019	$1.5M	$1.5M	19	13	4	n/a	n/a
2018	Jun 21, 2018	$1.8M	$1.8M	19	11	4	n/a	n/a
2017	Jun 1, 2017	$1.4M	$1.4M	18	8	n/a	n/a	n/a
2015	Mar 29, 2016	$454M	$0	12	3	n/a	n/a	n/a
2014	Apr 30, 2015	n/a	n/a	12	3	n/a	n/a	n/a
2013	Mar 6, 2014	n/a	n/a	12	1	n/a	n/a	n/a
2011	Apr 2, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$977,294	$1.6M	-39.1%	$1.5M	-13.0%	18	19	5	4

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CLEARBRIDGE INVESTMENTS, LLC	2	Apr 26, 2017	Apr 26, 2017	NEW YORK, NY	Team lift out	Other	3.6%

Relationships

Affiliated with (6)

→ FRANKLIN ADVISERS, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
← FRANKLIN TEMPLETON PORTFOLIO ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
← QS INVESTORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← FIDUCIARY INVESTMENT MANAGEMENT INTERNATIONAL, INC.Registered adviserother investment adviser, common control
factForm ADV
← K2 ADVISORS, L.L.C.Registered adviserother investment adviser, common control
factForm ADV
← EDINBURGH PARTNERS LIMITEDRegistered adviserother investment adviser, common control
factForm ADV

Controls (6)

← Cieprisz, Kenneth, DavidOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 26, 2016 to presentfactForm ADV
← MALLOY, RYAN, JAMESOwnerOPERATIONS MANAGER, ownership code NA, individual
Sep 13, 2021 to presentfactForm ADV
← VIG, PURNIMAOwnerCHIEF TECHNOLOGY OFFICER, ownership code NA, individual
Oct 1, 2020 to presentfactForm ADV
← Macomber, Matthew, ScottOwnerPRESIDENT AND CHIEF OPERATING OFFICER, ownership code NA, individual
Feb 3, 2022 to presentfactForm ADV
← FRANKLIN RESOURCES, INC.OwnerSOLE SHAREHOLDER OF LEGG MASON, INC., ownership code E, domestic entity
Aug 4, 2020 to presentfactForm ADV
← LEGG MASON, INC.OwnerSOLE MEMBER, ownership code E, domestic entity
Oct 12, 2016 to presentfactForm ADV

Registered with (3)

← ROGER NMN PARADISOAdvisorregistration: previous registration
Apr 26, 2017 to Nov 30, 2022factForm ADV
← ANN BANDS DOYLEAdvisorregistration: previous registration
Apr 26, 2017 to Jun 7, 2018factForm ADV
← JAMES REX IVIEAdvisorregistration: previous registration
Mar 10, 2011 to Dec 31, 2012factForm ADV

Moved with (1)

← CLEARBRIDGE INVESTMENTS, LLCRegistered adviser2 advisors, team lift out
Apr 26, 2017 to Apr 26, 2017factForm ADV

Dated events

Occurred
Nov 30, 2022
Advisor changed firm
Roger Nmn Paradiso left Financial Guard, Llc for O'Shaughnessy Asset Management, Llc (registered 2022-07-22)
Form ADVobserved 4 days ago
Occurred
Nov 7, 2022
Control person left
Dawson Bradley Perkins (Chief Product Officer) no longer on Schedule A of Financial Guard, Llc (listed 2022-04-07, absent 2022-11-07)
Form ADVobserved 4 days ago
Occurred
Feb 3, 2022
Control person joined
Scott Matthew Macomber (President And Chief Operating Officer) appeared on Schedule A of Financial Guard, Llc
Form ADVobserved 4 days ago
Occurred
Feb 3, 2022
Control person joined
Dawson Bradley Perkins (Chief Product Officer) appeared on Schedule A of Financial Guard, Llc
Form ADVobserved 4 days ago
Occurred
Feb 3, 2022
Control person left
Garth David Williams (President And Chief Operating Officer) no longer on Schedule A of Financial Guard, Llc (listed 2021-12-03, absent 2022-02-03)
Form ADVobserved 4 days ago
Occurred
Sep 13, 2021
Control person joined
James Ryan Malloy (Operations Manager) appeared on Schedule A of Financial Guard, Llc
Form ADVobserved 4 days ago
Occurred
Sep 13, 2021
Control person left
N Craig Grimm (Director And Vice President Of Platform Analytics) no longer on Schedule A of Financial Guard, Llc (listed 2021-06-07, absent 2021-09-13)
Form ADVobserved 4 days ago
Occurred
Sep 13, 2021
Control person left
Porter Cary Jenkins (Director And Chief Innovation Officer) no longer on Schedule A of Financial Guard, Llc (listed 2021-06-07, absent 2021-09-13)
Form ADVobserved 4 days ago
Occurred
Sep 13, 2021
Control person left
Roger Paradiso (Director) no longer on Schedule A of Financial Guard, Llc (listed 2021-06-07, absent 2021-09-13)
Form ADVobserved 4 days ago
Occurred
Sep 13, 2021
Control person left
Ryan Kristopher Smith (Director) no longer on Schedule A of Financial Guard, Llc (listed 2021-06-07, absent 2021-09-13)
Form ADVobserved 4 days ago
Occurred
Sep 13, 2021
Control person left
Harshendu Bindal (Chairman Of Board And Nominated Executive) no longer on Schedule A of Financial Guard, Llc (listed 2021-06-07, absent 2021-09-13)
Form ADVobserved 4 days ago
Occurred
Oct 1, 2020
Control person left
Andrew Terrence Johnson (Director) no longer on Schedule A of Financial Guard, Llc (listed 2020-08-04, absent 2020-10-01)
Form ADVobserved 4 days ago
Occurred
Oct 1, 2020
Control person left
Senthil Kumara Velan Subramanyam (Chief Technology Officer) no longer on Schedule A of Financial Guard, Llc (listed 2020-08-04, absent 2020-10-01)
Form ADVobserved 4 days ago
Occurred
Oct 1, 2020
Control person joined
Harshendu Bindal (Chairman Of Board And Nominated Executive) appeared on Schedule A of Financial Guard, Llc
Form ADVobserved 4 days ago
Occurred
Oct 1, 2020
Control person joined
Purnima Vig (Chief Technology Officer) appeared on Schedule A of Financial Guard, Llc
Form ADVobserved 4 days ago
Occurred
Jun 6, 2013
First Form ADV filing
Financial Guard, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38bb847f-735e-498c-9f37-eff8ac3aa9de
First observed: Feb 28, 2012
Last observed: Nov 7, 2022 47 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

FINANCIAL GUARD, LLC

CRD 156059

SALT LAKE CITY, UT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:38bb847f-735e-498c-9f37-eff8ac3aa9de

Data as of Nov 7, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:40 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Cieprisz, Kenneth, David

CHIEF COMPLIANCE OFFICER

yes

08/2016

Aug 26, 2016

Nov 7, 2022

FRANKLIN RESOURCES, INC.

SOLE SHAREHOLDER OF LEGG MASON, INC.

yes

07/2020

Aug 4, 2020

Nov 7, 2022

LEGG MASON, INC.

SOLE MEMBER

yes

07/2021

Oct 12, 2016

Nov 7, 2022

Macomber, Matthew, Scott

PRESIDENT AND CHIEF OPERATING OFFICER

yes

12/2021

Feb 3, 2022

Nov 7, 2022

MALLOY, RYAN, JAMES

OPERATIONS MANAGER

yes

07/2021

Sep 13, 2021

Nov 7, 2022

VIG, PURNIMA

CHIEF TECHNOLOGY OFFICER

yes

09/2020

Oct 1, 2020

Nov 7, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FRANKLIN ADVISERS, INC.

n/a

Asset manager

$509B

yes

n/a

FRANKLIN DISTRIBUTORS, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Stamford

United States

SAN MATEO

United States

NEW YORK

United States

SAN ROMAN

United States

Baltimore

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Nov 7, 2022

$977,294

n/a

2021

Dec 3, 2021

$1.6M

n/a

2020

Jun 5, 2020

$1.1M

n/a

2019

Jun 24, 2019

$1.5M

n/a

2018

Jun 21, 2018

$1.8M

n/a

2017

Jun 1, 2017

$1.4M

n/a

2015

Mar 29, 2016

$454M

n/a

2014

Apr 30, 2015

n/a

2013

Mar 6, 2014

n/a

2011

Apr 2, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$977,294

$1.6M

-39.1%

$1.5M

-13.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CLEARBRIDGE INVESTMENTS, LLC

Apr 26, 2017

NEW YORK, NY

Team lift out

Other

3.6%