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CRD 106786
SALT LAKE CITY, UT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| ANDREW HARVIN SCHAFFERNOTH | n/a | GLEN ALLEN, VA | SALT LAKE CITY, UT | 20 | 25 | 2 | no |
| CASEY D NELSEN | Chartered Financial Analyst | SALT LAKE CITY, UT | 11 | 19 | n/a | no |
| MICHAEL OTTOSEN TEMPEST | n/a | SALT LAKE CITY, UT | 9 | 38 | n/a | no |
| Nirvon Ali Mahdavi | Chartered Financial Analyst | SALT LAKE CITY, UT | 6 | 14 | n/a | no |
| Curtis Ken Lingren | n/a | SALT LAKE CITY, UT | 6 | 11 | n/a | no |
| Carter Douglas Allen | Chartered Financial Analyst | SALT LAKE CITY, UT | 6 | 10 | n/a | no |
| RUAIRI CHAPMAN | n/a | SALT LAKE CITY, UT | 3 | 18 | n/a | no |
| Daniel James Lasky | n/a | SALT LAKE CITY, UT | 3 | 10 | n/a | no |
| TODD BRADFORD KEARNEY | n/a | SALT LAKE CITY, UT | 3 | 31 | n/a | no |
| Chris Wade Machesney | Certified Financial Planner|Chartered Financial Analyst | SALT LAKE CITY, UT | 2 | 13 | 1 | no |
| CHARLES FREDERICK RADTKE | Chartered Financial Analyst | SALT LAKE CITY, UT | 2 | 30 | 1 | no |
| JAMES MERLIN FRANCIS | n/a | SALT LAKE CITY, UT | Alpharetta, GA | 1 | 25 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DURHAM, CHARLES, ARNOLD | CHIEF COMPLIANCE OFFICER | Na | yes | 06/2026 | Jun 26, 2026 | Jun 26, 2026 |
| GUARDIAN CAPITAL US ASSET | Member | E | yes | 01/2018 | Jun 26, 2026 | Jun 26, 2026 |
| MAVROUDIS, GEORGE | Manager | Na | yes | 01/2018 | Jun 26, 2026 | Jun 26, 2026 |
| NELSEN, CASEY, D | CHIEF INVESTMENT OFFICER | Na | yes | 07/2025 | Jun 26, 2026 | Jun 26, 2026 |
| CHRISTODOULOU, ANDREW, MICHAEL | Shareholder | C | yes | 06/2024 | Nov 27, 2024 | Nov 27, 2024 |
| CHRISTODOULOU, NICHOLAS | Shareholder | C | yes | 06/2024 | Nov 27, 2024 | Nov 27, 2024 |
| CHRISTODOULOU, STEPHANIE, DIANA | Shareholder | C | yes | 06/2024 | Nov 27, 2024 | Nov 27, 2024 |
| CHRYSSAFOU-CHRISTODOULOU, DIMITRIS-STAVROS | Shareholder | C | yes | 06/2024 | Nov 27, 2024 | Nov 27, 2024 |
| GUARDIAN CAPITAL GROUP LIMITED | DIRECT OWNER | E | yes | 06/2024 | Jan 10, 2018 | Nov 27, 2024 |
| GUARDIAN CAPITAL LLC | Member | E | yes | 01/2018 | Jan 10, 2018 | Nov 27, 2024 |
| GUARDIAN INNOVATIONS INC. | Member | E | yes | 06/2024 | Jul 30, 2024 | Nov 27, 2024 |
| HAMMOND, HALEY, M | CHIEF COMPLIANCE OFFICER | Na | yes | 05/2006 | Feb 29, 2012 | Nov 27, 2024 |
| MINIC INVESTMENTS LIMITED | Shareholder | C | yes | 01/2004 | Mar 23, 2018 | Nov 27, 2024 |
| TEMPEST, MICHAEL, OTTOSEN | MANAGER / CO-CHIEF INVESTMENT OFFICER | Na | yes | 01/2018 | Feb 29, 2012 | Nov 27, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| GUARDIAN CAPITAL LP | n/a | Asset manager | $11B | Y | yes | n/a |
| AGINCOURT CAPITAL MANAGEMENT, LLC | n/a | Institutional manager | $10.0B | N | yes | n/a |
| GUARDCAP ASSET MANAGEMENT LIMITED | n/a | Asset manager | $5.9B | N | yes | n/a |
| GUARDIAN CAPITAL ADVISORS LP | n/a | Former SEC adviser | $2.5B | N | yes | n/a |
| ALEXANDRIA BANCORP LIMITED | n/a | n/a | n/a | N | yes | n/a |
| ALEXANDRIA GLOBAL INVESTMENT MANAGEMENT LTD | n/a | n/a | n/a | N | yes | n/a |
| GUARDIAN CAPITAL REAL ESTATE GP INC. | n/a | n/a | n/a | N | yes | n/a |
| GUARDIAN PARTNERS INC. | n/a | n/a | n/a | N | yes | n/a |
| MODERN ADVISOR CANADA, INC. | n/a | n/a | n/a | N | yes | n/a |
| RAE & LIPSKIE INVESTMENT COUNSEL INC. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Larkspur | CA | United States | 1 | no |
| GLEN ALLEN | Va | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $1.6B | $1.6B | 19 | 12 | 2 | n/a | n/a |
| 2024 | Mar 24, 2025 | $1.8B | $1.8B | 28 | 18 | 6 | n/a | n/a |
| 2023 | Mar 28, 2024 | $1.7B | $1.7B | 28 | 18 | 7 | n/a | n/a |
| 2022 | Mar 21, 2023 | $1.5B | $1.5B | 25 | 17 | 6 | n/a | n/a |
| 2021 | Mar 24, 2022 | $2.2B | $2.2B | 24 | 16 | 6 | n/a | n/a |
| 2020 | Mar 31, 2021 | $2.0B | $2.0B | 23 | 16 | 6 | n/a | n/a |
| 2019 | Mar 30, 2020 | $1.8B | $1.8B | 23 | 15 | 6 | n/a | n/a |
| 2018 | Mar 22, 2019 | $1.7B | $1.7B | 19 | 13 | 5 | n/a | n/a |
| 2017 | Mar 23, 2018 | $1.8B | $1.8B | 15 | 9 | 1 | n/a | n/a |
| 2016 | Mar 28, 2017 | $1.7B | $1.7B | 15 | 9 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $1.5B | $1.5B | 12 | 9 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $1.4B | $1.4B | 12 | 9 | n/a | n/a | n/a |
| 2013 | Mar 21, 2014 | $1.5B | $1.1B | 15 | 6 | n/a | n/a | n/a |
| 2012 | Mar 14, 2013 | $895M | $717M | 12 | 6 | n/a | n/a | n/a |
| 2011 | Feb 29, 2012 | $738M | $639M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 1 | 0 | 8.3% | 0 | 0 | 0 | 4 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.6B | $1.8B | -10.6% | $1.5B | 2.8% | 19 | 28 | 2 | 6 |