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

GARDA FINANCIAL

GARDA FINANCIAL, LLC, CRD 170354

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:5e4a2fe9-ec30-371e-293e-a917121a9ca4

Data as of Jan 20, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 7, 2014 to Jan 20, 2017
10 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: $9.9MItem 5.F on the latest filing (2017-01-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $9.9M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Accounts: 110
SEC number: 801-79362
CRD: 170354
Filings on the tape: 10
First filed: Mar 7, 2014
Latest filed: Jan 20, 2017
Organised: Limited Liability Company, Utah

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
O'SHEA ADVISORY GROUP, INC.	Owner	E	yes	01/2014	Mar 7, 2014	Jan 20, 2017
O'SHEA, RYAN, CHRISTIAN	Owner	E	yes	07/2008	Mar 7, 2014	Jan 20, 2017
O'SHEA, RYAN, CHRISTIAN	CHIEF COMPLIANCE OFFICER	Na	yes	03/2014	Mar 7, 2014	Jan 20, 2017

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
GARDA INSURANCE	n/a	n/a	n/a	Y	yes	n/a
LA SAL MANAGEMENT, LLC	n/a	n/a	n/a	N	no	n/a

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 2, 2016	$15.0M	$15.0M	2	2	n/a	n/a	n/a
2014	Mar 17, 2015	$15.0M	$15.0M	2	2	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
2015	$9.9M	$15.0M	-34.1%	n/a	n/a	2	2	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ALLEGIS INVESTMENT ADVISORS, LLC	2	Feb 23, 2017	Mar 9, 2017	SALT LAKE CITY, UT	Team lift out	Other	100.0%

Relationships

Controls (2)

← O'SHEA, RYAN, CHRISTIANOwnerOWNER, ownership code E, individual
Mar 7, 2014 to presentfactForm ADV
← O'SHEA ADVISORY GROUP, INC.OwnerOWNER, ownership code E, domestic entity
Mar 7, 2014 to presentfactForm ADV

Moved with (1)

→ ALLEGIS INVESTMENT ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
Feb 23, 2017 to Mar 9, 2017factForm ADV

Registered with (2)

← DAREN SPENCER WRIGHTAdvisorregistration: previous registration
Oct 6, 2014 to Feb 23, 2017factForm ADV
← RYAN CHRISTIAN O'SHEAAdvisorregistration: previous registration
Apr 1, 2014 to Feb 23, 2017factForm ADV

Dated events

Occurred
Mar 7, 2014
First Form ADV filing
Garda Financial filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e4a2fe9-ec30-371e-293e-a917121a9ca4
First observed: Mar 7, 2014
Last observed: Jan 20, 2017 117 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.

GARDA FINANCIAL

GARDA FINANCIAL, LLC, CRD 170354

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:5e4a2fe9-ec30-371e-293e-a917121a9ca4

Data as of Jan 20, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

O'SHEA ADVISORY GROUP, INC.

Owner

yes

01/2014

Mar 7, 2014

Jan 20, 2017

O'SHEA, RYAN, CHRISTIAN

Owner

yes

07/2008

Mar 7, 2014

Jan 20, 2017

O'SHEA, RYAN, CHRISTIAN

CHIEF COMPLIANCE OFFICER

yes

03/2014

Mar 7, 2014

Jan 20, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GARDA INSURANCE

n/a

yes

n/a

LA SAL MANAGEMENT, LLC

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 2, 2016

$15.0M

n/a

2014

Mar 17, 2015

$15.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$9.9M

$15.0M

-34.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ALLEGIS INVESTMENT ADVISORS, LLC

Feb 23, 2017

Mar 9, 2017

SALT LAKE CITY, UT

Team lift out

Other

100.0%