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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

GUARDIAN INVESTOR SERVICES LLC

CRD 6635

NEW YORK, NY

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:9bf9f866-0e06-0e8f-6759-7331ca31c741

Data as of Mar 25, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Dec 7, 2011 to Mar 25, 2015
12 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: $4.9BItem 5.F on the latest filing (2015-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.9B
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: 76
Advisory employees: 76
Accounts: 12
SEC number: 801-9654
CRD: 6635
Filings on the tape: 12
First filed: Dec 7, 2011
Latest filed: Mar 25, 2015
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
CEFOLE, MICHAEL B	PRESIDENT & LLC MANAGER	Na	yes	10/2013	Mar 30, 2012	Mar 25, 2015
FERIK, MICHAEL NICHOLAS	LLC MANAGER	Na	yes	07/2012	Feb 28, 2013	Mar 25, 2015
SENKER, LINDA ELLEN	CHIEF COMPLIANCE OFFICER - BROKER DEALER	Na	yes	10/2013	Nov 7, 2013	Mar 25, 2015
SHALLOW, KURT JOSEPH	V.P., RISK PRODUCTS DISTRIBUTION	Na	yes	04/2010	Mar 25, 2015	Mar 25, 2015
SORELL, THOMAS GEORGE	CHIEF INVESTMENT OFFICER	Na	yes	03/2003	Dec 7, 2011	Mar 25, 2015
SULLIVAN, DONALD PAUL JR	LLC MANAGER	Na	yes	03/2015	Dec 7, 2011	Mar 25, 2015
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA	Owner	E	yes	08/2006	Dec 7, 2011	Mar 25, 2015
WALTER, JOHN H.	SR. VP & CONTROLLER	Na	yes	06/2006	Dec 7, 2011	Mar 25, 2015
BESSEL, MICHAEL JOSEPH	CHIEF COMPLIANCE OFFICER, ADVISER	Na	no	11/2011	Dec 14, 2011	Mar 25, 2015
POTTER, RICHARD THOMAS JR	SR. VICE PRESIDENT & COUNSEL	Na	no	04/2004	Dec 7, 2011	Mar 25, 2015

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
PARK AVENUE SECURITIES LLC	n/a	Bd affiliated wealth	$20B	N	yes	n/a
RS INVESTMENT MANAGEMENT CO. LLC	n/a	Former SEC adviser	$18B	Y	yes	n/a
LOWE ENTERPRISES INVESTMENT MANAGEMENT, LLC	n/a	Other adviser	$982M	N	yes	n/a
THE GUARDIAN INSURANCE & ANNUITY COMPANY, INC.	n/a	n/a	n/a	N	yes	n/a
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA	n/a	n/a	n/a	Y	yes	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
2014	Mar 25, 2015	$4.9B	$4.9B	76	76	n/a	n/a	n/a
2013	Mar 28, 2014	$6.2B	$6.2B	75	75	n/a	n/a	n/a
2012	Mar 27, 2013	$6.8B	$6.8B	76	76	n/a	n/a	n/a
2011	Mar 30, 2012	$5.1B	$5.1B	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
2014	$4.9B	$6.2B	-22.2%	$5.1B	-1.3%	76	75	n/a	n/a

Relationships

Affiliated with (4)

→ BROADSHORE CAPITAL PARTNERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ RS INVESTMENTSRegistered adviserother investment adviser, broker-dealer, control, common control
factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← GUARDIAN BAILLIE GIFFORD LIMITEDRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (8)

← SORELL, THOMAS GEORGEOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Dec 7, 2011 to presentfactForm ADV
← SULLIVAN, DONALD PAUL JROwnerLLC MANAGER, ownership code NA, individual
Dec 7, 2011 to presentfactForm ADV
← SHALLOW, KURT JOSEPHOwnerV.P., RISK PRODUCTS DISTRIBUTION, ownership code NA, individual
Mar 25, 2015 to presentfactForm ADV
← SENKER, LINDA ELLENOwnerCHIEF COMPLIANCE OFFICER - BROKER DEALER, ownership code NA, individual
Nov 7, 2013 to presentfactForm ADV
← WALTER, JOHN H.OwnerSR. VP & CONTROLLER, ownership code NA, individual
Dec 7, 2011 to presentfactForm ADV
← CEFOLE, MICHAEL BOwnerPRESIDENT & LLC MANAGER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← FERIK, MICHAEL NICHOLASOwnerLLC MANAGER, ownership code NA, individual
Feb 28, 2013 to presentfactForm ADV
← THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICAOwnerOWNER, ownership code E, domestic entity
Dec 7, 2011 to presentfactForm ADV

Owns (2)

← POTTER, RICHARD THOMAS JROwnerSR. VICE PRESIDENT & COUNSEL, ownership code NA, individual
Dec 7, 2011 to presentfactForm ADV
← BESSEL, MICHAEL JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ADVISER, ownership code NA, individual
Dec 14, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9bf9f866-0e06-0e8f-6759-7331ca31c741
First observed: Dec 7, 2011
Last observed: Mar 25, 2015 139 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.

GUARDIAN INVESTOR SERVICES LLC

CRD 6635

NEW YORK, NY

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:9bf9f866-0e06-0e8f-6759-7331ca31c741

Data as of Mar 25, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:56 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CEFOLE, MICHAEL B

PRESIDENT & LLC MANAGER

yes

10/2013

Mar 30, 2012

Mar 25, 2015

FERIK, MICHAEL NICHOLAS

LLC MANAGER

yes

07/2012

Feb 28, 2013

Mar 25, 2015

SENKER, LINDA ELLEN

CHIEF COMPLIANCE OFFICER - BROKER DEALER

yes

10/2013

Nov 7, 2013

Mar 25, 2015

SHALLOW, KURT JOSEPH

V.P., RISK PRODUCTS DISTRIBUTION

yes

04/2010

Mar 25, 2015

SORELL, THOMAS GEORGE

CHIEF INVESTMENT OFFICER

yes

03/2003

Dec 7, 2011

Mar 25, 2015

SULLIVAN, DONALD PAUL JR

LLC MANAGER

yes

03/2015

Dec 7, 2011

Mar 25, 2015

THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA

Owner

yes

08/2006

Dec 7, 2011

Mar 25, 2015

WALTER, JOHN H.

SR. VP & CONTROLLER

yes

06/2006

Dec 7, 2011

Mar 25, 2015

BESSEL, MICHAEL JOSEPH

CHIEF COMPLIANCE OFFICER, ADVISER

11/2011

Dec 14, 2011

Mar 25, 2015

POTTER, RICHARD THOMAS JR

SR. VICE PRESIDENT & COUNSEL

04/2004

Dec 7, 2011

Mar 25, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PARK AVENUE SECURITIES LLC

n/a

Bd affiliated wealth

$20B

yes

n/a

RS INVESTMENT MANAGEMENT CO. LLC

n/a

Former SEC adviser

$18B

yes

n/a

LOWE ENTERPRISES INVESTMENT MANAGEMENT, LLC

n/a

Other adviser

$982M

yes

n/a

THE GUARDIAN INSURANCE & ANNUITY COMPANY, INC.

n/a

yes

n/a

THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 25, 2015

$4.9B

n/a

2013

Mar 28, 2014

$6.2B

n/a

2012

Mar 27, 2013

$6.8B

n/a

2011

Mar 30, 2012

$5.1B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$4.9B

$6.2B

-22.2%

$5.1B

-1.3%

n/a