DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
G••••••• W••••• A•••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Mar 30, 2015 · 37 filings
SEC status approved since Apr 7, 2015
RAUM
$300M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
99%
$297M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$75.0M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$300M as of Mar 23, 2026
Mar 17, 2016$120M then
HNW client RAUM$237M as of Mar 23, 2026
Mar 29, 2018$117M then
State-registered IARs (5.B.3)4 as of Mar 23, 2026
Mar 17, 20162 then
Employees (5.A)7 as of Mar 23, 2026
Mar 17, 20164 then
Private funds: no history
RAUM +12% over the last fiscal year+15% a year over threeIARs 3 to 4offices 3 to 4
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $75.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $416,322derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $77.7M, 88 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$237M79%
- Individuals$59.6M20%
- Corporations and businesses$3.4M1.1%
- Individual clients
- 175reported
- HNW clients
- 79reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 721reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $77.7M for 88 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• G•••••• K•••• | St Louis Park, Mn | Mar 10, 2016 | 32 y | 1 |
| E••• N• B••••• | St Louis Park, Mn | Feb 27, 2023 | 13 y | 1 |
| T••••• P••••• M•••• | St Louis Park, Mn | Mar 15, 2024 | 16 y | 1 |
| K••• M•••••• B••••• | St Louis Park, Mn | Jan 14, 2026 | 13 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- K••• M•••••• B••••• from N•••••• I•••Jan 14, 2026 · RIA to RIA
- T••••• P••••• M•••• from P•••••••• A••••••• C•••••••••Mar 15, 2024 · RIA to RIA
- E••• N• B••••• from R•••••• J•••• • A••••••••• I•••Feb 27, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••• G•••••• K•••• from K••• I••••••••• A•••••••Mar 10, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• E•••• N• · Chief Compliance Officer/Presidentcontrolsince 01/2024 · owns less than 5%
- S•••••• R••••••• E•••••••• · Chief Financial Officer And Shareholdercontrolsince 01/2022 · owns F of M••••••• K••• • S••••••• L•••
- B•••••• G••••••• J•••• · Shareholdersince 01/2017 · owns F of M••••••• K••• • S••••••• L•••
- E••••••• L•••• E••• · Shareholdersince 01/2024 · owns F of M••••••• K••• • S••••••• L•••
- I•••••• J••••••• G••••• · Presidentsince 01/2017 · owns F of M••••••• K••• • S••••••• L•••
- K••••• R•••• W•••• · Shareholdersince 10/2019 · owns F of M••••••• K••• • S••••••• L•••
- K•••• D•••••• J••••• · Shareholdersince 01/2023 · owns F of M••••••• K••• • S••••••• L•••
- M•••••••• S••••• B•••••• · Shareholdersince 01/2022 · owns F of M••••••• K••• • S••••••• L•••
- P•••••• A••••• C•••••• · Shareholdersince 01/2017 · owns F of M••••••• K••• • S••••••• L•••
Entity owners
- M••••••• K••• • S••••••• L••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- M••••••• K••• • S••••••• L•••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| St Louis Park, Mn · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 676 to 721Mar 12, 2025 to Mar 23, 2026
- Advisory employees · 3 to 4Mar 12, 2025 to Mar 23, 2026
- Corporate clients · unset to 6.0Mar 12, 2025 to Mar 23, 2026
- HNW clients · 71 to 79Mar 12, 2025 to Mar 23, 2026
- Individual clients · 168 to 175Mar 12, 2025 to Mar 23, 2026
- Assets in custody · $70.9M to $77.7MMar 12, 2025 to Mar 23, 2026
- Employees · 6 to 7Mar 12, 2025 to Mar 23, 2026
- State-registered IARs · 3 to 4Mar 12, 2025 to Mar 23, 2026
- Other offices · 3 to 4Mar 12, 2025 to Mar 23, 2026
- Discretionary RAUM · $230M to $262MMar 12, 2025 to Mar 23, 2026
- HNW RAUM · $202M to $237MMar 12, 2025 to Mar 23, 2026
- Individual RAUM · $58.8M to $59.6MMar 12, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $36.9M to $38.6MMar 12, 2025 to Mar 23, 2026
- RAUM · $267M to $300MMar 12, 2025 to Mar 23, 2026
- Accounts · 658 to 676Nov 5, 2024 to Mar 12, 2025
- Corporate clients · 5.0 to unsetNov 5, 2024 to Mar 12, 2025
- Individual clients · 156 to 168Nov 5, 2024 to Mar 12, 2025
- Assets in custody · $73.5M to $70.9MNov 5, 2024 to Mar 12, 2025
- Financial planning clients · 101-250 to 101-250Nov 5, 2024 to Mar 12, 2025
- Other offices · 2 to 3Nov 5, 2024 to Mar 12, 2025
- Discretionary RAUM · $208M to $230MNov 5, 2024 to Mar 12, 2025
- HNW RAUM · $191M to $202MNov 5, 2024 to Mar 12, 2025
- Individual RAUM · $53.6M to $58.8MNov 5, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $41.5M to $36.9MNov 5, 2024 to Mar 12, 2025
- RAUM · $249M to $267MNov 5, 2024 to Mar 12, 2025
- Advisory employees · 5 to 3Sep 11, 2024 to Nov 1, 2024
- Employees · 8 to 6Sep 11, 2024 to Nov 1, 2024
- HQ city · BLOOMINGTON to ST LOUIS PARKSep 11, 2024 to Nov 1, 2024
- State-registered IARs · 5 to 3Sep 11, 2024 to Nov 1, 2024
- Other offices · 4 to 2Sep 11, 2024 to Nov 1, 2024
- Other offices · 5 to 4May 3, 2024 to May 3, 2024
- Accounts · 603 to 658Jan 10, 2024 to Mar 26, 2024
- Advisory employees · 3 to 5Jan 10, 2024 to Mar 26, 2024
- Corporate clients · unset to 5.0Jan 10, 2024 to Mar 26, 2024
- HNW clients · 68 to 71Jan 10, 2024 to Mar 26, 2024
- Individual clients · 136 to 156Jan 10, 2024 to Mar 26, 2024
- Assets in custody · $56.9M to $73.5MJan 10, 2024 to Mar 26, 2024
- Employees · 6 to 8Jan 10, 2024 to Mar 26, 2024
- State-registered IARs · 3 to 5Jan 10, 2024 to Mar 26, 2024
- Discretionary RAUM · $159M to $208MJan 10, 2024 to Mar 26, 2024
Signals
7 dated events
- G••••••• W••••• A•••••••• L•• reported 5 offices beyond its principal office, up from 0 (2023-10-27 to 2024-01-10)Jan 10, 2024 · Office count change · derived
- S•••• Gregory Kulka (Chief Compliance Officer) no longer on Schedule A of G••••••• W••••• A•••••••• L•• (listed 2023-10-27, absent 2024-01-10)Jan 10, 2024 · Control person left · inference
- N. E••• B••••• (President) appeared on Schedule A of G••••••• W••••• A•••••••• L••Oct 27, 2023 · Control person joined · fact
- Robert E••• Ordal (President) no longer on Schedule A of G••••••• W••••• A•••••••• L•• (listed 2022-11-01, absent 2022-11-11)Nov 11, 2022 · Control person left · inference
- Robert E••• Ordal (President) appeared on Schedule A of G••••••• W••••• A•••••••• L••Jan 28, 2022 · Control person joined · fact
- E•••••••• R•••••• S••••• (Chief Financial Officer And Shareholder) appeared on Schedule A of G••••••• W••••• A•••••••• L••Jan 28, 2022 · Control person joined · fact
- G••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@guardian-wealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- babel@guardian-wealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sloschenkohl@guardian-wealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ajohnson@guardian-wealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 952-746-3211reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 952-746-3212reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-746-3211reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- G•••••••-WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 952-746-3211reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- guardian-wealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- guardian-wealth.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $75.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026