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.

Former SEC-registered adviser

Financial Guard, LLC

Former SEC-registered adviserSalt Lake City, UtahCRD 156059SEC 801-78197IAPD
Latest filing Nov 7, 2022
First filing on the tape Feb 28, 2012 · 37 filings
RAUM
$977,294
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$977,294 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
10 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$977,294 as of Nov 7, 2022
Mar 29, 2016$454M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Nov 7, 2022
Apr 2, 20120 then
Employees (5.A)18 as of Nov 7, 2022
Mar 6, 201412 then
Private funds: no history
RAUM -39% over the last fiscal year-13% a year over threeIARs 4 to 2offices 4 to 5
Practice profile
derived from the filing of Nov 7, 2022; every figure names its basis
RAUM per advisor
$488,647derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$139,613derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.0derivedItem 5.A over advisors
Advisors per office
0.3derived6 offices incl. principal (1.F.5)
RAUM growth, one year
-39%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$977,294100%
Individual clients
6reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • David Kenneth Cieprisz · Chief Compliance Officercontrol
      since 08/2016 · owns less than 5%
    • Scott Matthew Macomber · President And Chief Operating Officercontrol
      since 12/2021 · owns less than 5%
    • James Ryan Malloy · Operations Managercontrol
      since 07/2021 · owns less than 5%
    • Purnima Vig · Chief Technology Officercontrol
      since 09/2020 · owns less than 5%
    Entity owners
    • Legg Mason, Inc. · Sole Member
      direct · owns 75% or more
    • Franklin Resources, Inc. · Sole Shareholder Of Legg Mason, Inc.
      indirect · owns 75% or more of Legg Mason, Inc. · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list Financial Guard, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Stamford, CT4 employees
    • New York, NY2 employees
    • San Mateo, CA2 employees
    • Baltimore, MD1 employees
    • San Roman, CA1 employees
    What changed
    consecutive filings, newest first
    • Individual RAUM · $1.6M to $977,294
      Apr 7, 2022 to Nov 7, 2022
    • RAUM · $1.6M to $977,294
      Apr 7, 2022 to Nov 7, 2022
    • Accounts · 9 to 7
      Apr 7, 2022 to Nov 7, 2022
    • Advisory employees · 11 to 10
      Apr 7, 2022 to Nov 7, 2022
    • BD registered reps · 8 to 7
      Apr 7, 2022 to Nov 7, 2022
    • Individual clients · 7 to 6
      Apr 7, 2022 to Nov 7, 2022
    • Employees · 21 to 18
      Apr 7, 2022 to Nov 7, 2022
    • Insurance-licensed employees · 2 to 1
      Apr 7, 2022 to Nov 7, 2022
    • State-registered IARs · 3 to 2
      Apr 7, 2022 to Nov 7, 2022
    • Discretionary RAUM · $1.6M to $977,294
      Apr 7, 2022 to Nov 7, 2022
    • Advisory employees · 12 to 11
      Dec 3, 2021 to Feb 3, 2022
    • BD registered reps · 10 to 8
      Dec 3, 2021 to Feb 3, 2022
    • Employees · 19 to 21
      Dec 3, 2021 to Feb 3, 2022
    • State-registered IARs · 4 to 3
      Dec 3, 2021 to Feb 3, 2022
    • Other offices · 4 to 5
      Dec 3, 2021 to Feb 3, 2022
    • Advisory employees · 16 to 12
      Nov 11, 2021 to Dec 3, 2021
    • Employees · 24 to 19
      Nov 11, 2021 to Dec 3, 2021
    • Discretionary RAUM · $1.5M to $1.6M
      Nov 11, 2021 to Dec 3, 2021
    • Individual RAUM · $1.5M to $1.6M
      Nov 11, 2021 to Dec 3, 2021
    • RAUM · $1.5M to $1.6M
      Nov 11, 2021 to Dec 3, 2021
    • Advisory employees · 15 to 16
      Oct 27, 2020 to Jun 7, 2021
    • Employees · 26 to 24
      Oct 27, 2020 to Jun 7, 2021
    • Other offices · 3 to 4
      Oct 27, 2020 to Jun 7, 2021
    • Discretionary RAUM · $1.1M to $1.5M
      Oct 27, 2020 to Jun 7, 2021
    • Individual RAUM · $1.1M to $1.5M
      Oct 27, 2020 to Jun 7, 2021
    • RAUM · $1.1M to $1.5M
      Oct 27, 2020 to Jun 7, 2021
    • Accounts · 11 to 9
      Jun 24, 2019 to Jun 5, 2020
    • Advisory employees · 13 to 15
      Jun 24, 2019 to Jun 5, 2020
    • BD registered reps · 7 to 10
      Jun 24, 2019 to Jun 5, 2020
    • Individual clients · 9 to 7
      Jun 24, 2019 to Jun 5, 2020
    • Employees · 19 to 26
      Jun 24, 2019 to Jun 5, 2020
    • Insurance-licensed employees · 0 to 2
      Jun 24, 2019 to Jun 5, 2020
    • State-registered IARs · 6 to 4
      Jun 24, 2019 to Jun 5, 2020
    • Other offices · 4 to 3
      Jun 24, 2019 to Jun 5, 2020
    • Discretionary RAUM · $1.5M to $1.1M
      Jun 24, 2019 to Jun 5, 2020
    • Individual RAUM · $1.5M to $1.1M
      Jun 24, 2019 to Jun 5, 2020
    • RAUM · $1.5M to $1.1M
      Jun 24, 2019 to Jun 5, 2020
    • Accounts · 17 to 11
      Jan 25, 2019 to Jun 24, 2019
    • Advisory employees · 11 to 13
      Jan 25, 2019 to Jun 24, 2019
    • Individual clients · 13 to 9
      Jan 25, 2019 to Jun 24, 2019
    Signals
    16 dated events
    • Roger Nmn Paradiso left Financial Guard, Llc for O'Shaughnessy Asset Management, Llc (registered 2022-07-22)
      Nov 30, 2022 · Advisor changed firm · fact
    • Dawson Bradley Perkins (Chief Product Officer) no longer on Schedule A of Financial Guard, Llc (listed 2022-04-07, absent 2022-11-07)
      Nov 7, 2022 · Control person left · inference
    • Scott Matthew Macomber (President And Chief Operating Officer) appeared on Schedule A of Financial Guard, Llc
      Feb 3, 2022 · Control person joined · fact
    • Dawson Bradley Perkins (Chief Product Officer) appeared on Schedule A of Financial Guard, Llc
      Feb 3, 2022 · Control person joined · fact
    • 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)
      Feb 3, 2022 · Control person left · inference
    • James Ryan Malloy (Operations Manager) appeared on Schedule A of Financial Guard, Llc
      Sep 13, 2021 · Control person joined · fact
    • 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)
      Sep 13, 2021 · Control person left · inference
    • 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)
      Sep 13, 2021 · Control person left · inference
    • Roger Paradiso (Director) no longer on Schedule A of Financial Guard, Llc (listed 2021-06-07, absent 2021-09-13)
      Sep 13, 2021 · Control person left · inference
    • Ryan Kristopher Smith (Director) no longer on Schedule A of Financial Guard, Llc (listed 2021-06-07, absent 2021-09-13)
      Sep 13, 2021 · Control person left · inference
    • 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)
      Sep 13, 2021 · Control person left · inference
    • Andrew Terrence Johnson (Director) no longer on Schedule A of Financial Guard, Llc (listed 2020-08-04, absent 2020-10-01)
      Oct 1, 2020 · Control person left · inference
    • Senthil Kumara Velan Subramanyam (Chief Technology Officer) no longer on Schedule A of Financial Guard, Llc (listed 2020-08-04, absent 2020-10-01)
      Oct 1, 2020 · Control person left · inference
    • Harshendu Bindal (Chairman Of Board And Nominated Executive) appeared on Schedule A of Financial Guard, Llc
      Oct 1, 2020 · Control person joined · fact
    • Purnima Vig (Chief Technology Officer) appeared on Schedule A of Financial Guard, Llc
      Oct 1, 2020 · Control person joined · fact
    • Financial Guard, Llc filed its initial SEC registration (Form ADV)
      Jun 6, 2013 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026