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.
SEC-registered adviser
Guardian Wealth Strategies, LLC
Latest filing Feb 20, 2026
First filing on the tape Dec 4, 2015 · 32 filings
SEC status approved since Jan 4, 2016
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$1.1B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$228M
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.1B as of Feb 20, 2026
Jan 25, 2016$110M then
HNW client RAUM$776M as of Feb 20, 2026
Mar 12, 2018$151M then
State-registered IARs (5.B.3)5 as of Feb 20, 2026
Jan 25, 20163 then
Employees (5.A)11 as of Feb 20, 2026
Jan 25, 20166 then
Private funds: no history
RAUM +21% over the last fiscal year+26% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 20, 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
- $228MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 247derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $265,923derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $100M, 15 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$776M68%
- Individuals$333M29%
- Charitable organizations$29.2M2.6%
- Individual clients
- 858reported
- HNW clients
- 376reported
- Pension plan clients
- 0reported
- Charitable clients
- 39reported
- Accounts
- 4,278reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $100M for 15 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| Benjamin Curtis Olson | Minneapols, Mn | Apr 12, 2017 | 20 y | 0 |
| Brent Dean Hoppe | Minneapols, Mn | Mar 9, 2020 | 25 y | 1 |
| Kyle Macintyre ThomasCertified Financial Planner | Minneapols, Mn | Jan 25, 2024 | 16 y | 1 |
| Gregory Joseph GassertCertified Financial Planner | Minneapols, Mn | Jan 6, 2025 | 25 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Paul August Alegi to Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 15, 2019 · RIA to wirehouse
- Luke T Hannahan to Advisornet Wealth PartnersMay 3, 2019 · RIA to RIA
- Clifton Anthony Ross to Belpointe Asset Management LLCMay 3, 2019 · RIA to RIA
- Mark Edward Kuhne to Horter Investment Management, LLCDec 31, 2016 · Other
Joined, latest
- Gregory Joseph Gassert from Advice And Planning ServicesJan 6, 2025 · Other
- Kyle Macintyre Thomas from RBC Capital Markets, LLCJan 25, 2024 · Affiliated broker-dealer or bank to independent RIA
- Brent Dean Hoppe from Advice And Planning ServicesMar 9, 2020 · Other
- Paul August Alegi from Isc Financial AdvisorsNov 10, 2017 · Other
- Luke T Hannahan from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 3, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Gregory Gassert · Chief Compliance Officercontrolsince 04/2013 · owns less than 5%
- Dean Brent Hoppe · Foundercontrolsince 04/2013 · owns less than 5%
- Joseph Gregory Gassert · Membercontrolsince 01/2015 · owns 50% to 75% of Universtiy Investment Advisors
- Dean Brent Hoppe · Membercontrolsince 01/2015 · owns 25% to 50% of University Investment Advisors
Entity owners
- University Investment Advisors · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- All Things Financial LLCreal estaten
- Guardian Insurance Solutions, LLCreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Minneapols, Mn · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Burnsville, MN1 employees
- Burnsville, MN1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Feb 20, 2026insurance affiliate (Item 7.A.10): no on the filing of 2025-08-15, yes on the filing of 2026-02-20peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 4,004 to 4,278Aug 15, 2025 to Feb 20, 2026
- Charity clients · 30 to 39Aug 15, 2025 to Feb 20, 2026
- HNW clients · 266 to 376Aug 15, 2025 to Feb 20, 2026
- Individual clients · 922 to 858Aug 15, 2025 to Feb 20, 2026
- Financial planning clients · 101-250 to 251-500Aug 15, 2025 to Feb 20, 2026
- Discretionary RAUM · $937M to $1.1BAug 15, 2025 to Feb 20, 2026
- HNW RAUM · $561M to $776MAug 15, 2025 to Feb 20, 2026
- Individual RAUM · $359M to $333MAug 15, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $6.6M to $0Aug 15, 2025 to Feb 20, 2026
- RAUM · $944M to $1.1BAug 15, 2025 to Feb 20, 2026
- Related insurance company · false to trueAug 15, 2025 to Feb 20, 2026
- Insurance-licensed employees · 0 to 1Jan 14, 2025 to Aug 15, 2025
- Accounts · 3,352 to 4,004Jan 25, 2024 to Jan 14, 2025
- Charity clients · 28 to 30Jan 25, 2024 to Jan 14, 2025
- HNW clients · 208 to 266Jan 25, 2024 to Jan 14, 2025
- Individual clients · 769 to 922Jan 25, 2024 to Jan 14, 2025
- Assets in custody · unset to 100000000.0Jan 25, 2024 to Jan 14, 2025
- Custody of client assets · false to trueJan 25, 2024 to Jan 14, 2025
- Financial planning clients · 251-500 to 101-250Jan 25, 2024 to Jan 14, 2025
- Discretionary RAUM · $726M to $937MJan 25, 2024 to Jan 14, 2025
- HNW RAUM · $432M to $561MJan 25, 2024 to Jan 14, 2025
- Individual RAUM · $279M to $359MJan 25, 2024 to Jan 14, 2025
- Non-discretionary RAUM · $6.5M to $6.6MJan 25, 2024 to Jan 14, 2025
- RAUM · $732M to $944MJan 25, 2024 to Jan 14, 2025
- Accounts · 3,073 to 3,352Aug 22, 2023 to Jan 25, 2024
- Advisory employees · 4 to 5Aug 22, 2023 to Jan 25, 2024
- Charity clients · 26 to 28Aug 22, 2023 to Jan 25, 2024
- HNW clients · 186 to 208Aug 22, 2023 to Jan 25, 2024
- Individual clients · 708 to 769Aug 22, 2023 to Jan 25, 2024
- Employees · 10 to 11Aug 22, 2023 to Jan 25, 2024
- Financial planning clients · 101-250 to 251-500Aug 22, 2023 to Jan 25, 2024
- State-registered IARs · 4 to 5Aug 22, 2023 to Jan 25, 2024
- Discretionary RAUM · $653M to $726MAug 22, 2023 to Jan 25, 2024
- HNW RAUM · $431M to $432MAug 22, 2023 to Jan 25, 2024
- Individual RAUM · $207M to $279MAug 22, 2023 to Jan 25, 2024
- Non-discretionary RAUM · $10.5M to $6.5MAug 22, 2023 to Jan 25, 2024
- RAUM · $663M to $732MAug 22, 2023 to Jan 25, 2024
- Accounts · 2,720 to 3,073Mar 2, 2023 to Aug 22, 2023
- Charity clients · 25 to 26Mar 2, 2023 to Aug 22, 2023
- HNW clients · 173 to 186Mar 2, 2023 to Aug 22, 2023
Signals
4 dated events
- Guardian Wealth Strategies, Llc reported RAUM $944.1M, up 29% from $732.1M (2024-01-25 to 2025-01-14)Jan 14, 2025 · RAUM change · derived
- Guardian Wealth Strategies, Llc reported RAUM $495.3M, up 33% from $371.5M (2021-06-01 to 2022-02-03)Feb 3, 2022 · RAUM change · derived
- Clifton Ross (Owner) no longer on Schedule A of Guardian Wealth Strategies, Llc (listed 2019-02-25, absent 2019-05-03)May 3, 2019 · Control person left · inference
- Guardian Wealth Strategies, Llc filed its initial SEC registration (Form ADV)Dec 4, 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 phone
- 952-746-1746reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 612-601-8935reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- GWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 952-746-1746reportedpublic record, Form ADV, Feb 20, 2026
- Team page
- gwealth.com/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
- $228Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026