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

Garda Financial

Former SEC-registered adviserSalt Lake City, UtahCRD 170354SEC 801-79362IAPD
Legal name Garda Financial, LLC
Latest filing Jan 20, 2017
First filing on the tape Mar 7, 2014 · 10 filings
RAUM
$9.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$15.0M as of Mar 2, 2016
Mar 17, 2015$15.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 2, 2016
Mar 17, 20152 then
Employees (5.A)2 as of Mar 2, 2016
Mar 17, 20152 then
Private funds: no history
RAUM -34% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 20, 2017; every figure names its basis
RAUM per advisor
$4.9MderivedRAUM 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
$89,886derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
110reported
Financial planning clients
26-50reported
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
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
    • Christian Ryan O'Shea · Chief Compliance Officercontrol
      since 03/2014 · owns less than 5%
    • Christian Ryan O'Shea · Ownercontrol
      since 07/2008 · owns 75% or more of O'Shea Advisory Group, Inc.
    Entity owners
    • O'Shea Advisory Group, Inc. · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • Garda Insurance
      real estatey
    • La Sal Management, LLC
      pooled vehicle sponsorn
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HQ city · unset to SALT LAKE CITY
      Dec 22, 2016 to Jan 20, 2017
    • HQ state · unset to UT
      Dec 22, 2016 to Jan 20, 2017
    • Discretionary RAUM · $10.8M to $9.9M
      Dec 22, 2016 to Jan 20, 2017
    • RAUM · $10.8M to $9.9M
      Dec 22, 2016 to Jan 20, 2017
    • Discretionary RAUM · $15.0M to $10.8M
      Jul 13, 2016 to Sep 13, 2016
    • RAUM · $15.0M to $10.8M
      Jul 13, 2016 to Sep 13, 2016
    • Accounts · 95 to 110
      Mar 17, 2015 to Mar 2, 2016
    • Accounts · 0 to 95
      May 6, 2014 to Mar 17, 2015
    • Advisory employees · 1 to 2
      May 6, 2014 to Mar 17, 2015
    • Employees · 1 to 2
      May 6, 2014 to Mar 17, 2015
    • Financial planning clients · 0 to 26-50
      May 6, 2014 to Mar 17, 2015
    • State-registered IARs · 1 to 2
      May 6, 2014 to Mar 17, 2015
    • Discretionary RAUM · $0 to $15.0M
      May 6, 2014 to Mar 17, 2015
    • RAUM · $0 to $15.0M
      May 6, 2014 to Mar 17, 2015
    • Advisory activities · 2 to 3
      Apr 1, 2014 to Apr 4, 2014
    Signals
    1 dated events
    • Garda Financial filed its initial SEC registration (Form ADV)
      Mar 7, 2014 · 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