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 Financial Partners, LLC
Latest filing Feb 5, 2026
First filing on the tape Apr 7, 2017 · 21 filings
SEC status approved since Apr 28, 2017
RAUM
$912M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
45%
$411M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$912M as of Feb 5, 2026
Feb 1, 2018$166M then
HNW client RAUM$327M as of Feb 5, 2026
Feb 1, 2018$60.5M then
State-registered IARs (5.B.3)3 as of Feb 5, 2026
Feb 1, 20183 then
Employees (5.A)4 as of Feb 5, 2026
Feb 1, 20184 then
Private funds: no history
RAUM +9.1% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 54%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $552MreportedItem 5.I
- Custody
- $86.6M, 134 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$473M52%
- High-net-worth individuals$327M36%
- Individuals$83.8M9.2%
- Charitable organizations$16.5M1.8%
- Corporations and businesses$11.0M1.2%
- Individual clients
- 181reported
- HNW clients
- 246reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 906reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $86.6M for 134 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.45 fund_share=0.0 institutional_share=0.54 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Casey Steven BartelsCertified Financial Planner | Orange, Ca | Apr 28, 2017 | 19 y | 1 |
| Patrick Claude Robert Guinet | Orange, Ca | Apr 28, 2017 | 39 y | 2 |
| Hung Phuc NguyenCertified Financial Planner | Orange, Ca | Apr 28, 2017 | 29 y | 2 |
| Ilkay Sepulveda | Laguna Niguel, Ca | Feb 17, 2023 | 18 y | 0 |
| Norris Benedict Perez | Santa Ana, Ca | Apr 11, 2024 | 30 y | 0 |
| Paula Jane Hart | Irvine, Ca | May 15, 2024 | 27 y | 5 |
| Sharon Oberlander Novell | Arcadia, Ca | Oct 23, 2024 | 20 y | 0 |
| Robert Edward Novell | Arcadia, Ca | Dec 4, 2025 | 32 y | 1 |
| John Felix Bodovitz | Corona Del Mar, Ca | Jan 1, 2026 | 42 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Daniel Cucuiat to Fidelity Personal And Workplace AdvisorsAug 8, 2022 · RIA to affiliated broker-dealer or bank
- Michele Gerel Miranda to Gradient Advisors, LLCApr 25, 2022 · RIA to RIA
Joined, latest
- John Felix Bodovitz from Western International SecuritiesJan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- Robert Edward Novell from Novell Investment Management Company, Inc.Dec 4, 2025 · Other
- Daniel Cucuiat from Signature Resources Capital Management, LLCMay 7, 2021 · RIA to RIA
- Patrick Claude Robert Guinet from Wells Fargo AdvisorsApr 28, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Hung Phuc Nguyen from Wells Fargo AdvisorsApr 28, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Casey Steven Bartels from Wells Fargo AdvisorsApr 28, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Wells Fargo AdvisorsMay 1, 2017 · Newport Beach, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Steven Casey Bartels · Managing Membercontrolsince 04/2017 · owns 10% to 25%
- Claude Robert Patrick Guinet · Managing Membercontrolsince 04/2017 · owns 50% to 75%
- Phuc Hung Nguyen · Chief Compliance Officer & Managing Membercontrolsince 04/2017 · owns 25% to 50%
- Steven Casey Bartels · Managing Membercontrolsince 04/2017 · owns 75% or more of Ck Financial, LLC
- Claude Robert Patrick Guinet · Managing Membercontrolsince 04/2017 · owns 75% or more of Pt3gb, LLC
- Phuc Hung Nguyen · Managing Membercontrolsince 04/2017 · owns 75% or more of Hmgl, LLC
Entity owners
- Ck Financial LLC · Memberdirect · owns 25% to 50%
- Hmgl LLC · Memberdirect · owns 10% to 25%
- Pt3gb, LLC · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Orange, Ca · principal | 3 | 0 | 0 | ||
| Arcadia, Ca | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Feb 5, 2026institutional share of RAUM of 54% against a peer median of 2% (1483 comparable advisers, 98.0th percentile, 17.6 robust deviations)peers: independent wealth managers, $500M to $1B (1,483) · 98% percentile
What changed
consecutive filings, newest first
- Individual clients · 174 to 181Feb 12, 2025 to Feb 5, 2026
- Accounts · 796 to 906Feb 12, 2025 to Feb 5, 2026
- HNW clients · 212 to 246Feb 12, 2025 to Feb 5, 2026
- Pension plan clients · 10 to 6Feb 12, 2025 to Feb 5, 2026
- Assets in custody · $71.5M to $86.6MFeb 12, 2025 to Feb 5, 2026
- Employees · 5 to 4Feb 12, 2025 to Feb 5, 2026
- Discretionary RAUM · $836M to $912MFeb 12, 2025 to Feb 5, 2026
- HNW RAUM · $288M to $327MFeb 12, 2025 to Feb 5, 2026
- Individual RAUM · $84.6M to $83.8MFeb 12, 2025 to Feb 5, 2026
- Pension RAUM · $441M to $473MFeb 12, 2025 to Feb 5, 2026
- RAUM · $836M to $912MFeb 12, 2025 to Feb 5, 2026
- Accounts · 710 to 796Mar 5, 2024 to Feb 12, 2025
- Corporate clients · 5.0 to unsetMar 5, 2024 to Feb 12, 2025
- HNW clients · 178 to 212Mar 5, 2024 to Feb 12, 2025
- Individual clients · 162 to 174Mar 5, 2024 to Feb 12, 2025
- Pension plan clients · 14 to 10Mar 5, 2024 to Feb 12, 2025
- Assets in custody · $71.0M to $71.5MMar 5, 2024 to Feb 12, 2025
- Financial planning clients · 0 to 0Mar 5, 2024 to Feb 12, 2025
- Discretionary RAUM · $764M to $836MMar 5, 2024 to Feb 12, 2025
- HNW RAUM · $232M to $288MMar 5, 2024 to Feb 12, 2025
- Individual RAUM · $76.2M to $84.6MMar 5, 2024 to Feb 12, 2025
- Pension RAUM · $436M to $441MMar 5, 2024 to Feb 12, 2025
- RAUM · $764M to $836MMar 5, 2024 to Feb 12, 2025
- Accounts · 618 to 710Feb 20, 2023 to Mar 5, 2024
- HNW clients · 138 to 178Feb 20, 2023 to Mar 5, 2024
- Individual clients · 150 to 162Feb 20, 2023 to Mar 5, 2024
- Pension plan clients · 18 to 14Feb 20, 2023 to Mar 5, 2024
- Assets in custody · $25.0M to $71.0MFeb 20, 2023 to Mar 5, 2024
- Employees · 4 to 5Feb 20, 2023 to Mar 5, 2024
- Discretionary RAUM · $675M to $764MFeb 20, 2023 to Mar 5, 2024
- HNW RAUM · $183M to $232MFeb 20, 2023 to Mar 5, 2024
- Individual RAUM · $62.4M to $76.2MFeb 20, 2023 to Mar 5, 2024
- Pension RAUM · $413M to $436MFeb 20, 2023 to Mar 5, 2024
- RAUM · $675M to $764MFeb 20, 2023 to Mar 5, 2024
- Accounts · 599 to 618Mar 14, 2022 to Feb 20, 2023
- Advisory employees · 4 to 3Mar 14, 2022 to Feb 20, 2023
- Corporate clients · unset to 5.0Mar 14, 2022 to Feb 20, 2023
- HNW clients · 111 to 138Mar 14, 2022 to Feb 20, 2023
- Individual clients · 153 to 150Mar 14, 2022 to Feb 20, 2023
- Pension plan clients · 21 to 18Mar 14, 2022 to Feb 20, 2023
Signals
4 dated events
- Daniel Cucuiat left Guardian Financial Partners, Llc for Fidelity Personal And Workplace Advisors (registered 2023-01-10)Aug 8, 2022 · Advisor changed firm · fact
- Michele Gerel Miranda left Guardian Financial Partners, Llc for Gradient Advisors, Llc (registered 2022-06-30)Apr 25, 2022 · Advisor changed firm · fact
- Guardian Financial Partners, Llc reported RAUM $631.2M, up 192% from $216.3M (2020-01-20 to 2020-02-12)Feb 12, 2020 · RAUM change · derived
- Guardian Financial Partners, Llc filed its initial SEC registration (Form ADV)Apr 7, 2017 · 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@guardianfinancialpartners.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 949-771-2969reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/guardian-financial-partnersreportedpublic record, Form ADV, Sep 17, 2026
- Website
- GUARDIANFINANCIALPARTNERS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 949-771-2969reportedpublic record, Form ADV, Feb 5, 2026
- Contact form
- guardianfinancialpartners.com/contact-usreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- guardianfinancialpartners.com/our-teamreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026