SourcingSourcing

GUARDIAN WEALTH MANAGEMENT, LLC

B55
CRD 146923·SEC 801-125769·SALT LAKE CITY, UT
AUM
$174.8M
$100M-$500M
Est. Revenue
$1.7M
@ 1% on AUM
Est. EBITDA
$524K
@ 30% margin
Est. Deal Value
$4.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
GUARDIAN WEALTH MANAGEMENT, LLC
CRD
146923
SEC file #
801-125769
EIN
621711495
DBA names
Guardian Wealth Management

Economics

AUM
$174.8M
AUM band
$100M-$500M
AUM trajectory
'23'26
$120.0M → $174.8M▲ +46%
Client mix
Individuals Other87
Individuals High Net Worth44

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'23'26
3 advisors → 3 advisors▬ 0%
Primary office
SALT LAKE CITY UT
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/06/2026
ADV-W filed at
—
Website
investgwm.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BARTON, BRIAN, ERIC
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
BARTON, BRIAN, ERIC
BERG, EARL, TODD
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
INVESTGWM.COM
Rdap Domain Creation Date
2008-05-16T14:45:42Z
Rdap Firm Age Years
18
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
63,754
Form 5500 Compensation Trajectory 3y
202563,754
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
63,754
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0002095373
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2026-01-20
Edgar Last Filing Date
2026-04-23
Edgar 13f Count
2
Edgar 13f Latest AUM Estimate
Filing Date2026-04-23
Accession0002095373-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Charles Schwab6
Wells Fargo4
E*trade4
Edgar Addresses
Mailing
6151 SHALLOWFORD ROADSUITE 102CHATTANOOGA, TN 37421
Business
6151 SHALLOWFORD ROADSUITE 102CHATTANOOGA, TN 37421
Edgar EIN
621711495
Edgar Recent Filings
13F-HR2026-04-23 · 0002095373-26-000002
13F-HR2026-01-20 · 0002095373-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-08-10T03:59:59Z
Rdap Domain Last Changed
2025-08-10T13:15:15Z
Rdap Nameservers
Ns37.domaincontrol.comNs38.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
2429506
Trust Company Affiliate
No

People (3)

3
BARTON, BRIAN, ERIC
IAR · Direct Owner · 37.5%
2429506
BERG, EARL, TODD
IAR · Direct Owner · 37.5%
2088127
BERG, COLBY, TODD
IAR · Direct Owner · 17.5%
6449892