Financial Guard, LLC is an internet adviser based in Salt Lake City. It manages $1.48 million of regulatory assets for 11 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.
Financial Guard provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Financial Guard, LLC is $1.48 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -1% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has several streams of revenue. Clients pay Financial Guard, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The only and largest group of clients of James Wentworth Jenkins is individuals with 9 clients and $1.48 million of assets under management. Among the 3 most similar advisory firms, Financial Guard has the 2nd highest percentage of individuals out of all clients.
The amount of regulatory assets under management is $1.48 million for 9 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.
Financial Guard doesn't advise any private funds.
The company employs 19 people that are either part- or full-time employees. 68 percent of the employees work as investment advisers or researchers. 6 employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
James Wentworth Jenkins has been acting as President since 1 Sep 2008. David Garth Williams joined the executive team most recently as the Platform Manager.
The principal office where Financial Guard, LLC performs its advisory services is located at 1952 East Fort Union Blvd, Salt Lake City, UT 84121, which is also the mailing address of the firm. An additional office of the firm is in Stamford, CT. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 614-973-6999. The normal business hours are 8 am to 6 pm on Monday - Friday. You can find more information about the New York firm at financialguard.com.