Guardian Investor Services LLC (New York)

Name: Guardian Investor Services LLC
Address: 7 Hanover Square, New York, NY, 10004
Telephone: 212-919-2517

Guardian Investor Services LLC is a large advisory firm based in New York. It manages $4.85 billion of regulatory assets for 12 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of New York.

Guardian Investor Services provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Guardian Investor Services: assets under management

The assets under management (AUM) of Guardian Investor Services LLC is $4.85 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -40% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $4.85 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $404.39 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Guardian Investor Services LLC for their services and products based on a percentage of assets under management. 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.

Careers at Guardian Investor Services LLC

Peter Lounsbery Hutchings has been acting as President since 1 Aug 1998. Thomas George Sorell has served as the Chief Investment Officer since 1 Mar 2003. Donald Paul Jr Sullivan joined the executive team most recently as the Llc Manager.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. The Guardian Insurance & Annuity Co.	Owner	1 Dec 1992	75% - 100%	13-2656036
Thomas George Sorell	Sr. managing director	1 Aug 1994	Other	1020936
Donald Paul Jr Sullivan	Vice president	1 Feb 1995	Other	1022281
Frank Louis Pepe	Finance/accounting officer	1 Nov 1995	Other	1439124
Richard Allen Jr Cumiskey	Second vice president	1 Mar 1996	Other	1276853
Joseph Anthony Caruso	Secretary	1 Aug 1998	Other	1087300
Peter Lounsbery Hutchings	Director	1 Aug 1998	Other	1818601
Frank Joseph Jones	Director	1 Aug 1998	Other	1358943
Richard Thomas Jr Potter	Vice president/counsel	1 Aug 1998	Other	1469205
Joseph Dudley Sargent	Chairman/director	1 Aug 1998	Other	410994
Bruce Carson Long	Executive vice- president & director	1 Sep 1999	Other	312135
Dennis S Callahan	Llc manager	1 Oct 2000	Other	4939890
Armand Michael Depalo	Director	1 Mar 2001	Other	4416954
Gary Bert Lenderink	Director	1 Mar 2002	Other	4560183
Thomas George Sorell	Chief investment officer	1 Mar 2003	Other	1020936
Dennis Manning	Director	1 Mar 2003	Other	318946
Robert Ernest Iii Broatch	Director	1 Mar 2003	Other	xxx-xx-xxxx
Robert Ernest Broatch	Director	1 Mar 2003	Other	xxx-xx-xxxx
Richard Thomas Jr Potter	Sr. vice president & counsel	1 Apr 2004	Other	1469205
Bruce Carson Long	President	1 Apr 2004	Other	312135
Richard Allen Jr Cumiskey	Sr. vice president & compliance officer	1 Apr 2004	Other	1276853
Donald Paul Jr Sullivan	Sr. vice president	1 Apr 2004	Other	1022281
Frank Louis Pepe	Sr. vice-president & controller	1 Apr 2004	Other	1439124
John H. Walter	Sr. vp & controller	1 Jun 2006	Other	2358945
John Harold Walter	Sr. vp & controller	1 Jun 2006	Other	2358945
The Guardian Life Insurance Company Of America	Owner	1 Aug 2006	75% - 100%	13-5123390
Donald Paul Jr Sullivan	Exec. v.p., broker dealer	1 Apr 2007	Other	1022281
Richard Allen Jr Cumiskey	Executive president	1 Jan 2008	Other	1276853
Margaret W Skinner	President	1 Feb 2008	Other	2255576
Kenneth Rone Baldwin	Llc manager	1 Apr 2009	Other	1889205
Kurt Joseph Shallow	V.p., risk products distribution	1 Apr 2010	Other	1650106
Tracy Leon Rich	Exec. vp, general counsel & corp. sec.	1 Apr 2010	Other	xxx-xx-xxxx
Andrew Mead Shainberg	Broker dealer chief compliance officer	1 Apr 2011	Other	4987237
Eileen Marie Doncsecz	Investment adviser chief compliance officer, interim	1 Apr 2011	Other	4297813
Michael B Cefole	Llc manager	1 Aug 2011	Other	2720073
Michael Joseph Bessel	Chief compliance officer, adviser	1 Nov 2011	Other	2963742
Donald Paul Jr Sullivan	President	1 Jan 2012	Other	1022281
D. Scott Dolfi	Llc manager	1 Jan 2012	Other	5384389
Michael Nicholas Ferik	Llc manager	1 Jul 2012	Other	4994941
Linda Ellen Senker	Chief compliance officer - broker dealer	1 Oct 2013	Other	1980001
Michael B Cefole	President & llc manager	1 Oct 2013	Other	2720073
Donald Paul Jr Sullivan	Senior vice president	1 Nov 2013	Other	1022281
Caitlin S J Pincus	Llc manager	1 Feb 2014	Other	3031802
Donald Paul Jr Sullivan	Llc manager	1 Mar 2015	Other	1022281

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
The Guardian Life Insurance Company Of America	Owner	1 Jun 1970	75% - 100%	13-5123390

Based in New York

The principal office where Guardian Investor Services LLC performs its advisory services is located at 7 Hanover Square, New York, NY 10004, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-919-2517 or by fax 212-919-2320. The normal business hours are 8:45 a.m.- 4:30 p.m. on Monday - Friday. You can find more information about the New York firm at guardianlife.com/.