Guardian Investor Services LLC (New York)


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/.