Private fund adviser · Toronto, Ontario, Canada
Guardian Capital LP
SEC-registered investment adviser · CRD 105078 · SEC 801-56081
At a glance
Guardian Capital LP is an SEC-registered investment adviser based in Toronto, Ontario, Canada, with $10.7 billion in regulatory assets under management as of its Form ADV filed September 9, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 589th of 4,686 private fund advisers and 1,308th of 17,210 SEC-registered advisers by assets.
Main office 416-364-8341guardiancapital.comAs filed on Form ADV
- Regulatory AUM
- $11B
- Rank among private fund advisers
- #589 of 4,686
- Rank among all SEC RIAs
- #1,308 of 17,210
- Clients
- 143
- Accounts
- 218
- Discretionary
- 100% of AUM
- Employees
- 90
- Advisory staff
- 38
- Offices
- 1
Owners and executives on its Form ADV
- Matthew D. TurnerDirector, General Counsel & Secretary
- George MavroudisDirector, Chief Executive Officer
- Donald YiDirector
- Richard D. BritnellChief Compliance Officer
- Nicolas RichardSenior Managing Director and Business Head
- Francis H. MercuriChief Financial Officer
Custody and brokerage
2 custodians
- CIBC Mellon Trust$2.5B74%
- RBC$879M26%
Other RIAs using CIBC Mellon TrustOther multi-custodian RIAs
Broker-dealer
Affiliated broker-dealer
It names an affiliated broker-dealer: Worldsource Wealth Management Inc..
- Worldsource Wealth Management Inc.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 73 | $6.7B | 62% |
| State or municipal government entities | 7 | $1.4B | 13% |
| Pension and profit sharing plans | 21 | $1.1B | 10% |
| Corporations or other businesses | 8 | $571M | 5% |
| Insurance companies | 6 | $340M | 3% |
| Other investment advisers | 4 | $229M | 2% |
| Charitable organizations | 16 | $160M | 1% |
| Other | 6 | $160M | 1% |
| Investment companies | 2 | $54M | <1% |
Disciplinary disclosures
Guardian Capital LP answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗guardiancapital.com ↗
AtlasMembers
The full record on Guardian Capital LP
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 952 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Guardian Capital LP manage?
Guardian Capital LP reports $10.7 billion in regulatory assets under management across 218 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 9, 2026.
What kind of firm is Guardian Capital LP?
Guardian Capital LP is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets. It reports a bank or thrift among its related persons.
Who are Guardian Capital LP’s clients?
By assets, its largest client types are pooled investment vehicles ($6.7 billion, 73 clients); state or municipal government entities ($1.4 billion, 7 clients); pension and profit sharing plans ($1.1 billion, 21 clients).
Does Guardian Capital LP have any disciplinary history?
Guardian Capital LP answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Guardian Capital LP’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-09), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →