Capital Guardian was founded and built with the vision to provide an unconstrained environment for financial advisors and their clients to thrive without the restrictive boundaries and bureaucracies of a large investment firm. You will be part of a team who has access to the best products, services and technology available in the financial services industry today.
At Capital Guardian, we are independently owned, so our allegiance is to our advisors and their clients. We focus on helping you achieve your goals, using the elements of a true partnership:
- Personalized Service - A relationship manager who is dedicated to your business
- A meaningful relationship with the home office
- Access to the top executives; some of them still work with clients
- Flexibility to address your special needs
- Payment on every account and household, regardless of size
- Full commission hits your grid
- Flexibility to add investment managers and products that you desire
- Open Platform - we listen to suggestions; we share ideas
- Help with recruitment for your office is available when needed
In addition to our partnership with Pershing for the best technology and clearing available, we also provide access to some of the best technology in the industry:
- Paperless office solutions
- Pre-populated forms for easy account opening and transfers
- Consolidated reporting
- Instant FINRA approved correspondence with custom personalization
- Desktop workstation provided by Pershing with remote access capabilities
- Account modeling with order blast trading; trade large groups of accounts or change models with one trade
- Contact management systems
- A variety of financial planning software
- Data aggregation and performance monitoring
- Independent research for stocks, mutual funds and third-party money managers
- Online account access with eDelivery of statements, confirms and other account related materials
We don’t have proprietary products. So you have the freedom to provide almost any solution to meet your client needs, including:
- Transactional Business
- Commodity Trading
- Traditional share class Mutual Funds
- Fixed, Immediate and Variable Annuities
- Life and Long Term Care Insurance
- Separate Managed Accounts (SMA) and Unified Managed Accounts (UMA)
- Discretionary & Non-Discretionary Fee-Based Portfolio Management
- Fee-based Financial Planning or Flat-Fee client billing capabilities
- Alternative Investments - Managed Futures, Hedge Funds, Private Equity, REITs, Oil & Gas, etc.
- Structured Notes and Equity-Linked CDs
- Bond Central - Corporate, Municipal & Treasury Bonds, Preferred Securities, CDs, etc.
- Direct access to dedicated fixed income traders
- Over 100 Money Market Funds - We do NOT tier client money market rates
- Cash Management - ProCash Plus® is a comprehensive asset management account with check writing, debit/ATM card, online bill payment and rewards program
- Lending - Mortgages, Home Equity Lines, Margin and Non-Purpose Lending
- Trust Services
