Guardian Rock Wealth Investment Management, Inc.

Guardian Rock Wealth Investment Management, Inc. is an Illinois corporation established in 2002 and registered as an investment adviser since 2012. The firm offers investment and portfolio management services, financial planning, and values-based investing through its Advocacy Investing® strategy. They tailor services to each client's financial needs and goals, focusing on maximizing returns in a cost-conscious manner. The firm utilizes various securities, including equities, mutual funds, ETFs, options, and fixed-income securities. Financial planning services cover a range of areas such as estate planning, tax planning, and insurance. Guardian Rock manages client accounts on a discretionary basis, providing full control over investment decisions. The firm charges annual fees based on a tiered structure, starting at 1.25% for the first $500,000. The minimum annual fee is $6,250 per account relationship. Clients are not required to have a minimum initial account value, but the minimum fee may affect smaller accounts. Guardian Rock does not charge performance-based fees and does not receive compensation for client referrals. The firm does not have custody of client funds but has constructive custody for fee deductions. Clients receive regular account statements from the custodian. John Browning is the CEO and CCO, while Roy Neal is an Investment Adviser Representative at the firm. Both individuals have clean disciplinary records and are licensed insurance agents. They do not receive additional compensation from non-clients. John Browning and Roy Neal oversee all advisory activities at Guardian Rock.