As a Fiduciary, we offer independent and unbiased investment management. Our primary focus is on preservation of capital and protection from inflation.
Our business consists of managing security accounts, each of which uses as custodian, a bank, or broker selected by the client. We hold a limited power of attorney that authorizes us to buy or sell securities. Although we do not consult with clients prior to individual security purchases and sales, occasional consultations are held to discuss general matters such as how the account managed by Guardian Investments relates to the client's other assets and requirements. Some clients impose restrictions on investment in certain securities or types of securities. Client portfolios are invested in stocks, taxable and tax-exempt bonds, and short-term instruments such as Treasury bills and money market funds. On occasion, we may invest in mutual funds, Exchange Traded Funds and other similar co-mingled investment products for smaller accounts managed as a courtesy for existing clients. A separate account is maintained for each client.
|Firm Start Year:||1976|
|Name of Broker/Dealer:||Schwab Institutional|
|Name of Custodial Firm:||Schwab Institutional|
|States Licensed in:||CA|
|Number of Years with Current Firm:||5|
Qualifications & Memberships
|Financial Organization Memberships:||CFA Institute|
|Firm's Number of Clients:||106|
|Firm's Number of Planning Clients:||0|
|Firm's Number of Managed Clients:||106|
|Assets Managed by Firm:||$267,000,000|
|Assets Managed by Advisor:||$50,000,000|
Compensation and Fees
|Fee Structure:||I am a Fee-Only financial professional|
|Compensation Methods:||Based on Assets|
|Fee % Based on Assets:||0.75 to 1|
|Organization:||Business Advisory Board University of Mississippi, Oxford, MS|
|Position :||Member/Past Chairman|
|Duration :||2007-Currently holding|
|Organization:||Fraternal Care Trust Franciscan Friars of California|
|Duration :||2008-Currently holding|
|BPA - Public Admin/ Naval Science||
Univ. of Mississippi - Oxford, MS
Univ. of Colorado - Denver, CO
Stephen A. Ethridge Steve Prior to joining Guardian, Steve was a principal at the San Francisco-based Registered Investment Adviser Stewart and Patten Co., LLC for two decades. During his tenure at Stewart and Patten assets under management at the Firm rose from $265 million to $725 million. Before that he spent time at BTR Capital Management, Bank of California and helped to found Spare, Kaplan, Bischel and Associates (now SKBA Capital Management). He is a long time member of the CFA Society of San Francisco and the CFA Institute. He served 24 years as a U.S. Navy Supply Corps Officer 7 on active duty and 17 as a Selective Reservist. He retired in 2005 as a highly decorated Captain. He helped to found and served as the initial CFO of Military Advantage which was eventually sold to Monster, Inc. He is a current member and past Chairman of the Business Advisory Board and a Director of the Rebel Venture Capital Fund at the University Of Mississippi School Of Business. He also serves as a Trustee of the Fraternal Care Trust for the Franciscan Friars in California. Steve is a Senior Portfolio Manager and is Guardians Chief Compliance Officer.
Financial Advice & Consulting
We are primarily an asset management firm, but we routinely provide complementary financial advice to clients on a variety of topics.
Financial Planning for Individuals
We are not pure planners, but often help clients with scenario planning for major life events.
Financial Planning for Businesses
We are not pure planners, but our team has extensive experience in the management of organizations of all sizes and are more than willing to offer business clients thoughts and advice as needed.
|El Cerrito||El Sobrante|
|Point Reyes Station||Port Costa|
|San Anselmo||San Bruno|
|San Francisco||San Geronimo|
|San Leandro||San Lorenzo|
|San Pablo||San Quentin|
|South San Francisco||Stinson Beach|
|Mon.||9:00 AM - 5:00 PM|
|Tue.||9:00 AM - 5:00 PM|
|Wed.||9:00 AM - 5:00 PM|
|Thu.||9:00 AM - 5:00 PM|
|Fri.||9:00 AM - 5:00 PM|
The Legion of Merit (LOM) is a military award of the United States Armed Forces that is given for exceptionally meritorious conduct in the performance of outstanding services and achievements. The decoration is issued to members of the seven uniformed services of the United States as well as to military and political figures of foreign governments.? more