Guardian Capital LP

Registered investment adviser · Toronto, Ontario · CRD #105078

Form ADV data as of 2026-09-01

Regulatory assets

$10.68 billion

Total accounts

218

Employees

Disclosure events

Firm details

Website: https://www.guardiancapitalfunds.com
Telephone: 416-364-8341
SEC file number: 801-56081
Most recent Form ADV filing: 2026-07-17
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 1 disclosure question answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$10.68 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$10.68 billion
Discretionary accounts	218
Non-discretionary accounts	0
Total accounts	218
Regulatory assets under management attributable to non-U.S. persons	$10.60 billion

People

Total employees (excluding clerical)	90
Employees performing investment advisory functions (including research)	38
Employees who are registered representatives of a broker-dealer	0
Employees registered as investment adviser representatives with a state	0
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	3

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementPerformance-based fees

Advisory services offered

Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Banking or thrift institutionTrust companyInsurance company or agencySponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Recommends brokers or dealers to clients
Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Investment companies	2	$54.0 million
Pooled investment vehicles (other than investment companies and BDCs)	73	$6.66 billion
Pension and profit sharing plans (not the participants or government plans)	21	$1.09 billion
Charitable organizations	16	$160.0 million
State or municipal government entities (including government pension plans)	7	$1.41 billion
Other investment advisers	4	$228.9 million
Insurance companies	6	$339.9 million
Corporations or other businesses not listed above	8	$571.4 million
Other	6	$159.9 million