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GUARDIAN CAPITAL LP

dba GUARDIAN CAPITAL LP · CRD 105078 · Registered Investment Adviser

Civil/Other disclosure

GUARDIAN CAPITAL LP is a Registered Investment Adviser. The firm reports $10,679,458,174 in regulatory assets under management across 218 accounts. It reports 1 Form ADV Item 11 disciplinary disclosure(s) (Civil/Other).

Regulatory assets under management

Discretionary	$10,679,458,174
Non-discretionary	$0
Total RAUM	$10,679,458,174
Accounts	218

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 1 Item 11 disclosure question(s):

Category	Reported
Criminal (11A / 11B)	—
Regulatory (11C–11F)	—
Civil / Other (11G / 11H)	Yes

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 105078. adviserinfo.sec.gov/firm/summary/105078.
SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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