SEC-registered independent wealth management RIA
Guide Wealth Management
As of its Form ADV filed March 24, 2026, Guide Wealth Management, an SEC-registered independent wealth management RIA in Putnam Valley, New York, reported $42.1 million in regulatory assets under management across 183 accounts, ranking #635 among independent RIAs in New York by assets.
Registration
- Main office
- Putnam Valley, NY
- Registration
- SEC-registered, Approved
- CRD number
- 264788
- SEC file number
- 801-129937
- Registered since
- April 22, 2024
- Latest Form ADV filing
- March 24, 2026
- Legal name
- GUIDE WEALTH MANAGEMENT LLC
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $42.1 million
- Discretionary
- $42.1 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 183 (183 discretionary)
- Clients
- 39, approximate as reported
- Employees
- 2
- Advisory staff
- 1 performing investment advisory functions
- Average account
- $230,046
- Asset growth, 1 year
- 30.5% (from $32.3 million a year earlier)
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- 5.4% (from 37)
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2024 | $27.2 million |
| September 2, 2025 | $32.3 million |
| October 2, 2026 | $42.1 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 16 clients | $35.2 million | |
| Individuals (other than high net worth) 21 clients | $6.9 million | |
| Corporations or other businesses fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Pension consulting
Financial planning clients (Item 5.H): 26-50.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Accountant or accounting firm
Financial industry affiliations (Item 7.A)
- Accountant or accounting firm
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 1
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 1
Designations held by the firm's IARs: CFP 1.
0 of the firm's 1 IAR are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| Arrival Capital Management LLC | New York | $42.4 million |
| Expected Value Management LLC | New York | $42.0 million |
| Focus Planning Group | Bayport | $41.8 million |
| Benkei Asset Management | Gardiner | $41.7 million |
| Pricap Advisors LLC | New York | $41.7 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Guide Wealth Management on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: guidewealth.com
- Independent RIAs in New York
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.