GUARDIAN WEALTH ADVISORS, LLC / NC

RALEIGH, NC · CIK 1901403 · 13F filing filed 2023-02-14

SEC-registered investment adviser since 2020 · limited liability company

Assets managed$2.7bn
Staff50 · 30 in investment roles
Main clients (by assets)High net worth individuals 56%, Pension plans 27%, Individuals 16%
Websitevalleypeakfinancial.com
Form ADV · 2026-03-26SEC adviser record

$520.2m reported value -3.1% vs Q3 2022

374positions

60.8%in top 10

47 new 84 added 112 reduced 25 sold out vs Q3 2022

Holdings, Q4 2022

The small lines show how much was held over the last 4 quarters (adjusted for stock splits).

#	Security	Ticker	Shares	Value	% of portfolio	Change	Shares change
1	ETF SER SOLUTIONS APTUS DEFINED DRSK	DRSK	3,153,540	$80.7m15.52%	15.52%	Reduced -873.1k	-873,130 -21.7%
2	ETF SER SOLUTIONS APTUS COLLRD INV ACIO	ACIO	2,398,241	$69.1m13.29%	13.29%	Reduced -8.7k	-8,672 -0.4%
3	ETF SER SOLUTIONS OPUS SML CP VL OSCV	OSCV	1,194,279	$37.0m7.11%	7.11%	Added +118.7k	+118,656 11.0%
4	ETF SER SOLUTIONS APTUS DRAWDOWN ADME	ADME	1,085,583	$36.5m7.01%	7.01%	Reduced -496.9k	-496,940 -31.4%
5	FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF FTCS	FTCS	251,483	$18.8m3.62%	3.62%	Reduced -24.4k	-24,448 -8.9%
6	J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM JEPI	JEPI	333,462	$18.4m3.53%	3.53%	Added +270.8k	+270,773 431.9%
7	PACER FDS TR US CASH COWS 100 COWZ	COWZ	365,522	$16.9m3.25%	3.25%	Added +28.1k	+28,071 8.3%
8	FIRST TR EXCHANGE TRADED FD RISNG DIVD ACHIV RDVY	RDVY	357,992	$15.7m3.02%	3.02%	Reduced -3.2k	-3,210 -0.9%
9	LISTED FD TR HORIZON KINETICS INFL	INFL	378,102	$11.9m2.29%	2.29%	Reduced -197.8k	-197,841 -34.4%
10	SCHWAB STRATEGIC TR US LRG CAP ETF SCHX	SCHX	252,019	$11.4m2.19%	2.19%	Reduced -17.7k	-17,718 -6.6%
11	APPLE INC COM AAPL	AAPL	85,065	$11.1m2.12%	2.12%	Reduced -1.7k	-1,711 -2.0%
12	SPDR S&P 500 ETF TR TR UNIT SPY	SPY	22,380	$8.6m1.65%	1.65%	Reduced -821	-821 -3.5%
13	VANGUARD INDEX FDS S&P 500 ETF SHS VOO	VOO	22,671	$8.0m1.53%	1.53%	Reduced -116	-116 -0.5%
14	SPDR SERIES TRUST PORTFOLIO S&P500 SPYM	SPYM	175,352	$7.9m1.52%	1.52%	Added +20.5k	+20,461 13.2%
15	MICROSOFT CORP COM MSFT	MSFT	32,593	$7.8m1.50%	1.50%	Added +1.3k	+1,282 4.1%
16	PROSHARES TR SHORT S&P 500 NE SH	SH	372,483	$6.0m1.15%	1.15%	Reduced -4.2k	-4,225 -1.1%
17	VANGUARD SPECIALIZED FUNDS DIV APP ETF VIG	VIG	28,762	$4.4m0.84%	0.84%	Reduced -362	-362 -1.2%
18	ALPHABET INC CAP STK CL A GOOGL	GOOGL	36,705	$3.2m0.62%	0.62%	Added +1.2k	+1,229 3.5%
19	JPMORGAN CHASE & CO COM JPM	JPM	21,137	$2.8m0.54%	0.54%	Added +54	+54 0.3%
20	NVIDIA CORPORATION COM NVDA	NVDA	19,358	$2.8m0.54%	0.54%	Added +186	+186 1.0%
21	UNITEDHEALTH GROUP INC COM UNH	UNH	5,200	$2.8m0.53%	0.53%	Reduced -78	-78 -1.5%
22	TRUIST FINL CORP COM TFC	TFC	61,693	$2.7m0.51%	0.51%	Reduced -240	-240 -0.4%
23	PROCTER AND GAMBLE CO COM PG	PG	17,078	$2.6m0.50%	0.50%	Reduced -473	-473 -2.7%
24	BERKSHIRE HATHAWAY INC DEL CL B NEW BRK.B	BRK.B	8,319	$2.6m0.49%	0.49%	Reduced -35	-35 -0.4%
25	AMAZON COM INC COM AMZN	AMZN	30,015	$2.5m0.48%	0.48%	Reduced -1.4k	-1,417 -4.5%
26	PFIZER INC COM PFE	PFE	48,837	$2.5m0.48%	0.48%	Added +74	+74 0.1%
27	ISHARES TR 0-3 MNTH TREASRY SGOV	SGOV	21,104	$2.1m0.41%	0.41%	New
28	EATON VANCE TAX-MANAGED DIVE COM XETYX	XETYX	192,487	$2.1m0.40%	0.40%	Added +132	+132 0.1%
29	FIRST TR EXCHNG TRADED FD VI FT VEST U.S. DDEC	DDEC	65,300	$2.0m0.38%	0.38%	New
30	SPDR DOW JONES INDL AVERAGE UT SER 1 DIA	DIA	5,670	$1.9m0.36%	0.36%	Reduced -349	-349 -5.8%
31	SPDR SER TR PRTFLO S&P500 HI SPYD	SPYD	46,289	$1.8m0.35%	0.35%	Added +1.0k	+1,002 2.2%
32	SPROTT PHYSICAL SILVER TR TR UNIT PSLV	PSLV	220,129	$1.8m0.35%	0.35%	Reduced -2.5k	-2,541 -1.1%
33	HOME DEPOT INC COM HD	HD	5,491	$1.7m0.33%	0.33%	Reduced -423	-423 -7.2%
34	WISDOMTREE TR US QTLY DIV GRT DGRW	DGRW	28,141	$1.7m0.33%	0.33%	Added +26.6k	+26,570 1691.3%
35	INVESCO ACTIVELY MANAGED EXC VAR RATE INVT VRIG	VRIG	68,435	$1.7m0.33%	0.33%	Reduced -504	-504 -0.7%
36	INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB BULSHS 2023 CB		80,281	$1.7m0.32%	0.32%	Reduced -597	-597 -0.7%
37	FIRST TR EXCHANGE TRAD FD VI FST TR GLB FD FTGC	FTGC	67,830	$1.7m0.32%	0.32%	Reduced -707	-707 -1.0%
38	JOHNSON & JOHNSON COM JNJ	JNJ	9,353	$1.7m0.32%	0.32%	Added +54	+54 0.6%
39	VISA INC COM CL A V	V	7,903	$1.6m0.32%	0.32%	Reduced -193	-193 -2.4%
40	ISHARES TR RUSSELL 2000 ETF IWM	IWM	9,267	$1.6m0.31%	0.31%	Reduced -74	-74 -0.8%
41	TESLA INC COM TSLA	TSLA	12,982	$1.6m0.31%	0.31%	Added +496	+496 4.0%
42	FIRST TR NAS100 EQ WEIGHTED SHS QQEW	QQEW	17,975	$1.6m0.31%	0.31%	Reduced -152	-152 -0.8%
43	ISHARES TR RUS 1000 ETF IWB	IWB	7,363	$1.6m0.30%	0.30%	Reduced -66	-66 -0.9%
44	VANGUARD INDEX FDS MID CAP ETF VO	VO	7,348	$1.5m0.29%	0.29%	Added +209	+209 2.9%
45	PIONEER NAT RES CO COM PXD	PXD	6,482	$1.5m0.28%	0.28%	Reduced -661	-661 -9.2%
46	ELI LILLY & CO COM LLY	LLY	3,916	$1.4m0.28%	0.28%	Added +3	+3 0.1%
47	BANK AMERICA CORP COM BAC	BAC	42,355	$1.4m0.27%	0.27%	Added +1.2k	+1,183 2.9%
48	BROADCOM INC COM AVGO	AVGO	2,472	$1.4m0.27%	0.27%	Reduced -1.2k	-1,213 -32.9%
49	INVESCO QUALITY MUN INCOME T COM IQI	IQI	144,350	$1.4m0.26%	0.26%	Added +16.4k	+16,430 12.8%
50	J P MORGAN EXCHANGE TRADED F ULTRA SHRT ETF JPST	JPST	26,999	$1.4m0.26%	0.26%	Added +6.5k	+6,464 31.5%
51	ROPER TECHNOLOGIES INC COM ROP	ROP	3,092	$1.3m0.26%	0.26%	Reduced -18	-18 -0.6%
52	WALMART INC COM WMT	WMT	9,260	$1.3m0.25%	0.25%	Reduced -90	-90 -1.0%
53	CHEMED CORP NEW COM CHE	CHE	2,556	$1.3m0.25%	0.25%	Reduced -7	-7 -0.3%
54	INVESCO EXCHANGE TRADED FD T AEROSPACE DEFN PPA	PPA	16,460	$1.3m0.25%	0.25%	Reduced -157	-157 -0.9%
55	GENERAL MLS INC COM GIS	GIS	15,126	$1.3m0.24%	0.24%	New
56	CHEVRON CORP NEW COM CVX	CVX	6,749	$1.2m0.23%	0.23%	Reduced -116	-116 -1.7%
57	ALPS ETF TR ALERIAN MLP AMLP	AMLP	31,192	$1.2m0.23%	0.23%	Added +39	+39 0.1%
58	DOLLAR GEN CORP NEW COM DG	DG	4,810	$1.2m0.23%	0.23%	Reduced -166	-166 -3.3%
59	BROADRIDGE FINL SOLUTIONS IN COM BR	BR	8,379	$1.1m0.22%	0.22%	Added +188	+188 2.3%
60	COPART INC COM CPRT	CPRT	18,469	$1.1m0.22%	0.22%	Added +27	+27 0.1%
61	VANGUARD INDEX FDS TOTAL STK MKT VTI	VTI	5,623	$1.1m0.21%	0.21%	Unchanged
62	J P MORGAN EXCHANGE TRADED F CORE PLUS BD ETF JCPB	JCPB	22,917	$1.1m0.20%	0.20%	Reduced -3.9k	-3,913 -14.6%
63	DUKE ENERGY CORP NEW COM NEW DUK	DUK	10,243	$1.1m0.20%	0.20%	Added +100	+100 1.0%
64	ABBVIE INC COM ABBV	ABBV	6,475	$1.0m0.20%	0.20%	Added +6	+6 0.1%
65	ETF SER SOLUTIONS APTUS INT ENH YL IDUB	IDUB	54,951	$1.0m0.20%	0.20%	Reduced -877.5k	-877,530 -94.1%
66	ADOBE INC COM ADBE	ADBE	2,933	$987.0k0.19%	0.19%	Reduced -81	-81 -2.7%
67	VANGUARD BD INDEX FDS TOTAL BND MRKT BND	BND	13,700	$984.2k0.19%	0.19%	Added +170	+170 1.3%
68	COSTCO WHSL CORP NEW COM COST	COST	2,135	$974.7k0.19%	0.19%	Reduced -170	-170 -7.4%
69	FIRST TR EXCHNG TRADED FD VI VEST BUFFERED BUFG	BUFG	54,037	$970.5k0.19%	0.19%	Reduced -121	-121 -0.2%
70	NORFOLK SOUTHN CORP COM NSC	NSC	3,866	$952.7k0.18%	0.18%	Reduced -2.8k	-2,771 -41.8%
71	PULTE GROUP INC COM PHM	PHM	20,774	$949.0k0.18%	0.18%	Added +442	+442 2.2%
72	PEPSICO INC COM PEP	PEP	5,119	$930.1k0.18%	0.18%	Added +370	+370 7.8%
73	EXXON MOBIL CORP COM XOM	XOM	8,348	$920.8k0.18%	0.18%	Reduced -260	-260 -3.0%
74	SOUTHERN CO COM SO	SO	12,546	$895.9k0.17%	0.17%	Unchanged
75	ETF SER SOLUTIONS DEFIANCE NEXT UFOX	UFOX	29,806	$890.3k0.17%	0.17%	Reduced -5.1k	-5,059 -14.5%
76	INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT RSP	RSP	6,218	$878.3k0.17%	0.17%	Added +2.7k	+2,669 75.2%
77	MCDONALDS CORP COM MCD	MCD	3,283	$865.3k0.17%	0.17%	Reduced -95	-95 -2.8%
78	OWENS CORNING NEW COM OC	OC	10,000	$853.0k0.16%	0.16%	Unchanged
79	LOWES COS INC COM LOW	LOW	4,232	$843.2k0.16%	0.16%	Reduced -28	-28 -0.7%
80	MERCK & CO INC COM MRK	MRK	7,356	$821.6k0.16%	0.16%	Unchanged
81	AMERICAN TOWER CORP NEW COM AMT	AMT	3,666	$782.2k0.15%	0.15%	Added +2.1k	+2,121 137.3%
82	BROADSTONE NET LEASE INC COM BNL	BNL	47,304	$779.8k0.15%	0.15%	Unchanged
83	HERSHEY CO COM HSY	HSY	3,319	$768.6k0.15%	0.15%	Reduced -100	-100 -2.9%
84	NEXTERA ENERGY INC COM NEE	NEE	9,147	$764.7k0.15%	0.15%	Reduced -227	-227 -2.4%
85	COCA COLA CO COM KO	KO	12,008	$763.8k0.15%	0.15%	Added +611	+611 5.4%
86	FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW FTSM	FTSM	12,423	$738.4k0.14%	0.14%	Reduced -950	-950 -7.1%
87	QUALCOMM INC COM QCOM	QCOM	6,603	$725.9k0.14%	0.14%	Reduced -22	-22 -0.3%
88	ISHARES TR TRS FLT RT BD TFLO	TFLO	14,298	$720.8k0.14%	0.14%	New
89	PROSHARES TR K1 FRE CRD OIL OILK	OILK	15,850	$710.4k0.14%	0.14%	Reduced -143	-143 -0.9%
90	GOLDMAN SACHS GROUP INC COM GS	GS	2,033	$697.9k0.13%	0.13%	Added +39	+39 2.0%
91	FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING SKYY	SKYY	11,855	$683.0k0.13%	0.13%	Reduced -376	-376 -3.1%
92	VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD VCSH	VCSH	9,053	$680.7k0.13%	0.13%	Added +103	+103 1.1%
93	MASTERCARD INCORPORATED CL A MA	MA	1,942	$675.1k0.13%	0.13%	Reduced -70	-70 -3.5%
94	TARGET CORP COM TGT	TGT	4,320	$643.8k0.12%	0.12%	Added +501	+501 13.1%
95	VERIZON COMMUNICATIONS INC COM VZ	VZ	16,101	$634.4k0.12%	0.12%	Reduced -815	-815 -4.8%
96	ABBOTT LABS COM ABT	ABT	5,658	$621.2k0.12%	0.12%	Reduced -170	-170 -2.9%
97	MCKESSON CORP COM MCK	MCK	1,625	$610.4k0.12%	0.12%	Reduced -120	-120 -6.9%
98	ISHARES TR GLOBAL ENERG ETF IXC	IXC	15,100	$588.7k0.11%	0.11%	Unchanged
99	ISHARES TR RUS MID CAP ETF IWR	IWR	8,703	$587.0k0.11%	0.11%	Added +141	+141 1.6%
100	METLIFE INC COM MET	MET	7,990	$578.2k0.11%	0.11%	Unchanged

Sold out since Q3 2022

Security	Ticker	Shares held before	Value then
INVESCO EXCH TRD SLF IDX FD BSCM	BSCM	82,237	$1.7m82.2k shares
GRANITESHARES GOLD TR BAR	BAR	45,177	$744.0k45.2k shares
PGIM ETF TR PULS	PULS	10,983	$539.0k11.0k shares
ARK ETF TR ARKK	ARKK	14,253	$538.0k14.3k shares
SALESFORCE INC CRM	CRM	1,701	$245.0k1.7k shares
WEC ENERGY GROUP INC WEC	WEC	2,412	$216.0k2.4k shares
SKYWORKS SOLUTIONS INC SWKS	SWKS	2,476	$211.0k2.5k shares
CROWN CASTLE INC CCI	CCI	1,456	$210.0k1.5k shares
DEVON ENERGY CORP NEW DVN	DVN	3,416	$205.0k3.4k shares
MANHATTAN ASSOCIATES INC MANH	MANH	1,520	$202.0k1.5k shares
BLACKROCK INVT QUALITY MUN T XBKNX	XBKNX	13,675	$172.0k13.7k shares
SPDR SERIES TRUST SPTM	SPTM	670	$30.0k670 shares
ARK ETF TR ARKF	ARKF	939	$14.0k939 shares
ISHARES TR AAXJ	AAXJ	193	$11.0k193 shares
ARK ETF TR ARKQ	ARKQ	190	$9.0k190 shares
ARK ETF TR ARKW	ARKW	158	$7.0k158 shares
ARK ETF TR ARKG	ARKG	181	$6.0k181 shares
PACER FDS TR CALF	CALF	150	$5.0k150 shares
SPDR SER TR SPSM	SPSM	20	$1.0k20 shares
SPDR SER TR SJNK	SJNK	40	$1.0k40 shares
PACER FDS TR ICOW	ICOW	23	$1.0k23 shares
SPDR SER TR SPTS	SPTS	28	$1.0k28 shares
SPDR SER TR SPIB	SPIB	20	$1.0k20 shares
SPDR SER TR CWB	CWB	14	$1.0k14 shares
SPDR SERIES TRUST SPHY	SPHY	5	$05 shares