GUARDIAN WEALTH ADVISORS, LLC / NC

RALEIGH, NC · CIK 1901403 · 13F filing filed 2023-05-15

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

Kindwealth
Others nearbyRaleigh, NC, Johnson City, TN, Omaha, NE, Durham, NC, Nebraska City, NE, Danvers, MA

As an employer

Offices in1 country

Where they work

people there (dot area)number not reportedmain officeHover or tap a dot. Australian and UK companies are placed at their business or registered address, with their staff across the whole country.

Offices

From Form ADV: the main office and the other offices where it does advisory work (at most the 25 largest), with the people doing investment work at each. “About” is worked out: the firm's investment staff less its other offices. Each city links to the other managers there.

City	Country	People
Raleigh, NC (main office)United States	United States	about 9
Johnson City, TN2 officesUnited States	United States	5
Durham, NCUnited States	United States	4
Nebraska City, NEUnited States	United States	4
Omaha, NEUnited States	United States	4
Danvers, MAUnited States	United States	2
Edina, MNUnited States	United States	1
Gloucester, MAUnited States	United States	1

Map: places from GeoNames (CC BY 4.0), outlines from Natural Earth.

$569.7m reported value +9.5% vs Q4 2022

412positions

58.9%in top 10

50 new 132 added 99 reduced 12 sold out vs Q4 2022

Holdings, Q1 2023

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	3,199,183	$83.1m14.58%	14.58%	Added +45.6k	+45,643 1.4%
2	ETF SER SOLUTIONS APTUS COLLRD INV ACIO	ACIO	2,531,198	$76.4m13.41%	13.41%	Added +133.0k	+132,957 5.5%
3	ETF SER SOLUTIONS OPUS SML CP VL OSCV	OSCV	1,294,603	$40.3m7.08%	7.08%	Added +100.3k	+100,324 8.4%
4	ETF SER SOLUTIONS APTUS DRAWDOWN ADME	ADME	890,031	$30.8m5.41%	5.41%	Reduced -195.6k	-195,552 -18.0%
5	J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM JEPI	JEPI	396,903	$21.7m3.80%	3.80%	Added +63.4k	+63,441 19.0%
6	FIRST TR EXCHANGE TRADED FD RISNG DIVD ACHIV RDVY	RDVY	410,424	$18.4m3.23%	3.23%	Added +52.4k	+52,432 14.7%
7	PACER FDS TR US CASH COWS 100 COWZ	COWZ	390,272	$18.3m3.22%	3.22%	Added +24.8k	+24,750 6.8%
8	FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF FTCS	FTCS	242,119	$17.7m3.10%	3.10%	Reduced -9.4k	-9,364 -3.7%
9	SCHWAB STRATEGIC TR US LRG CAP ETF SCHX	SCHX	305,679	$14.8m2.60%	2.60%	Added +53.7k	+53,660 21.3%
10	APPLE INC COM AAPL	AAPL	85,387	$14.1m2.47%	2.47%	Added +322	+322 0.4%
11	LISTED FD TR HORIZON KINETICS INFL	INFL	399,580	$12.3m2.16%	2.16%	Added +21.5k	+21,478 5.7%
12	MICROSOFT CORP COM MSFT	MSFT	34,510	$9.9m1.75%	1.75%	Added +1.9k	+1,917 5.9%
13	SPDR S&P 500 ETF TR TR UNIT SPY	SPY	21,704	$8.9m1.57%	1.57%	Reduced -676	-676 -3.0%
14	SPDR SERIES TRUST PORTFOLIO S&P500 SPYM	SPYM	178,256	$8.6m1.51%	1.51%	Added +2.9k	+2,904 1.7%
15	VANGUARD INDEX FDS S&P 500 ETF SHS VOO	VOO	22,528	$8.5m1.49%	1.49%	Reduced -143	-143 -0.6%
16	PROSHARES TR SHORT S&P 500 NE SH	SH	506,953	$7.6m1.33%	1.33%	Added +134.5k	+134,470 36.1%
17	J P MORGAN EXCHANGE TRADED F ULTRA SHRT ETF JPST	JPST	130,606	$6.6m1.15%	1.15%	Added +103.6k	+103,607 383.7%
18	NVIDIA CORPORATION COM NVDA	NVDA	16,878	$4.7m0.82%	0.82%	Reduced -2.5k	-2,480 -12.8%
19	VANGUARD SPECIALIZED FUNDS DIV APP ETF VIG	VIG	27,533	$4.2m0.74%	0.74%	Reduced -1.2k	-1,229 -4.3%
20	ALPHABET INC CAP STK CL A GOOGL	GOOGL	39,507	$4.1m0.72%	0.72%	Added +2.8k	+2,802 7.6%
21	AMAZON COM INC COM AMZN	AMZN	30,079	$3.1m0.55%	0.55%	Added +64	+64 0.2%
22	JPMORGAN CHASE & CO COM JPM	JPM	22,725	$3.0m0.52%	0.52%	Added +1.6k	+1,588 7.5%
23	BERKSHIRE HATHAWAY INC DEL CL B NEW BRK.B	BRK.B	8,759	$2.7m0.47%	0.47%	Added +440	+440 5.3%
24	SCHWAB CHARLES FAMILY FD AMT TAX FREE MNY SCTXX	SCTXX	2,624,245	$2.6m0.46%	0.46%	New
25	TESLA INC COM TSLA	TSLA	12,628	$2.6m0.46%	0.46%	Reduced -354	-354 -2.7%
26	BROADCOM INC COM AVGO	AVGO	4,003	$2.6m0.45%	0.45%	Added +1.5k	+1,531 61.9%
27	UNITEDHEALTH GROUP INC COM UNH	UNH	5,364	$2.5m0.44%	0.44%	Added +164	+164 3.1%
28	PROCTER AND GAMBLE CO COM PG	PG	16,118	$2.4m0.42%	0.42%	Reduced -960	-960 -5.6%
29	FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW FTSM	FTSM	39,689	$2.4m0.42%	0.42%	Added +27.3k	+27,266 219.5%
30	EATON VANCE TAX-MANAGED DIVE COM XETYX	XETYX	192,632	$2.2m0.39%	0.39%	Added +145	+145 0.1%
31	FIRST TR EXCHNG TRADED FD VI FT VEST U.S. DDEC	DDEC	65,300	$2.1m0.37%	0.37%	Unchanged
32	PFIZER INC COM PFE	PFE	48,373	$2.0m0.35%	0.35%	Reduced -464	-464 -0.9%
33	TRUIST FINL CORP COM TFC	TFC	56,302	$1.9m0.34%	0.34%	Reduced -5.4k	-5,391 -8.7%
34	SPDR DOW JONES INDL AVERAGE UT SER 1 DIA	DIA	5,675	$1.9m0.33%	0.33%	Added +5	+5 0.1%
35	VISA INC COM CL A V	V	8,352	$1.9m0.33%	0.33%	Added +449	+449 5.7%
36	SPROTT PHYSICAL SILVER TR TR UNIT PSLV	PSLV	220,791	$1.8m0.32%	0.32%	Added +662	+662 0.3%
37	SPDR SER TR PRTFLO S&P500 HI SPYD	SPYD	47,992	$1.8m0.32%	0.32%	Added +1.7k	+1,703 3.7%
38	PROSHARES TR PSHS SHORT DOW30 DOG	DOG	54,659	$1.8m0.32%	0.32%	Added +54.3k	+54,337 16874.8%
39	FIRST TR NAS100 EQ WEIGHTED SHS QQEW	QQEW	17,969	$1.8m0.32%	0.32%	Reduced -6	-6 -0.0%
40	INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB BULSHS 2023 CB		80,869	$1.7m0.30%	0.30%	Added +588	+588 0.7%
41	ISHARES TR FLTG RATE NT ETF FLOT	FLOT	33,482	$1.7m0.30%	0.30%	New
42	ISHARES TR RUSSELL 2000 ETF IWM	IWM	9,473	$1.7m0.30%	0.30%	Added +206	+206 2.2%
43	INVESCO ACTIVELY MANAGED EXC VAR RATE INVT VRIG	VRIG	68,225	$1.7m0.30%	0.30%	Reduced -210	-210 -0.3%
44	HOME DEPOT INC COM HD	HD	5,674	$1.7m0.29%	0.29%	Added +183	+183 3.3%
45	ISHARES TR RUS 1000 ETF IWB	IWB	7,369	$1.7m0.29%	0.29%	Added +6	+6 0.1%
46	FIRST TR EXCHANGE TRAD FD VI FST TR GLB FD FTGC	FTGC	67,827	$1.6m0.28%	0.28%	Reduced -3	-3 0.0%
47	VANGUARD INDEX FDS MID CAP ETF VO	VO	7,490	$1.6m0.28%	0.28%	Added +142	+142 1.9%
48	JOHNSON & JOHNSON COM JNJ	JNJ	10,177	$1.6m0.28%	0.28%	Added +824	+824 8.8%
49	ROPER TECHNOLOGIES INC COM ROP	ROP	3,411	$1.5m0.26%	0.26%	Added +319	+319 10.3%
50	CHEMED CORP NEW COM CHE	CHE	2,790	$1.5m0.26%	0.26%	Added +234	+234 9.2%
51	COPART INC COM CPRT	CPRT	19,937	$1.5m0.26%	0.26%	Added +1.5k	+1,468 8.0%
52	ELI LILLY & CO COM LLY	LLY	4,201	$1.4m0.25%	0.25%	Added +285	+285 7.3%
53	PIONEER NAT RES CO COM PXD	PXD	6,972	$1.4m0.25%	0.25%	Added +490	+490 7.6%
54	WALMART INC COM WMT	WMT	9,549	$1.4m0.25%	0.25%	Added +289	+289 3.1%
55	INVESCO QUALITY MUN INCOME T COM IQI	IQI	140,250	$1.4m0.25%	0.25%	Reduced -4.1k	-4,100 -2.8%
56	BROADRIDGE FINL SOLUTIONS IN COM BR	BR	9,448	$1.4m0.24%	0.24%	Added +1.1k	+1,069 12.8%
57	INVESCO EXCHANGE TRADED FD T AEROSPACE DEFN PPA	PPA	16,317	$1.3m0.23%	0.23%	Reduced -143	-143 -0.9%
58	GENERAL MLS INC COM GIS	GIS	14,988	$1.3m0.22%	0.22%	Reduced -138	-138 -0.9%
59	DOLLAR GEN CORP NEW COM DG	DG	6,033	$1.3m0.22%	0.22%	Added +1.2k	+1,223 25.4%
60	ADOBE INC COM ADBE	ADBE	3,259	$1.3m0.22%	0.22%	Added +326	+326 11.1%
61	ABBVIE INC COM ABBV	ABBV	7,812	$1.2m0.22%	0.22%	Added +1.3k	+1,337 20.6%
62	BANK AMERICA CORP COM BAC	BAC	43,454	$1.2m0.22%	0.22%	Added +1.1k	+1,099 2.6%
63	EXXON MOBIL CORP COM XOM	XOM	11,092	$1.2m0.21%	0.21%	Added +2.7k	+2,744 32.9%
64	VANGUARD INDEX FDS TOTAL STK MKT VTI	VTI	5,619	$1.1m0.20%	0.20%	Reduced -4	-4 -0.1%
65	FIRST TR EXCHNG TRADED FD VI VEST BUFFERED BUFG	BUFG	59,023	$1.1m0.20%	0.20%	Added +5.0k	+4,986 9.2%
66	ALPS ETF TR ALERIAN MLP AMLP	AMLP	28,914	$1.1m0.20%	0.20%	Reduced -2.3k	-2,278 -7.3%
67	PROGRESSIVE CORP COM PGR	PGR	7,810	$1.1m0.20%	0.20%	New
68	AMERICAN TOWER CORP NEW COM AMT	AMT	5,400	$1.1m0.19%	0.19%	Added +1.7k	+1,734 47.3%
69	CHEVRON CORP NEW COM CVX	CVX	6,713	$1.1m0.19%	0.19%	Reduced -36	-36 -0.5%
70	INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT RSP	RSP	7,417	$1.1m0.19%	0.19%	Added +1.2k	+1,199 19.3%
71	COSTCO WHSL CORP NEW COM COST	COST	2,122	$1.1m0.19%	0.19%	Reduced -13	-13 -0.6%
72	MCDONALDS CORP COM MCD	MCD	3,689	$1.0m0.18%	0.18%	Added +406	+406 12.4%
73	J P MORGAN EXCHANGE TRADED F CORE PLUS BD ETF JCPB	JCPB	21,498	$1.0m0.18%	0.18%	Reduced -1.4k	-1,419 -6.2%
74	DUKE ENERGY CORP NEW COM NEW DUK	DUK	10,487	$1.0m0.18%	0.18%	Added +244	+244 2.4%
75	VANGUARD BD INDEX FDS TOTAL BND MRKT BND	BND	13,700	$1.0m0.18%	0.18%	Unchanged
76	OWENS CORNING NEW COM OC	OC	10,000	$963.2k0.17%	0.17%	Unchanged
77	PEPSICO INC COM PEP	PEP	5,281	$962.8k0.17%	0.17%	Added +162	+162 3.2%
78	ETF SER SOLUTIONS DEFIANCE NEXT UFOX	UFOX	28,271	$927.0k0.16%	0.16%	Reduced -1.5k	-1,535 -5.2%
79	SOUTHERN CO COM SO	SO	12,540	$872.5k0.15%	0.15%	Reduced -6	-6 -0.1%
80	LOWES COS INC COM LOW	LOW	4,218	$843.5k0.15%	0.15%	Reduced -14	-14 -0.3%
81	HERSHEY CO COM HSY	HSY	3,222	$819.7k0.14%	0.14%	Reduced -97	-97 -2.9%
82	BROADSTONE NET LEASE INC COM BNL	BNL	47,304	$817.6k0.14%	0.14%	Unchanged
83	NORFOLK SOUTHN CORP COM NSC	NSC	3,843	$814.7k0.14%	0.14%	Reduced -23	-23 -0.6%
84	MERCK & CO INC COM MRK	MRK	7,522	$805.7k0.14%	0.14%	Added +166	+166 2.3%
85	ALPHABET INC CAP STK CL C GOOG	GOOG	7,651	$795.7k0.14%	0.14%	Added +2.7k	+2,742 55.9%
86	COCA COLA CO COM KO	KO	12,590	$786.9k0.14%	0.14%	Added +582	+582 4.8%
87	INVESCO QQQ TR UNIT SER 1 QQQ	QQQ	2,400	$771.2k0.14%	0.14%	Added +653	+653 37.4%
88	FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING SKYY	SKYY	11,381	$761.4k0.13%	0.13%	Reduced -474	-474 -4.0%
89	ISHARES TR TRS FLT RT BD TFLO	TFLO	15,000	$758.9k0.13%	0.13%	Added +702	+702 4.9%
90	QUALCOMM INC COM QCOM	QCOM	5,902	$753.0k0.13%	0.13%	Reduced -701	-701 -10.6%
91	CISCO SYS INC COM CSCO	CSCO	14,228	$743.8k0.13%	0.13%	Added +2.5k	+2,457 20.9%
92	VANECK ETF TRUST MRNGSTR WDE MOAT MOAT	MOAT	9,995	$737.9k0.13%	0.13%	New
93	PROSHARES TR K1 FRE CRD OIL OILK	OILK	17,031	$723.3k0.13%	0.13%	Added +1.2k	+1,181 7.5%
94	GOLDMAN SACHS GROUP INC COM GS	GS	2,209	$722.6k0.13%	0.13%	Added +176	+176 8.7%
95	WISDOMTREE TR US QTLY DIV GRT DGRW	DGRW	11,481	$715.7k0.13%	0.13%	Reduced -16.7k	-16,660 -59.2%
96	VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD VCSH	VCSH	9,053	$690.1k0.12%	0.12%	Unchanged
97	NEXTERA ENERGY INC COM NEE	NEE	8,869	$683.6k0.12%	0.12%	Reduced -278	-278 -3.0%
98	TARGET CORP COM TGT	TGT	4,058	$672.2k0.12%	0.12%	Reduced -262	-262 -6.1%
99	MASTERCARD INCORPORATED CL A MA	MA	1,719	$624.5k0.11%	0.11%	Reduced -223	-223 -11.5%
100	ISHARES TR RUS MID CAP ETF IWR	IWR	8,703	$608.5k0.11%	0.11%	Unchanged

Sold out since Q4 2022

Security	Ticker	Shares held before	Value then
ISHARES TR SGOV	SGOV	21,104	$2.1m21.1k shares
FIDELITY NATL INFORMATION SV FIS	FIS	3,287	$223.0k3.3k shares
ADVISORSHARES TR AADR	AADR	4,551	$217.3k4.6k shares
UNITED RENTALS INC URI	URI	605	$215.0k605 shares
FAIR ISAAC CORP FICO	FICO	355	$212.5k355 shares
WELLS FARGO CO NEW WFC	WFC	5,057	$208.8k5.1k shares
GENERAL DYNAMICS CORP GD	GD	820	$203.4k820 shares
KEYCORP KEY	KEY	10,973	$191.2k11.0k shares
INVESCO EXCHANGE TRADED FD T RSPH	RSPH	110	$31.7k110 shares
VEON LTD		45,000	$22.1k45.0k shares
ISHARES TR HYG	HYG	277	$20.4k277 shares
INVESCO EXCHANGE TRADED FD T		164	$11.3k164 shares