at


Investment Adviser Firm Summary

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC (CRD# 131631 / SEC# 801-63969)
Alternate Names: ALPERN FINANCIAL , ARCHER INVESTMENT MANAGEMENT , BLANCHARD FINANCIAL SERVICES , CAPITAL GUARDIAN WEALTH MANAGEMENT , CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC , CAPITAL PLAN ADVISORS , CENTERMARK CAPITAL MANAGEMENT , CURRY & CURRY , DANNY DAHL FINANCIAL , DIANNE ODOM, CPA , ED KIRKLAND & COMPANY , FINANCIAL AND TAX STRATEGIES , FORTIUS WEALTH MANAGEMENT , HARVEST CAPITAL , HORIZON FINANCIAL SERVICES , IBEX CAPITAL , INTRACOASTAL GROUP , IPS FINANCIAL SERVICES CORP. , IPS FINANCIAL SERVICES CORP. D/B/A MCMAHAN & ASSOCIATES , MASTERS PCG , MCMAHAN & ASSOCIATES , MILLER FINANCIAL , MOREHEAD PLAN ADMINISTRATORS , PLUS POINT ADVISORS , PROTRUST ADVISORS , PROVIDENCE FINANCIAL SERVICES , RHINO WEALTH MANAGEMENT , SENIOR WEALTH MANAGEMENT , SPARGER INVESTMENT SERVICES

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/11/2006
North Carolina Failure to Renew 12/31/2005

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
California 05/08/2009
Colorado 06/26/2009
Florida 09/27/2006
Georgia 08/25/2009
Louisiana 10/28/2009
Massachusetts 06/26/2009
New Jersey 08/07/2009
New York 03/27/2009
North Carolina 04/12/2006
Ohio 06/26/2009
Pennsylvania 08/25/2009
South Carolina 09/26/2006
Tennessee 03/30/2009
Texas 08/25/2009
Virginia 03/28/2007
West Virginia 12/11/2009

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser