# Guidance Capital, Inc.

> Guidance Capital, Inc. is an SEC-registered investment advisory firm in Louisville, KY, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 23, 2026.

- CRD: 323541
- Filed as: GUIDANCE CAPITAL, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Louisville, KY
- Filing period: October 2026
- Form ADV filing dated: April 23, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/323541
- AdvisorCensus page: https://advisorcensus.com/firm/guidance-capital-inc-louisville-ky-323541

## Quick answers

**How is Guidance Capital, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Guidance Capital, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**What does Guidance Capital, Inc.'s brochure say about its fees?**
Its Form ADV Part 2A brochure dated February 12, 2026 states: Asset-based fee: 0.5% to 2% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Guidance Capital, Inc. located?**
Guidance Capital, Inc.'s principal office is in Louisville, KY, according to its Form ADV.

**Is Guidance Capital, Inc. registered with the SEC or a state?**
Guidance Capital, Inc. is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 323541.

**How much does Guidance Capital, Inc. manage?**
Guidance Capital, Inc. reports $449,768,688 in regulatory assets under management in its Form ADV filing dated April 23, 2026 (100% discretionary).

**How have Guidance Capital, Inc.'s assets and staff changed since 2023?**
In the Form ADV data for Guidance Capital, Inc.: Regulatory assets under management: $250,647,194 in the October 2023 data and $449,768,688 in the October 2026 data, up 79%. Total employees: 9 in October 2023 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Guidance Capital, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (650); high net worth individuals (106); charitable organizations (3).

**Which custodians does Guidance Capital, Inc. use?**
Guidance Capital, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Guidance Capital, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/323541

**What changed in Guidance Capital, Inc.'s recent Form ADV filings?**
In the March 2026 filing data: Regulatory assets under management went from $384,153,124 to $449,768,688 (+17%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated February 12, 2026)

- Asset-based fee: 0.5% to 2% a year (a range, as the brochure states it)

> Investment advisory fees range from 0.50% to 2.00% annually based on several factors, including: the scope and complexity of the services to be provided; the level of assets to be managed; the inclusion of financial planning services, and the overall relationship with the Advisor.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $449,768,688
- Discretionary: $449,768,688
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 650 | $142,419,222 |
| High net worth individuals | 106 | $305,344,779 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | Not reported |
| Charitable organizations | 3 | $2,004,687 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2022 (3 years)
- Employees: 10 total, 7 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, GA, IL, IN, KY, MD, MI, NC, OH, PA, SC, TN, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- guidancecapital.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2023 | $250,647,194 | 9 | September 21, 2023 |
| October 2024 | $288,312,717 | 9 | April 19, 2024 |
| October 2025 | $384,153,124 | 10 | June 13, 2025 |
| October 2026 | $449,768,688 | 10 | April 23, 2026 |

Regulatory assets under management: $250,647,194 in the October 2023 data and $449,768,688 in the October 2026 data, up 79%.
Total employees: 9 in October 2023 and 10 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $384,153,124 to $449,768,688 (+17%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Guidance Capital, Inc. (CRD 323541): Form ADV filing data as of October 2026.