A High-Touch 
RIA Enablement Firm
We Provide An Approach
Investment Advisors Appreciate
When John Shields founded Advisor Guidance in 2006, he wanted to create a registration and compliance firm that embodied the high-touch, relationship-driven model he’d come to appreciate over his 30+ years of working in the investment industry.
At the time, John could have scaled the business using a software-as-a-service model, but he genuinely believes in the importance of providing a more personalized, hands-on experience. This is especially true when it comes to dealing with regulatory compliance matters.
Over the years, Advisor Guidance has grown organically, one client relationship at a time. Along the way, we have carved a niche by working alongside small to mid-size RIA firms who value our commitment to offering them the knowledge and support they need to launch, grow, and maintain their RIA firm with confidence.
As a compliance-first firm, our mission is to help our clients take the guesswork out of their regulatory responsibilities so they can do what they do best; take care of their clients.
"Our goal is to treat our clients with the same exceptional service that our investment management clients extend to their clients."
Love the Work.
We know that when our work is fueled by passion and pride, excellence follows.
Think Proactively.
We do our best to take the initiative and find solutions before being asked.
Our Values in Action
Our commitment to delivering an exceptional client experience is driven by our four pillars of service.
Be Approachable.
We believe that being open and easy to talk to is the key to fostering long term relationships.
Never Stop Learning.
We are curious and embrace every opportunity to learn and improve.
Experience You Can Count On.
The Advisor Guidance team is composed of investment industry professionals who’ve held senior management positions at some of the most respected financial institutions in the country.
Peter Guarino
Managing Director
Kylie Shields
Content Creation / Videography
Work With Us
We are always on the lookout for experienced compliance experts who are focused on catering to the unique needs of RIAs and financial advisors.
We Are An RIA
Compliance-First Firm.
Whether you’re registering a new advisory firm, updating your ADV, or launching a marketing campaign, our team speaks the language of compliance. We work diligently to ensure your RIA remains aligned with state and SEC regulations, including the Investment Advisers Act of 1940.