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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

NEUMANN CAPITAL MANAGEMENT

NEUMANN CAPITAL MANAGEMENT, LLC, CRD 112182

FOSTER CITY, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:29386ebb-baa9-1f2f-6da8-a1ad097cd650

Data as of Aug 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 7
On other graphs: 0
Observed: Mar 23, 2012 to Aug 26, 2026
24 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $630MItem 5.F on the latest filing (2026-08-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $630M
Private client RAUM: $629MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $210Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 4
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 609
Individual clients: 63
High net worth clients: 128
Custody, client assets: $24.2M
SEC number: 801-41001
CIK: 1631930
CRD: 112182
Filings on the tape: 24
First filed: Mar 23, 2012
Latest filed: Aug 26, 2026
Organised: Limited Liability Company, CA
Website: neumanncm.portal.tamaracinc.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DANIEL GERALD PLATT	Certified Financial Planner\|Chartered Financial Analyst	FOSTER CITY, CA	4	22	2	no
EKATERINA DIMITROVA ATANASSOV	Certified Financial Planner\|Chartered Financial Analyst	FOSTER CITY, CA	3	11	n/a	no
CAROLINE AMANDA CONNOR GORHAM	Certified Financial Planner	FOSTER CITY, CA	3	10	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ATANASSOV, EKATERINA, DIMITROVA	Partner	C	yes	01/2021	Mar 26, 2021	Mar 26, 2024
GORHAM, CAROLINE, AMANDA CONNOR	PARTNER & CHIEF COMPLIANCE OFFICER	C	yes	01/2021	Mar 26, 2021	Mar 26, 2024
PLATT, DANIEL, GERALD	Partner	C	yes	01/2021	Mar 26, 2021	Mar 26, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 11, 2026	$630M	$630M	4	4	4	n/a	n/a
2024	Apr 4, 2025	$569M	$569M	4	4	3	n/a	n/a
2023	Mar 26, 2024	$506M	$506M	4	4	0	n/a	n/a
2022	Mar 17, 2023	$444M	$444M	6	6	0	n/a	n/a
2021	Mar 25, 2022	$515M	$515M	6	6	0	n/a	n/a
2020	Mar 26, 2021	$439M	$439M	6	6	0	n/a	n/a
2019	Mar 26, 2020	$394M	$392M	6	6	0	n/a	n/a
2018	Mar 20, 2019	$329M	$327M	5	4	0	n/a	n/a
2017	Mar 26, 2018	$355M	$353M	4	3	0	n/a	n/a
2016	Mar 29, 2017	$325M	$322M	4	3	n/a	n/a	n/a
2015	Mar 28, 2016	$300M	$296M	3	3	n/a	n/a	n/a
2014	Mar 27, 2015	$314M	$314M	3	3	n/a	n/a	n/a
2013	Mar 27, 2014	$306M	$306M	4	4	n/a	n/a	n/a
2012	Mar 25, 2013	$196M	$196M	3	3	n/a	n/a	n/a
2011	Mar 23, 2012	$173M	$173M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$630M	$569M	10.9%	$444M	12.4%	4	4	4	3

Relationships

Registered with (3)

← CAROLINE AMANDA CONNOR GORHAMAdvisorregistration: current employment
Mar 3, 2023 to presentfactForm ADV
← EKATERINA DIMITROVA ATANASSOVAdvisorregistration: current employment
Nov 4, 2022 to presentfactForm ADV
← DANIEL GERALD PLATTAdvisorregistration: current employment
Sep 1, 2022 to presentfactForm ADV

Controls (3)

← PLATT, DANIEL, GERALDOwnerPARTNER, ownership code C, individual
Mar 26, 2021 to Mar 26, 2024factForm ADV
← GORHAM, CAROLINE, AMANDA CONNOROwnerPARTNER & CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 26, 2021 to Mar 26, 2024factForm ADV
← ATANASSOV, EKATERINA, DIMITROVAOwnerPARTNER, ownership code C, individual
Mar 26, 2021 to Mar 26, 2024factForm ADV

Dated events

Occurred
Mar 26, 2024
Control person left
John Daniel Neumann (President) no longer on Schedule A of Neumann Capital Management (listed 2023-07-17, absent 2024-03-26)
Form ADVobserved 4 days ago
Occurred
Mar 26, 2024
Control person left
Allen David Richardson (Secretary, Chief Financial Officer) no longer on Schedule A of Neumann Capital Management (listed 2023-07-17, absent 2024-03-26)
Form ADVobserved 4 days ago
Occurred
Jul 17, 2023
Control person left
Marie Ninette Hereford (Chief Compliance Officer & Dir Of Operations & Client Services) no longer on Schedule A of Neumann Capital Management (listed 2023-03-17, absent 2023-07-17)
Form ADVobserved 4 days ago
Occurred
Mar 26, 2021
Control person joined
Gerald Daniel Platt (Partner) appeared on Schedule A of Neumann Capital Management
Form ADVobserved 4 days ago
Occurred
Mar 26, 2021
Control person joined
Amanda Caroline Gorham (Partner) appeared on Schedule A of Neumann Capital Management
Form ADVobserved 4 days ago
Occurred
Mar 26, 2021
Control person joined
Dimitrova Ekaterina Atanassov (Partner) appeared on Schedule A of Neumann Capital Management
Form ADVobserved 4 days ago
Occurred
Mar 26, 2020
Control person joined
Marie Ninette Hereford (Chief Compliance Officer & Dir Of Operations & Client Services) appeared on Schedule A of Neumann Capital Management
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:29386ebb-baa9-1f2f-6da8-a1ad097cd650
First observed: Mar 23, 2012
Last observed: Aug 26, 2026 25 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NEUMANN CAPITAL MANAGEMENT

NEUMANN CAPITAL MANAGEMENT, LLC, CRD 112182

FOSTER CITY, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:29386ebb-baa9-1f2f-6da8-a1ad097cd650

Data as of Aug 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:20 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DANIEL GERALD PLATT

Certified Financial Planner|Chartered Financial Analyst

FOSTER CITY, CA

EKATERINA DIMITROVA ATANASSOV

Certified Financial Planner|Chartered Financial Analyst

FOSTER CITY, CA

n/a

CAROLINE AMANDA CONNOR GORHAM

Certified Financial Planner

FOSTER CITY, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ATANASSOV, EKATERINA, DIMITROVA

Partner

yes

01/2021

Mar 26, 2021

Mar 26, 2024

GORHAM, CAROLINE, AMANDA CONNOR

PARTNER & CHIEF COMPLIANCE OFFICER

yes

01/2021

Mar 26, 2021

Mar 26, 2024

PLATT, DANIEL, GERALD

Partner

yes

01/2021

Mar 26, 2021

Mar 26, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 11, 2026

$630M

n/a

2024

Apr 4, 2025

$569M

n/a

2023

Mar 26, 2024

$506M

n/a

2022

Mar 17, 2023

$444M

n/a

2021

Mar 25, 2022

$515M

n/a

2020

Mar 26, 2021

$439M

n/a

2019

Mar 26, 2020

$394M

$392M

n/a

2018

Mar 20, 2019

$329M

$327M

n/a

2017

Mar 26, 2018

$355M

$353M

n/a

2016

Mar 29, 2017

$325M

$322M

n/a

2015

Mar 28, 2016

$300M

$296M

n/a

2014

Mar 27, 2015

$314M

n/a

2013

Mar 27, 2014

$306M

n/a

2012

Mar 25, 2013

$196M

n/a

2011

Mar 23, 2012

$173M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$630M

$569M

10.9%

$444M

12.4%