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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

JEMMA FINANCIAL SERVICES

JEMMA INVESTMENT ADVISORS LLC, CRD 284198

BALTIMORE, MD

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:3d0cc8dd-f348-3142-0a32-b45fc4480a82

Data as of Jul 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 6
On other graphs: 0
Observed: Jun 9, 2016 to Jul 1, 2026
27 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=0.79 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=4.0
Regulatory AUM: $140MItem 5.F on the latest filing (2026-07-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $108M
Private client RAUM: $110MderivedItem 5.D individuals plus high net worth individuals
Private client share: 79%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $28.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 5
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 641
Individual clients: 238
High net worth clients: 74
Custody, client assets: $109M
SEC number: 801-126937
CRD: 284198
Filings on the tape: 27
First filed: Jun 9, 2016
Latest filed: Jul 1, 2026
Organised: Limited Liability Company, MD
Website: jemmafinancial.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
WILLIAM HUGO CEVALLOS	Chartered Financial Analyst	BALTIMORE, MD \| Boothbay, ME	7	30	n/a	no
STEPHEN EDWARD BAIRD	Certified Financial Planner	BALTIMORE, MD	4	19	1	yes
KATHARINE WILSON DUDLEY	n/a	BALTIMORE, MD	4	13	n/a	yes
GAY GRAHAM WAGNER	n/a	BALTIMORE, MD	4	24	1	yes
BRIAN CARL NELSON	n/a	BALTIMORE, MD	1	35	n/a	yes

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
Baird, Stephen, Edward	CHIEF COMPLIANCE OFFICER	Na	yes	02/2022	Oct 25, 2022	Mar 25, 2024
Nelson, Brian, Carl	MANAGING MEMBER/PRESIDENT	E	yes	03/2022	Jun 9, 2016	Mar 25, 2024
STEIN, BONNIE, BRESSLER	Member	A	no	12/2020	Jun 9, 2016	Mar 25, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CROMWELL INVESTMENT ADVISORS, LLC	n/a	Asset manager	$369M	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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; showing 5 of 6

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 8, 2026	$140M	$108M	5	5	2	n/a	n/a
2024	Mar 26, 2025	$146M	$119M	5	5	1	n/a	n/a
2023	Mar 25, 2024	$98.8M	$75.9M	6	6	1	n/a	n/a
2022	Mar 30, 2023	$46.2M	$44.7M	6	6	1	n/a	n/a
2016	Mar 30, 2017	$61.8M	$61.8M	6	6	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	1	-1	20.0%	0	0	0	0	1

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	$140M	$146M	-4.2%	$46.2M	44.6%	5	5	2	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FOUNDRY WEALTH ADVISORS, LLC	3	Feb 27, 2020	Jul 24, 2020	BALTIMORE, MD	Firm absorbed	Other	75.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
REALTA INVESTMENT ADVISORS, INC	3	Sep 14, 2016	Oct 28, 2016	WILMINGTON, DE	Team lift out	Other	10.0%

Relationships

Affiliated with (2)

→ CROMWELL FUNDSRegistered adviserother investment adviser, common control
factForm ADV
← CROMWELL FUNDSRegistered adviserother investment adviser, common control
factForm ADV

Registered with (12)

← BRIAN CARL NELSONAdvisorregistration: current employment
Dec 23, 2024 to presentfactForm ADV
← GAY GRAHAM WAGNERAdvisorregistration: current employment
Jun 30, 2022 to presentfactForm ADV
← STEPHEN EDWARD BAIRDAdvisorregistration: current employment
Jan 27, 2022 to presentfactForm ADV
← KATHARINE WILSON DUDLEYAdvisorregistration: current employment
Jan 27, 2022 to presentfactForm ADV
← WILLIAM HUGO CEVALLOSAdvisorregistration: current employment
Jan 3, 2019 to presentfactForm ADV
← Holly Theresa TurnerAdvisorregistration: previous registration
Oct 19, 2022 to Dec 9, 2025factForm ADV
← DONALD ALBERT MATTRANAdvisorregistration: previous registration
Oct 28, 2016 to Feb 27, 2020factForm ADV
← MARIANNE DORIAN MATTRANAdvisorregistration: previous registration
Sep 2, 2016 to Feb 27, 2020factForm ADV
← Kyle James FishlerAdvisorregistration: previous registration
Dec 22, 2018 to Feb 27, 2020factForm ADV
← Emily HersteinAdvisorregistration: previous registration
Feb 16, 2017 to Jul 17, 2019factForm ADV
← Ashlyn M HoodAdvisorregistration: previous registration
Oct 28, 2016 to Apr 24, 2018factForm ADV
← Christopher James CasnerAdvisorregistration: previous registration
Sep 2, 2016 to Dec 4, 2017factForm ADV

Controls (2)

← Nelson, Brian, CarlOwnerMANAGING MEMBER/PRESIDENT, ownership code E, individual
Jun 9, 2016 to Mar 25, 2024factForm ADV
← Baird, Stephen, EdwardOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 25, 2022 to Mar 25, 2024factForm ADV

Owns (1)

← STEIN, BONNIE, BRESSLEROwnerMEMBER, ownership code A, individual
Jun 9, 2016 to Mar 25, 2024factForm ADV

Moved with (2)

→ FOUNDRY WEALTH ADVISORS, LLCRegistered adviser3 advisors, firm absorbed, same day
Feb 27, 2020 to Jul 24, 2020factForm ADV
← REALTA INVESTMENT ADVISORS, INCRegistered adviser3 advisors, team lift out
Sep 14, 2016 to Oct 28, 2016factForm ADV

Dated events

Occurred
Dec 9, 2025
Advisor changed firm
Holly Theresa Turner left Jemma Financial Services for Greenspring Advisors, Llc (registered 2023-06-02)
Form ADVobserved 6 days ago
Occurred
Sep 20, 2023
Control person left
Carl Matthew Nelson (General Counsel) no longer on Schedule A of Jemma Financial Services (listed 2023-03-30, absent 2023-09-20)
Form ADVobserved 6 days ago
Occurred
Oct 25, 2022
First Form ADV filing
Jemma Financial Services filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago
Occurred
Oct 25, 2022
Control person joined
Edward Stephen Baird (Chief Compliance Officer) appeared on Schedule A of Jemma Financial Services
Form ADVobserved 6 days ago
Occurred
Oct 25, 2022
Control person joined
Carl Matthew Nelson (General Counsel) appeared on Schedule A of Jemma Financial Services
Form ADVobserved 6 days ago
Occurred
Oct 25, 2022
Control person left
Linn Shari Nelson (Managing Member) no longer on Schedule A of Jemma Financial Services (listed 2017-07-21, absent 2022-10-25)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3d0cc8dd-f348-3142-0a32-b45fc4480a82
First observed: Jun 9, 2016
Last observed: Jul 1, 2026 2 months 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.

JEMMA FINANCIAL SERVICES

JEMMA INVESTMENT ADVISORS LLC, CRD 284198

BALTIMORE, MD

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:3d0cc8dd-f348-3142-0a32-b45fc4480a82

Data as of Jul 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:19 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

WILLIAM HUGO CEVALLOS

Chartered Financial Analyst

BALTIMORE, MD | Boothbay, ME

n/a

STEPHEN EDWARD BAIRD

Certified Financial Planner

BALTIMORE, MD

yes

KATHARINE WILSON DUDLEY

n/a

BALTIMORE, MD

n/a

yes

GAY GRAHAM WAGNER

n/a

BALTIMORE, MD

yes

BRIAN CARL NELSON

n/a

BALTIMORE, MD

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Baird, Stephen, Edward

CHIEF COMPLIANCE OFFICER

yes

02/2022

Oct 25, 2022

Mar 25, 2024

Nelson, Brian, Carl

MANAGING MEMBER/PRESIDENT

yes

03/2022

Jun 9, 2016

Mar 25, 2024

STEIN, BONNIE, BRESSLER

Member

12/2020

Jun 9, 2016

Mar 25, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CROMWELL INVESTMENT ADVISORS, LLC

n/a

Asset manager

$369M

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 8, 2026

$140M

$108M

n/a

2024

Mar 26, 2025

$146M

$119M

n/a

2023

Mar 25, 2024

$98.8M

$75.9M

n/a

2022

Mar 30, 2023

$46.2M

$44.7M

n/a

2016

Mar 30, 2017

$61.8M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

20.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$140M

$146M

-4.2%

$46.2M

44.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FOUNDRY WEALTH ADVISORS, LLC

Feb 27, 2020

Jul 24, 2020

BALTIMORE, MD

Firm absorbed

Other

75.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

REALTA INVESTMENT ADVISORS, INC

Sep 14, 2016

Oct 28, 2016

WILMINGTON, DE

Team lift out

Other

10.0%