DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

GORDON ASSET MANAGEMENT, LLC

CRD 118471

DURHAM, NC

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:fa11681f-9f5f-95fb-7bae-0b38e3f3fdd6

Data as of Apr 9, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 16
On other graphs: 2
Observed: Mar 28, 2012 to Apr 9, 2024
46 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Gordon Asset Management, LLC

Intermediary · shared crd

Allocatorsidentity

Gordon Asset Management, LLC

Investment consultant · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $199MItem 5.F on the latest filing (2024-04-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $188M
Private client RAUM: $187MderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 458
Individual clients: 95
High net worth clients: 48
SEC number: 801-61670
CRD: 118471
Filings on the tape: 46
First filed: Mar 28, 2012
Latest filed: Apr 9, 2024
Organised: Limited Liability Company, North Carolina

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
FBO JODADDY REV TRUST DTD 03/2002	Shareholder	E	yes	02/2020	Mar 30, 2020	Apr 9, 2024
GIBRALTAR FINANCIAL, LLC	GIBRALTAR FINANCIAL, LLC	B	yes	01/2021	Jul 16, 2021	Apr 9, 2024
GORDON, JOSEPH, MICHAEL	JOSEPH M. GORDON, TRUSTEE FOR FBO JODADDY REV TRUST DTD 03/2002	F	yes	02/2020	Mar 28, 2012	Apr 9, 2024
ZEMPEL, TODD, EDWARD	Member	E	yes	01/2021	Mar 17, 2022	Apr 9, 2024
2004 IRREVOCABLE TRUST FBO HOOPER AND OTHERS	Shareholder	Na	no	02/2020	Mar 30, 2020	Apr 9, 2024
MOORE, JOSEPH, GLENN	CHIEF COMPLIANCE OFFICER/CHIEF INVESTMENT OFFICER	Na	no	07/2021	Jul 16, 2021	Apr 9, 2024
ZEMPEL INVESTMENTS, LLC	Owner	Na	no	12/2021	Mar 17, 2022	Apr 9, 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
STRATEGIC FINANCIAL MANAGEMENT, INC.	n/a	n/a	n/a	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
Pinehurst	Nc	United States	2	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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 11, 2024	$199M	$188M	5	5	1	n/a	n/a
2022	Mar 29, 2023	$200M	$189M	5	5	1	n/a	n/a
2021	Mar 3, 2022	$226M	$219M	6	6	1	n/a	n/a
2020	Mar 22, 2021	$162M	$146M	4	3	0	n/a	n/a
2019	Mar 30, 2020	$222M	$189M	5	5	0	n/a	n/a
2018	Mar 31, 2019	$732M	$675M	8	4	2	n/a	n/a
2017	Mar 29, 2018	$1.5B	$1.3B	21	10	2	n/a	n/a
2016	Mar 28, 2017	$1.2B	$930M	21	10	n/a	n/a	n/a
2015	Mar 30, 2016	$1.0B	$767M	18	9	n/a	n/a	n/a
2014	Mar 30, 2015	$715M	$526M	13	5	n/a	n/a	n/a
2013	Mar 28, 2014	$623M	$444M	11	5	n/a	n/a	n/a
2012	Mar 28, 2013	$550M	$342M	6	3	n/a	n/a	n/a
2011	Mar 28, 2012	$431M	$156M	n/a	n/a	n/a	n/a	n/a

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
2023	$199M	$200M	-0.4%	$162M	7.1%	5	5	1	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
SUMMIT FINANCIAL, LLC	2	Nov 8, 2024	Nov 22, 2024	DURHAM, NC	Team lift out	RIA to ibd	50.0%
APTUS CAPITAL ADVISORS, LLC	5	Feb 1, 2019	Feb 8, 2019	DURHAM, NC	Firm absorbed	RIA to RIA	62.5%
APTUS CAPITAL ADVISORS, LLC	3	Jan 7, 2019	Jan 8, 2019	DURHAM, NC	Team lift out	RIA to RIA	27.3%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GUARDIAN CAPITAL ADVISORS, LLC	3	Dec 2, 2015	Dec 2, 2015	RALEIGH, NC	Firm absorbed	Other	75.0%

Relationships

Controls (4)

← ZEMPEL, TODD, EDWARDOwnerMEMBER, ownership code E, individual
Mar 17, 2022 to presentfactForm ADV
← GORDON, JOSEPH, MICHAELOwnerJOSEPH M. GORDON, TRUSTEE FOR FBO JODADDY REV TRUST DTD 03/2002, ownership code F, individual
Mar 28, 2012 to presentfactForm ADV
← FBO JODADDY REV TRUST DTD 03/2002OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2020 to presentfactForm ADV
← GIBRALTAR FINANCIAL, LLCOwnerGIBRALTAR FINANCIAL, LLC, ownership code B, domestic entity
Jul 16, 2021 to presentfactForm ADV

Owns (3)

← MOORE, JOSEPH, GLENNOwnerCHIEF COMPLIANCE OFFICER/CHIEF INVESTMENT OFFICER, ownership code NA, individual
Jul 16, 2021 to presentfactForm ADV
← 2004 IRREVOCABLE TRUST FBO HOOPER AND OTHERSOwnerSHAREHOLDER, ownership code NA, domestic entity
Mar 30, 2020 to presentfactForm ADV
← ZEMPEL INVESTMENTS, LLCOwnerOWNER, ownership code NA, domestic entity
Mar 17, 2022 to presentfactForm ADV

Registered with (16)

← JOSEPH GLENN MOOREAdvisorregistration: previous registration
Jan 1, 2021 to Dec 23, 2024factForm ADV
← Joseph Michael GordonAdvisorregistration: previous registration
Dec 19, 2011 to Nov 22, 2024factForm ADV
← TODD EDWARD ZEMPELAdvisorregistration: previous registration
Sep 24, 2021 to Nov 8, 2024factForm ADV
← SCOTT CHRISTIAN ZEMPELAdvisorregistration: previous registration
Apr 3, 2024 to Nov 8, 2024factForm ADV
← Joshua StilleyAdvisorregistration: previous registration
Jul 18, 2018 to Jan 9, 2024factForm ADV
← JOHN THOMAS STILLEYAdvisorregistration: previous registration
Mar 5, 2019 to Jan 9, 2024factForm ADV
← LOUIS BRADLEY PRIEBEAdvisorregistration: previous registration
Jun 8, 2016 to Jul 10, 2019factForm ADV
← RUSSELL BRENTON SMITHAdvisorregistration: previous registration
Mar 24, 2005 to Feb 19, 2019factForm ADV
← GREGORY THOMPSON RHINEHARDTAdvisorregistration: previous registration
Nov 9, 2017 to Feb 15, 2019factForm ADV
← Conor CloughertyAdvisorregistration: previous registration
Nov 29, 2016 to Feb 15, 2019factForm ADV
← JEFFREY DAVID LINKAdvisorregistration: previous registration
Dec 2, 2015 to Feb 7, 2019factForm ADV
← BRANDON DUKE FENTRESSAdvisorregistration: previous registration
Dec 2, 2015 to Feb 1, 2019factForm ADV
← MICHAEL JAY HENSLEYAdvisorregistration: previous registration
Dec 2, 2015 to Jan 7, 2019factForm ADV
← CHRISTIAN DAVID KEEDYAdvisorregistration: previous registration
Jan 3, 2012 to Jan 7, 2019factForm ADV
← DAVID TODD MISENHEIMERAdvisorregistration: previous registration
Mar 24, 2005 to Jan 7, 2019factForm ADV
← MARTIN DAVIS HENSLEYAdvisorregistration: previous registration
Sep 18, 2012 to Jul 16, 2013factForm ADV

Moved with (3)

→ SUMMIT FINANCIAL, LLCRegistered adviser2 advisors, team lift out
Nov 8, 2024 to Nov 22, 2024factForm ADV
→ APTUS CAPITAL ADVISORS, LLCRegistered adviser5 advisors, firm absorbed
Feb 1, 2019 to Feb 8, 2019factForm ADV
← GUARDIAN CAPITAL ADVISORS, LLCRegistered adviser3 advisors, firm absorbed, same day
Dec 2, 2015 to Dec 2, 2015factForm ADV

Dated events

Occurred
Dec 23, 2024
Advisor changed firm
Joseph Glenn Moore left Gordon Asset Management, Llc for Summit Financial, Llc (registered 2024-12-23)
Form ADVobserved 4 days ago
Occurred
Nov 22, 2024
Advisor changed firm
Joseph Michael Gordon left Gordon Asset Management, Llc for Summit Financial, Llc (registered 2024-11-22)
Form ADVobserved 4 days ago
Occurred
Nov 8, 2024
Team lift-out
2 advisors left Gordon Asset Management, LLC (Durham, NC) for Summit Financial, LLC within 14 days
Form ADVobserved 3 days ago
2 advisors
Occurred
Nov 8, 2024
Advisor changed firm
Todd Edward Zempel left Gordon Asset Management, Llc for Summit Financial, Llc (registered 2024-11-08)
Form ADVobserved 4 days ago
Occurred
Nov 8, 2024
Advisor changed firm
Scott Christian Zempel left Gordon Asset Management, Llc for Summit Financial, Llc (registered 2024-09-18)
Form ADVobserved 4 days ago
Occurred
Jan 9, 2024
Advisor changed firm
Joshua Stilley left Gordon Asset Management, Llc for Truststone Wealth Partners, Llc (registered 2024-04-10)
Form ADVobserved 4 days ago
Occurred
Jan 9, 2024
Advisor changed firm
John Thomas Stilley left Gordon Asset Management, Llc for Truststone Wealth Partners, Llc (registered 2024-04-10)
Form ADVobserved 4 days ago
Occurred
Mar 17, 2022
Control person joined
Edward Todd Zempel (Member) appeared on Schedule A of Gordon Asset Management, Llc
Form ADVobserved 4 days ago
Occurred
Mar 30, 2020
Regulatory AUM changed
Gordon Asset Management, Llc reported RAUM $222.3M, down 70% from $731.8M (2019-12-26 to 2020-03-30)
Form ADVobserved 4 days ago
$-510M
Occurred
Mar 30, 2020
Control person left
Jay Michael Hensley (Managing Partner) no longer on Schedule A of Gordon Asset Management, Llc (listed 2019-12-26, absent 2020-03-30)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2020
Control person left
Todd David Misenheimer (President) no longer on Schedule A of Gordon Asset Management, Llc (listed 2019-12-26, absent 2020-03-30)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2020
Control person left
Brenton Russell Smith (Owner) no longer on Schedule A of Gordon Asset Management, Llc (listed 2019-12-26, absent 2020-03-30)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2019
Regulatory AUM changed
Gordon Asset Management, Llc reported RAUM $731.8M, down 51% from $1.5B (2019-01-11 to 2019-03-31)
Form ADVobserved 4 days ago
$-766M
Occurred
Mar 31, 2019
Control person left
David Christian Keedy (President) no longer on Schedule A of Gordon Asset Management, Llc (listed 2019-01-11, absent 2019-03-31)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2018
Regulatory AUM changed
Gordon Asset Management, Llc reported RAUM $1.5B, up 29% from $1.2B (2017-09-28 to 2018-03-29)
Form ADVobserved 4 days ago
$340M
Occurred
Dec 2, 2015
Succession filed (Item 4)
Gordon Asset Management, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fa11681f-9f5f-95fb-7bae-0b38e3f3fdd6
First observed: Mar 28, 2012
Last observed: Apr 9, 2024 29 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.

GORDON ASSET MANAGEMENT, LLC

CRD 118471

DURHAM, NC

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:fa11681f-9f5f-95fb-7bae-0b38e3f3fdd6

Data as of Apr 9, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:46 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FBO JODADDY REV TRUST DTD 03/2002

Shareholder

yes

02/2020

Mar 30, 2020

Apr 9, 2024

GIBRALTAR FINANCIAL, LLC

yes

01/2021

Jul 16, 2021

Apr 9, 2024

GORDON, JOSEPH, MICHAEL

JOSEPH M. GORDON, TRUSTEE FOR FBO JODADDY REV TRUST DTD 03/2002

yes

02/2020

Mar 28, 2012

Apr 9, 2024

ZEMPEL, TODD, EDWARD

Member

yes

01/2021

Mar 17, 2022

Apr 9, 2024

2004 IRREVOCABLE TRUST FBO HOOPER AND OTHERS

Shareholder

02/2020

Mar 30, 2020

Apr 9, 2024

MOORE, JOSEPH, GLENN

CHIEF COMPLIANCE OFFICER/CHIEF INVESTMENT OFFICER

07/2021

Jul 16, 2021

Apr 9, 2024

ZEMPEL INVESTMENTS, LLC

Owner

12/2021

Mar 17, 2022

Apr 9, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

STRATEGIC FINANCIAL MANAGEMENT, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Pinehurst

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 11, 2024

$199M

$188M

n/a

2022

Mar 29, 2023

$200M

$189M

n/a

2021

Mar 3, 2022

$226M

$219M

n/a

2020

Mar 22, 2021

$162M

$146M

n/a

2019

Mar 30, 2020

$222M

$189M

n/a

2018

Mar 31, 2019

$732M

$675M

n/a

2017

Mar 29, 2018

$1.5B

$1.3B

n/a

2016

Mar 28, 2017

$1.2B

$930M

n/a

2015

Mar 30, 2016

$1.0B

$767M

n/a

2014

Mar 30, 2015

$715M

$526M

n/a

2013

Mar 28, 2014

$623M

$444M

n/a

2012

Mar 28, 2013

$550M

$342M

n/a

2011

Mar 28, 2012

$431M

$156M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$199M

$200M

-0.4%

$162M

7.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SUMMIT FINANCIAL, LLC

Nov 8, 2024

Nov 22, 2024

DURHAM, NC

Team lift out

RIA to ibd

50.0%

APTUS CAPITAL ADVISORS, LLC

Feb 1, 2019

Feb 8, 2019

DURHAM, NC

Firm absorbed

RIA to RIA

62.5%

APTUS CAPITAL ADVISORS, LLC

Jan 7, 2019

Jan 8, 2019

DURHAM, NC

Team lift out

RIA to RIA

27.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GUARDIAN CAPITAL ADVISORS, LLC

Dec 2, 2015

RALEIGH, NC

Firm absorbed

Other

75.0%