DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Gamble Jones Investment Counsel

Former SEC-registered adviserPasadena, CaliforniaCRD 107158SEC 801-36855IAPD
Latest filing Feb 28, 2023
First filing on the tape Nov 15, 2011 · 37 filings
RAUM
$1.6B
reported, Item 5.F
Discretionary
69%
of RAUM
Private clients
97%
$1.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$1.6B as of Feb 28, 2023
Jan 17, 2012$1.1B then
HNW client RAUM$1.6B as of Feb 28, 2023
Feb 16, 2018$1.2B then
State-registered IARs (5.B.3)13 as of Feb 28, 2023
Jan 30, 201313 then
Employees (5.A)17 as of Feb 28, 2023
Jan 30, 201321 then
Private funds: no history
RAUM -20% over the last fiscal year+0.8% a year over threeIARs 11 to 13
Practice profile
derived from the filing of Feb 28, 2023; every figure names its basis
RAUM per advisor
$123MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
69%derivedof RAUM
Institutional
1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-20%derivedbetween the last two annual amendments
Advisor growth, one year
+18%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.6B99%
  • Charitable organizations$20.9M1.3%
Individual clients
n/areported
HNW clients
1,174reported
Pension plan clients
n/areported
Charitable clients
8reported
Accounts
1,197reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Jones Alison Gamble · Presidentcontrol
      since 01/2011 · owns 10% to 25%
    • Jones Ashley Guerra · Chief Compliance Officercontrol
      since 01/2003 · owns 10% to 25%
    • Coulbourn Charles Hackerman · Treasurercontrol
      since 12/2007 · owns 5% to 10%
    • Francis Thomas Jones · Partnercontrol
      since 12/2005 · owns 10% to 25%
    • Sheldon Thomas Jones · Chairmancontrol
      since 01/1970 · owns 10% to 25%
    • Russell Scott Phillips · Secretarycontrol
      since 01/2011 · owns 5% to 10%
    Entity owners
    • Jones, Thomas, Sheldon · Trustee
      indirect · owns F of Jones, Thomas, Francis
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list Gamble Jones Investment Counsel as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Alpharetta, GA1 employees
    • Beaverton, OR1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,213 to 1,197
      Dec 20, 2022 to Feb 28, 2023
    • Advisory employees · 11 to 13
      Dec 20, 2022 to Feb 28, 2023
    • Charity clients · 9 to 8
      Dec 20, 2022 to Feb 28, 2023
    • HNW clients · 1,170 to 1,174
      Dec 20, 2022 to Feb 28, 2023
    • Pension plan clients · 18.0 to unset
      Dec 20, 2022 to Feb 28, 2023
    • Assets in custody · $610M to $966M
      Dec 20, 2022 to Feb 28, 2023
    • State-registered IARs · 11 to 13
      Dec 20, 2022 to Feb 28, 2023
    • Discretionary RAUM · $1.4B to $1.1B
      Dec 20, 2022 to Feb 28, 2023
    • HNW RAUM · $1.9B to $1.6B
      Dec 20, 2022 to Feb 28, 2023
    • Non-discretionary RAUM · $575M to $492M
      Dec 20, 2022 to Feb 28, 2023
    • Pension RAUM · 21596003.0 to unset
      Dec 20, 2022 to Feb 28, 2023
    • RAUM · $2.0B to $1.6B
      Dec 20, 2022 to Feb 28, 2023
    • Discretionary RAUM · $976M to $1.4B
      Mar 25, 2022 to May 23, 2022
    • Non-discretionary RAUM · $1.0B to $575M
      Mar 25, 2022 to May 23, 2022
    • Accounts · 1,152 to 1,213
      Feb 18, 2021 to Mar 25, 2022
    • Charity clients · 10 to 9
      Feb 18, 2021 to Mar 25, 2022
    • HNW clients · 1,107 to 1,170
      Feb 18, 2021 to Mar 25, 2022
    • Assets in custody · $469M to $610M
      Feb 18, 2021 to Mar 25, 2022
    • Other offices · 1 to 2
      Feb 18, 2021 to Mar 25, 2022
    • Discretionary RAUM · $823M to $976M
      Feb 18, 2021 to Mar 25, 2022
    • HNW RAUM · $1.6B to $1.9B
      Feb 18, 2021 to Mar 25, 2022
    • Non-discretionary RAUM · $893M to $1.0B
      Feb 18, 2021 to Mar 25, 2022
    • Pension RAUM · $14.6M to $21.6M
      Feb 18, 2021 to Mar 25, 2022
    • RAUM · $1.7B to $2.0B
      Feb 18, 2021 to Mar 25, 2022
    • Accounts · 1,243 to 1,152
      Jul 23, 2020 to Feb 18, 2021
    • Advisory employees · 12 to 11
      Jul 23, 2020 to Feb 18, 2021
    • Charity clients · 6 to 10
      Jul 23, 2020 to Feb 18, 2021
    • HNW clients · 1,091 to 1,107
      Jul 23, 2020 to Feb 18, 2021
    • Assets in custody · $811M to $469M
      Jul 23, 2020 to Feb 18, 2021
    • Employees · 18 to 17
      Jul 23, 2020 to Feb 18, 2021
    • State-registered IARs · 12 to 11
      Jul 23, 2020 to Feb 18, 2021
    • Discretionary RAUM · $875M to $823M
      Jul 23, 2020 to Feb 18, 2021
    • HNW RAUM · $1.5B to $1.6B
      Jul 23, 2020 to Feb 18, 2021
    • Non-discretionary RAUM · $684M to $893M
      Jul 23, 2020 to Feb 18, 2021
    • Pension RAUM · $21.3M to $14.6M
      Jul 23, 2020 to Feb 18, 2021
    • RAUM · $1.6B to $1.7B
      Jul 23, 2020 to Feb 18, 2021
    • Assets in custody · $12.7M to $811M
      Jun 29, 2020 to Jul 23, 2020
    • Assets in custody · $15.3M to $12.7M
      Jan 29, 2020 to Jun 29, 2020
    • Accounts · 1,176 to 1,243
      Feb 12, 2019 to Jan 29, 2020
    • Advisory employees · 13 to 12
      Feb 12, 2019 to Jan 29, 2020
    Signals
    13 dated events
    • Gamble Jones Investment Counsel's advisors moved to Cerity Partners LLC (Pasadena, CA): 10 of 10 registered, on the same day
      Sep 14, 2023 · Firm absorbed (people side) · derived
    • Justine E. Munoz left Gamble Jones Investment Counsel for Cerity Partners Llc (registered 2023-03-02)
      Sep 14, 2023 · Advisor changed firm · fact
    • Alison Jones Gamble left Gamble Jones Investment Counsel for Cerity Partners Llc (registered 2023-03-02)
      Sep 14, 2023 · Advisor changed firm · fact
    • Thomas Sheldon Jones left Gamble Jones Investment Counsel for Cerity Partners Llc (registered 2023-03-02)
      Sep 14, 2023 · Advisor changed firm · fact
    • Peter Lawrence Viehl left Gamble Jones Investment Counsel for Cerity Partners Llc (registered 2023-03-02)
      Sep 14, 2023 · Advisor changed firm · fact
    • Thomas Francis Jones left Gamble Jones Investment Counsel for Cerity Partners Llc (registered 2023-03-02)
      Sep 14, 2023 · Advisor changed firm · fact
    • James Michael Erskine left Gamble Jones Investment Counsel for Cerity Partners Llc (registered 2024-03-07)
      Sep 14, 2023 · Advisor changed firm · fact
    • Scott Russell Phillips left Gamble Jones Investment Counsel for Cerity Partners Llc (registered 2023-03-01)
      Sep 14, 2023 · Advisor changed firm · fact
    • Bridget Lizabeth Goodbody left Gamble Jones Investment Counsel for Cerity Partners Llc (registered 2023-03-02)
      Sep 14, 2023 · Advisor changed firm · fact
    • Charles Coulbourn Hackerman left Gamble Jones Investment Counsel for Cerity Partners Llc (registered 2023-03-03)
      Sep 14, 2023 · Advisor changed firm · fact
    • Aram Joseph Schotts left Gamble Jones Investment Counsel for Cerity Partners Llc (registered 2023-03-02)
      Sep 14, 2023 · Advisor changed firm · fact
    • Morton David Davis (Partner) no longer on Schedule A of Gamble Jones Investment Counsel (listed 2020-01-29, absent 2020-06-29)
      Jun 29, 2020 · Control person left · inference
    • Wingate Thomas Bent (Partner) no longer on Schedule A of Gamble Jones Investment Counsel (listed 2018-09-04, absent 2019-02-12)
      Feb 12, 2019 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026