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.
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SEC-registered adviser
G••••• A•••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Mar 23, 2012 · 35 filings
SEC status approved since May 21, 1999
RAUM
$2.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$2.3B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$295M
derived; firm RAUM over IAPD count
Employees
16
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$2.4B as of Mar 23, 2026
Mar 23, 2012$569M then
HNW client RAUM$2.0B as of Mar 23, 2026
Mar 23, 2018$746M then
State-registered IARs (5.B.3)8 as of Mar 23, 2026
Mar 28, 20133 then
Employees (5.A)16 as of Mar 23, 2026
Mar 28, 201311 then
Private funds: no history
RAUM +17% over the last fiscal year+18% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $295MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 159derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $622,444derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.0B85%
- Individuals$293M12%
- Other investment advisers$21.3M0.9%
- Charitable organizations$13.9M0.6%
- Corporations and businesses$11.2M0.5%
- Pension and profit-sharing plans$2.7M0.1%
- Individual clients
- 711reported
- HNW clients
- 559reported
- Pension plan clients
- 3reported
- Charitable clients
- 4reported
- Accounts
- 3,787reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.01 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• L•••• G••••• | Walnut Creek, Ca | Jul 28, 1992 | 40 y | 1 |
| S•••• D•••• G•••••Chartered Financial Analyst | Walnut Creek, Ca | Sep 26, 2016 | 33 y | 0 |
| M•••••• W••••• M•••••••Chartered Financial Analyst | Walnut Creek, Ca | Sep 23, 2021 | 20 y | 0 |
| B•••• C•••• G••••• | Walnut Creek, Ca | Nov 3, 2021 | 26 y | 0 |
| C•••••••• G•••• W••••• | Walnut Creek, Ca | Jan 24, 2024 | 13 y | 0 |
| A••••• M•••• W•••••Certified Financial Planner | Walnut Creek, Ca | May 9, 2024 | 23 y | 3 |
| C•••••• J•••• B•••••••Chartered Financial Analyst | Walnut Creek, Ca | Jan 12, 2026 | 26 y | 0 |
| T•••••• J•••• C•••••••Certified Financial Planner | Alameda, Ca | Mar 4, 2026 | 22 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M•••• H•••••••• to S•••••••• F••••••••• I•••Jan 7, 2022 · RIA to affiliated broker-dealer or bank
- C••••• C• W••• to K•• W••••• M••••••••• L••Dec 9, 2019 · Other
Joined, latest
- T•••••• J•••• C••••••• from G•••••••• W••••• A•••••••• L••Mar 4, 2026 · RIA to RIA
- A••••• M•••• W••••• from D•• M•••• G••••• L••May 9, 2024 · RIA to RIA
- C••••• C• W••• from S••••• M•••••••••Jun 1, 2017 · Other
- D•••• L•••• G••••• from C••••••••• C•••••• M•••••••••Jul 28, 1992 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• C••••••• J•••• · Principalcontrolsince 01/2003 · owns 25% to 50%
- G•••••• B••••• C•••• · Principalcontrolsince 01/2006 · owns 25% to 50%
- G•••••• D••••• L•••• · Principalcontrolsince 11/1999 · owns less than 5%
- G•••••• S••••• D•••• · Principalcontrolsince 12/2004 · owns 25% to 50%
- M•••••• P•••••••• M•••• · Chief Compliance Officersince 12/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 3,663 to 3,787Mar 17, 2025 to Mar 23, 2026
- Advisory employees · 8 to 9Mar 17, 2025 to Mar 23, 2026
- Charity clients · 5 to 4Mar 17, 2025 to Mar 23, 2026
- Corporate clients · 5 to 7Mar 17, 2025 to Mar 23, 2026
- HNW clients · 506 to 559Mar 17, 2025 to Mar 23, 2026
- Individual clients · 861 to 711Mar 17, 2025 to Mar 23, 2026
- Employees · 15 to 16Mar 17, 2025 to Mar 23, 2026
- Discretionary RAUM · $2.0B to $2.4BMar 17, 2025 to Mar 23, 2026
- HNW RAUM · $1.7B to $2.0BMar 17, 2025 to Mar 23, 2026
- Individual RAUM · $300M to $293MMar 17, 2025 to Mar 23, 2026
- Pension RAUM · $2.7M to $2.7MMar 17, 2025 to Mar 23, 2026
- RAUM · $2.0B to $2.4BMar 17, 2025 to Mar 23, 2026
- RAUM · $1.7B to $2.0BOct 23, 2024 to Mar 17, 2025
- Accounts · 3,319 to 3,663Oct 23, 2024 to Mar 17, 2025
- HNW clients · 429 to 506Oct 23, 2024 to Mar 17, 2025
- Individual clients · 725 to 861Oct 23, 2024 to Mar 17, 2025
- Pension plan clients · 4 to 3Oct 23, 2024 to Mar 17, 2025
- Employees · 14 to 15Oct 23, 2024 to Mar 17, 2025
- Financial planning clients · 0 to 0Oct 23, 2024 to Mar 17, 2025
- Discretionary RAUM · $1.7B to $2.0BOct 23, 2024 to Mar 17, 2025
- HNW RAUM · $1.4B to $1.7BOct 23, 2024 to Mar 17, 2025
- Individual RAUM · $291M to $300MOct 23, 2024 to Mar 17, 2025
- Pension RAUM · $4.4M to $2.7MOct 23, 2024 to Mar 17, 2025
- Advisory employees · 7 to 8Mar 15, 2024 to May 28, 2024
- Employees · 13 to 14Mar 15, 2024 to May 28, 2024
- State-registered IARs · 7 to 8Mar 15, 2024 to May 28, 2024
- Other offices · 1 to 2Mar 15, 2024 to May 28, 2024
- Accounts · 3,206 to 3,319Mar 20, 2023 to Mar 15, 2024
- Advisory employees · 6 to 7Mar 20, 2023 to Mar 15, 2024
- Charity clients · unset to 5.0Mar 20, 2023 to Mar 15, 2024
- Corporate clients · 6 to 5Mar 20, 2023 to Mar 15, 2024
- HNW clients · 357 to 429Mar 20, 2023 to Mar 15, 2024
- Individual clients · 764 to 725Mar 20, 2023 to Mar 15, 2024
- Pension plan clients · unset to 4.0Mar 20, 2023 to Mar 15, 2024
- Employees · 12 to 13Mar 20, 2023 to Mar 15, 2024
- State-registered IARs · 6 to 7Mar 20, 2023 to Mar 15, 2024
- Discretionary RAUM · $1.4B to $1.7BMar 20, 2023 to Mar 15, 2024
- HNW RAUM · $1.1B to $1.4BMar 20, 2023 to Mar 15, 2024
- Individual RAUM · $294M to $291MMar 20, 2023 to Mar 15, 2024
- Pension RAUM · $1.6M to $4.4MMar 20, 2023 to Mar 15, 2024
Signals
1 dated events
- M•••• H•••••••• left G••••• A•••• M••••••••• L•• for S•••••••• F••••••••• I••• (registered 2022-03-21)Jan 7, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@gemmerllc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- clientrequest@gemmerllc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 925-933-3786reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 925-933-6165reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/gemmer-asset-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- gemmerllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-933-3786reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- gemmerllc.com/index.php/about/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- gemmerllc.com/index.php/about/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $295Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026