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.
SEC-registered adviser
Gates Pass Advisors, LLC
Latest filing Jul 14, 2026
First filing on the tape Mar 11, 2022 · 14 filings
SEC status approved since Apr 11, 2022
RAUM
$208M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$208M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$69.2M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$208M as of Jul 14, 2026
Mar 22, 2023$125M then
HNW client RAUM$204M as of Jul 14, 2026
Mar 22, 2023$117M then
State-registered IARs (5.B.3)2 as of Jul 14, 2026
Mar 22, 20232 then
Employees (5.A)3 as of Jul 14, 2026
Mar 22, 20232 then
Private funds: no history
RAUM +10% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $69.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $744,037derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $971,441, 4 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$204M98%
- Individuals$3.2M1.5%
- Individual clients
- 6reported
- HNW clients
- 63reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 279reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $971,441 for 4 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kanaka Esther Szabo-CummingsCertified Financial Planner | Los Altos, Ca | Aug 31, 2015 | 33 y | 3 |
| Erik Allen ScheiChartered Financial Analyst | Los Altos, Ca | Jul 3, 2019 | 20 y | 6 |
| Louise AlexanderCertified Financial Planner | Upper Seattle, Wa | Jul 31, 2026 | 20 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Jacqueline Dana Adler to Guide My FinancesJan 14, 2025 · RIA to a state-registered adviser
- Hetal Lilish Saki to BakeravenueMar 28, 2019 · RIA to RIA
Joined, latest
- Louise Alexander from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 31, 2026 · Wirehouse to independent RIA
- Jacqueline Dana Adler from Spinnaker Investment Group, LLCJul 30, 2024 · RIA to RIA
- Erik Allen Schei from Aria Wealth ManagementJul 3, 2019 · RIA to RIA
- Kanaka Esther Szabo-Cummings from Wealthvalues, LLCAug 31, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Esther Kanaka Szabo-Cummings · Member And Chief Compliance Officercontrolsince 06/2015 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Los Altos, Ca · principal | 3 | 1 | 0 | ||
| Laguna Niguel, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- HNW clients · 48 to 63Jul 24, 2025 to Mar 26, 2026
- Individual clients · 18 to 6Jul 24, 2025 to Mar 26, 2026
- Assets in custody · $12.1M to $971,441Jul 24, 2025 to Mar 26, 2026
- Employees · 4 to 3Jul 24, 2025 to Mar 26, 2026
- Financial planning clients · 11-25 to 51-100Jul 24, 2025 to Mar 26, 2026
- Discretionary RAUM · $188M to $208MJul 24, 2025 to Mar 26, 2026
- HNW RAUM · $176M to $204MJul 24, 2025 to Mar 26, 2026
- Individual RAUM · $12.2M to $3.2MJul 24, 2025 to Mar 26, 2026
- RAUM · $188M to $208MJul 24, 2025 to Mar 26, 2026
- Financial planning clients · 11-25 to 11-25Jun 11, 2025 to Jul 24, 2025
- Accounts · 243 to 279Jun 18, 2024 to Mar 28, 2025
- HNW clients · 37 to 48Jun 18, 2024 to Mar 28, 2025
- Individual clients · 29 to 18Jun 18, 2024 to Mar 28, 2025
- Assets in custody · $75.1M to $12.1MJun 18, 2024 to Mar 28, 2025
- Employees · 2 to 4Jun 18, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 11-25Jun 18, 2024 to Mar 28, 2025
- Discretionary RAUM · $149M to $188MJun 18, 2024 to Mar 28, 2025
- HNW RAUM · $127M to $176MJun 18, 2024 to Mar 28, 2025
- Individual RAUM · $24.4M to $12.2MJun 18, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $2.0M to $0Jun 18, 2024 to Mar 28, 2025
- RAUM · $151M to $188MJun 18, 2024 to Mar 28, 2025
- Accounts · 211 to 243Jun 29, 2023 to Mar 27, 2024
- Charity clients · unset to 0.0Jun 29, 2023 to Mar 27, 2024
- Corporate clients · unset to 0.0Jun 29, 2023 to Mar 27, 2024
- HNW clients · 36 to 37Jun 29, 2023 to Mar 27, 2024
- Individual clients · 17 to 29Jun 29, 2023 to Mar 27, 2024
- Pension plan clients · unset to 0.0Jun 29, 2023 to Mar 27, 2024
- Pooled vehicle clients · unset to 0.0Jun 29, 2023 to Mar 27, 2024
- Assets in custody · unset to 75116354.0Jun 29, 2023 to Mar 27, 2024
- Custody of client assets · false to trueJun 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $125M to $149MJun 29, 2023 to Mar 27, 2024
- HNW RAUM · $117M to $127MJun 29, 2023 to Mar 27, 2024
- Individual RAUM · $8.3M to $24.4MJun 29, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $0 to $2.0MJun 29, 2023 to Mar 27, 2024
- Pension RAUM · unset to 0.0Jun 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · unset to 0.0Jun 29, 2023 to Mar 27, 2024
- RAUM · $125M to $151MJun 29, 2023 to Mar 27, 2024
- Other offices · 0 to 1Mar 22, 2023 to Jun 29, 2023
- Accounts · 241 to 211Apr 26, 2022 to Mar 22, 2023
- HNW clients · 35 to 36Apr 26, 2022 to Mar 22, 2023
Signals
2 dated events
- Jacqueline Dana Adler left Gates Pass Advisors, Llc for Guide My Finances (registered 2025-02-05)Jan 14, 2025 · Advisor changed firm · fact
- Gates Pass Advisors, Llc filed its initial SEC registration (Form ADV)Mar 11, 2022 · First SEC registration · 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@gatespassadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 650-209-4696reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 650-797-0280reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/gatespassadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- GATESPASSADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-797-0280reportedpublic record, Form ADV, Jul 14, 2026
- Contact form
- gatespassadvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $69.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026