GALLIOTT CAPITAL ADVISORS, LLC
Adviser information for GALLIOTT CAPITAL ADVISORS, LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 59 | $105.6M |
| Non-Discretionary | 3 | $12.6M |
| Total | 62 | $118.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 22 | $8.9M |
| HNW Individuals | 23 | $52.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $5.3M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 15 | $51.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 39 |
| No. of Non-U.S. Clients | 11 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)INSTITUTIONAL CONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based feesCONSULTING |
Identifiers
| SEC RIA File Number | 801-120725 |
|---|---|
| SEC ERA File Number | 801-120725 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 313094 |
| Legal Entity Identifier | None |
Principal Office
9401 WILSHIRE BLVD.STE 705
BEVERLY HILLS
CA
United States
Monday - Friday, 6:30 AM - 4PM PST
Tel: 310-362-3320, Fax: 323-472-6595
Websites
Chief Compliance Officer
JUAN CARLOS RIERA
CHIEF COMPLIANCE OFFICER
9401 WILSHIRE BOULEVARD
SUITE 705
BEVERLY HILLS
FL
United States
Tel:
3054480014
C**@***********M
(Full email address available in API data)
Regulatory Contact
ANTOINE SOUMA
CEO
9401 WILSHIRE BOULEVARD
SUITE 705
BEVERLY HILLS
FL
United States
Tel:
3103623320
Fax:
323-472-6595
A******@***********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SOUMA, ANTOINE, NABIH | Individual | – | MEMBER | 03/2020 | < 5% |
| RIERA, JUAN, CARLOS | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2021 | < 5% |
| MOURAD, ROBERT | Individual | – | CIO | 07/2023 | < 5% |
| DELGADO, ZENIA, LISETTE | Individual | – | COO | 03/2024 | < 5% |
| AHN, AHSOO | Individual | – | CAO | 03/2020 | < 5% |
| GALLIOTT FINANCE ONE | Domestic Entity | – | SHAREHOLDER | 07/2020 | > 75% |
| GALLIOTT LLC US | Domestic Entity | GALLIOTT FINANCE ONE | MANAGING MEMBER | 07/2020 | > 75% |
| SOUMA, ANTOINE, NABIH | Individual | GALLIOTT LLC US | OWNER | 07/2020 | > 75% |