JEMMA FINANCIAL SERVICES
JEMMA INVESTMENT ADVISORS LLC Legal Name
Adviser information for JEMMA FINANCIAL SERVICES last updated from Form ADV on March 25th, 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 | Maryland, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 3 |
| 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 | 544 | $75.9M |
| Non-Discretionary | 27 | $22.9M |
| Total | 571 | $98.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 280 | $52.6M |
| HNW Individuals | 44 | $46.2M |
| 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 | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-126937 |
|---|---|
| SEC ERA File Number | 801-126937 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 284198 |
| Legal Entity Identifier | None |
Principal Office
810 GLENEAGLES COURTSUITE 109
BALTIMORE
MD
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: (855) 662-2121, Fax: None
Chief Compliance Officer
STEPHEN BAIRD
CHIEF COMPLIANCE OFFICER
810 GLENEAGLES COURT
SUITE 109
BALTIMORE
MD
United States
Tel:
(855) 662-2121
S*****@*****************M
(Full email address available in API data)
Regulatory Contact
KATHARINE DUDLEY
VICE PRESIDENT
810 GLENEAGLES COURT
SUITE 109
BALTIMORE
MD
United States
Tel:
855-662-2121
K******@*****************M
(Full email address available in API data)
Industry Affiliates
| CROMWELL FUNDS | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Nelson, Brian, Carl | Individual | – | MANAGING MEMBER/PRESIDENT | 03/2022 | > 75% |
| STEIN, BONNIE, BRESSLER | Individual | – | MEMBER | 12/2020 | 5-10% |
| Baird, Stephen, Edward | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2022 | < 5% |