GORDON ASSET MANAGEMENT, LLC
Adviser information for GORDON ASSET MANAGEMENT, LLC last updated from Form ADV on March 11th, 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 | North Carolina, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 440 | $188.5M |
| Non-Discretionary | 18 | $10.9M |
| Total | 458 | $199.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 95 | $35.0M |
| HNW Individuals | 48 | $151.7M |
| 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 | 10 | $12.5M |
| 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 | <5 | $191,390 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-61670 |
|---|---|
| SEC ERA File Number | 801-61670 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118471 |
| Legal Entity Identifier | None |
Principal Office
4721 EMPEROR BLVD.SUITE 250
DURHAM
NC
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 919-313-6650, Fax: 919-313-6675
Chief Compliance Officer
JOSEPH GLENN MOORE
CHIEF INVESTMENT OFFICER
4721 EMPEROR BLVD.
SUITE 250
DURHAM
NC
United States
Tel:
919-313-6674
G**********@***********M
(Full email address available in API data)
Regulatory Contact
DARA BIEDERMAN
COMPLIANCE CONSULTANT
310 MAXWELL ROAD
ALPHARETTA
GA
United States
Tel:
4043014490
C*********@**************M
(Full email address available in API data)
Industry Affiliates
| STRATEGIC FINANCIAL MANAGEMENT, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FBO JODADDY REV TRUST DTD 03/2002 | Domestic Entity | – | SHAREHOLDER | 02/2020 | > 75% |
| 2004 IRREVOCABLE TRUST FBO HOOPER AND OTHERS | Domestic Entity | – | SHAREHOLDER | 02/2020 | < 5% |
| GORDON, JOSEPH, MICHAEL | Individual | FBO JODADDY REV TRUST DTD 03/2002 | JOSEPH M. GORDON, TRUSTEE FOR FBO JODADDY REV TRUST DTD 03/2002 | 02/2020 | |
| MOORE, JOSEPH, GLENN | Individual | – | CHIEF COMPLIANCE OFFICER/CHIEF INVESTMENT OFFICER | 07/2021 | < 5% |
| GIBRALTAR FINANCIAL, LLC | Domestic Entity | – | GIBRALTAR FINANCIAL, LLC | 01/2021 | 10-25% |
| ZEMPEL INVESTMENTS, LLC | Domestic Entity | – | OWNER | 12/2021 | < 5% |
| ZEMPEL, TODD, EDWARD | Individual | ZEMPEL INVESTMENTS, LLC | MEMBER | 01/2021 | > 75% |