Hedge Fund Database

GRADIENT CAPITAL ADVISORS, LLC

Adviser information for GRADIENT CAPITAL ADVISORS, LLC last updated from Form ADV on February 16th, 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 7
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
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 1,214 $465.9M
Non-Discretionary 206 $80.5M
Total 1,420 $546.4M

Clients

Type Number RAUM
Individuals 154 $36.5M
HNW Individuals 275 $490.5M
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 12 $17.0M
Charitable organizations <5 $509,735
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 $1.9M
Other 0 $0
Type Number
No. of Non-RAUM Clients 12
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 11-25

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 526.6M
Portfolio Manager to Program Sponsor
GRADIENT CAPITAL WRAP PROGRAM GRADIENT CAPITAL ADVISORS, LLC

Identifiers

SEC RIA File Number 801-78917
SEC ERA File Number 801-78917
SEC CIK Numbers 1727917
SEC CRD Numbers 168912
Legal Entity Identifier None

Principal Office

2125 POINSETTIA DRIVE
SAN DIEGO
CA
United States
Monday - Friday, 8:30 AM - 5:00PM
Tel: 619-255-0700, Fax: 619-255-0777

Websites

www.instagram.com/gradientcapital/ www.gradientcapital.com www.facebook.com/gradientcapitaladvisors/ www.linkedin.com/company/gradient-capital-advisors-llc www.gradientcapitaladvisors.com

Chief Compliance Officer

TIMOTHY A. SAGAWA
SENIOR PARTNER
2125 POINSETTIA DRIVE
SAN DIEGO
CA
United States
Tel: 619-255-0700 X 203
Fax: 619-255-0777
(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
SIMMS, RODNEY, ALLEN Individual – SENIOR PARTNER 01/2014 50-75%
SAGAWA, TIMOTHY, AKIRA Individual – SENIOR PARTNER AND CHIEF COMPLIANCE OFFICER 01/2014 10-25%
SIMMS, ERIC, EUGENE Individual – SENIOR PARTNER 01/2014 25-50%

No. Employees, Historic

105020192020202120222023202420256 on 10/31/20196 on 3/19/20206 on 6/30/20207 on 11/2/20207 on 2/17/20217 on 2/17/20217 on 5/11/20217 on 8/4/20217 on 3/7/20227 on 3/30/20227 on 7/26/20227 on 7/26/20227 on 9/14/20227 on 2/16/20237 on 10/13/20237 on 2/16/2024

RAUM, Historic

600M300M02019202020212022202320242025301132534 on 10/31/2019366209437 on 3/19/2020366209437 on 6/30/2020366209437 on 11/2/2020420910906 on 2/17/2021420910906 on 2/17/2021420910906 on 5/11/2021420910906 on 8/4/2021512652827 on 3/7/2022512652827 on 3/30/2022512652827 on 7/26/2022512652827 on 7/26/2022512652827 on 9/14/2022457137622 on 2/16/2023457137622 on 10/13/2023546415108 on 2/16/2024

No. Clients, Historic

50025002019202020212022202320242025415 on 10/31/2019424 on 3/19/2020424 on 6/30/2020424 on 11/2/2020424 on 2/17/2021424 on 2/17/2021424 on 5/11/2021424 on 8/4/2021427 on 3/7/2022427 on 3/30/2022427 on 7/26/2022427 on 7/26/2022427 on 9/14/2022431 on 2/16/2023431 on 10/13/2023441 on 2/16/2024

Holdings

From latest 13F, filed July 19th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMAZON COM INC COM Stock 2M 9K 0
INVESCO QQQ TRUST SERIES I ETF 482K 1K 0
STARBUCKS CORP COM Stock 262K 3K 0
JOHNSON & JOHNSON COM Stock 928K 6K 0
VANGUARD TOTAL STOCK MARKET ETF ETF 1M 5K 0
VANGUARD INTERNATIONAL HIGH DIVIDEND YIELD ETF ETF 234K 3K 0
COSTCO WHSL CORP NEW COM Stock 442K 520 0
YUM BRANDS INC COM Stock 308K 2K 0
PROCTER AND GAMBLE CO COM Stock 287K 2K 0
VANGUARD REAL ESTATE ETF ETF 1M 17K 0
INTEL CORP COM Stock 403K 13K 0
NETFLIX INC COM Stock 493K 730 0
MERCK & CO INC COM Stock 348K 3K 0
SPDR S&P 500 ETF TRUST ETF 641K 1K 0
ISHARES TIPS BOND ETF ETF 226K 2K 0
ISHARES COHEN & STEERS REIT ETF ETF 236K 4K 0
FEDEX CORP COM Stock 277K 924 0
HOME DEPOT INC COM Stock 868K 3K 0
SPDR GOLD SHARES ETF 1M 6K 0
SCHWAB U.S. SMALL-CAP ETF ETF 1M 22K 0
SCHWAB U.S. BROAD MARKET ETF ETF 2M 26K 0
SCHWAB INTERNATIONAL EQUITY ETF ETF 9M 246K 0
SCHWAB U.S. LARGE-CAP ETF ETF 7M 102K 0
CONSUMER STAPLES SELECT SECTOR SPDR FUND ETF 860K 11K 0
JPMORGAN ULTRA-SHORT INCOME ETF ETF 7M 132K 0
SPDR PORTFOLIO SHORT TERM CORPORATE BOND ETF ETF 573K 19K 0
ISHARES CORE S&P SMALL CAP ETF ETF 682K 6K 0
ISHARES IBONDS DEC 2027 TERM CORPORATE ETF ETF 227K 10K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 3M 8K 0
SCHWAB EMERGING MARKETS EQUITY ETF ETF 406K 15K 0
ADOBE INC COM Stock 401K 721 0
VANGUARD SHORT-TERM CORPORATE BOND ETF ETF 11M 142K 0
ALPHABET INC CAP STK CL A Stock 4M 23K 0
INTUIT COM Stock 367K 558 0
MICROSOFT CORP COM Stock 7M 15K 0
SPDR GOLD MINISHARES TRUST ETF 2M 33K 0
BOEING CO COM Stock 289K 2K 0
VANGUARD SMALL-CAP ETF ETF 3M 14K 0
VANGUARD MID-CAP ETF ETF 4M 15K 0
VANGUARD LARGE-CAP ETF ETF 5M 19K 0
TESLA INC COM Stock 5M 25K 0
JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF ETF 673K 13K 0
VANGUARD HEALTH CARE ETF ETF 856K 3K 0
FINANCIAL SELECT SECTOR SPDR FUND ETF 214K 5K 0
SCHWAB U.S. LARGE-CAP VALUE ETF ETF 1M 16K 0
SCHWAB US TIPS ETF ETF 584K 11K 0
VANGUARD S&P 500 ETF ETF 4M 9K 0
VANGUARD GLOBAL EX-U.S. REAL ESTATE ETF ETF 3M 63K 0
SCHWAB U.S. REIT ETF ETF 900K 45K 0
AVANTIS U.S. SMALL CAP VALUE ETF ETF 1M 11K 0
SCHWAB U.S. MID-CAP ETF ETF 8M 100K 0
ISHARES IBONDS DEC 2029 TERM CORPORATE ETF ETF 293K 13K 0
AVANTIS INTERNATIONAL SMALL CAP VALUE ETF ETF 1M 21K 0
VANGUARD TOTAL INTERNATIONAL STOCK ETF ETF 4M 65K 0
ISHARES RUSSELL 2000 ETF ETF 1M 5K 0
INVESCO S&P 500 LOW VOLATILITY ETF ETF 399K 6K 0
ISHARES IBONDS DEC 2030 TERM CORPORATE ETF ETF 517K 24K 0
VANGUARD SMALL CAP VALUE ETF ETF 2M 8K 0
SPDR BLOOMBERG 3-12 MONTH T-BILL ETF ETF 207K 2K 0
REGENERON PHARMACEUTICALS COM Stock 404K 384 0
DIMENSIONAL INTERNATIONAL CORE EQUITY MARKET ETF ETF 477K 16K 0
IMMUNOPRECISE ANTIBODIES LTD COM NEW Stock 27K 27K 0
DIMENSIONAL EMERGING CORE EQUITY MARKET ETF ETF 2M 65K 0
SCHWAB US AGGREGATE BOND ETF ETF 911K 20K 0
SCHWAB US DIVIDEND EQUITY ETF ETF 3M 42K 0
INVESCO BULLETSHARES 2030 MUNICIPAL BOND ETF ETF 204K 9K 0
VANGUARD ULTRA-SHORT BOND ETF ETF 787K 16K 0
VISA INC COM CL A Stock 631K 2K 0
DIMENSIONAL U.S. CORE EQUITY 2 ETF ETF 665K 21K 0
DIMENSIONAL U.S. TARGETED VALUE ETF ETF 7M 137K 0
DIMENSIONAL U.S. EQUITY ETF ETF 325K 6K 0
ISHARES IBONDS DEC 2031 TERM CORPORATE ETF ETF 703K 35K 0
DIMENSIONAL WORLD EX U.S. CORE EQUITY 2 ETF ETF 3M 111K 0
AVANTIS U.S. LARGE CAP VALUE ETF ETF 284K 5K 0
INVESCO BULLETSHARES 2031 MUNICIPAL BOND ETF ETF 413K 20K 0
VANGUARD VALUE ETF ETF 2M 9K 0
VANGUARD GROWTH ETF ETF 4M 11K 0
SPDR BLOOMBERG SHORT TERM HIGH YIELD BOND ETF ETF 281K 11K 0
DIMENSIONAL SHORT-DURATION FIXED INCOME ETF ETF 6M 119K 0
META PLATFORMS INC CL A Stock 3M 6K 0
DIMENSIONAL US REAL ESTATE ETF ETF 4M 171K 0
DIMENSIONAL US SMALL CAP VALUE ETF ETF 2M 71K 0
DIMENSIONAL INTERNATIONAL SMALL CAP VALUE ETF ETF 2M 75K 0
DIMENSIONAL INTERNATIONAL CORE EQUITY 2 ETF ETF 604K 23K 0
DIMENSIONAL US MARKETWIDE VALUE ETF ETF 5M 130K 0
PALO ALTO NETWORKS INC COM Stock 241K 710 0
ISHARES IBONDS DEC 2032 TERM CORPORATE ETF ETF 640K 26K 0
WP CAREY INC COM REIT 2M 33K 0
BROADCOM INC COM Stock 2M 1K 0
VANGUARD SHORT-TERM INFLATION-PROTECTED SECURITIES ETF ETF 7M 140K 0
ISHARES CORE MSCI EAFE ETF ETF 463K 6K 0
DIMENSIONAL US LARGE CAP VALUE ETF ETF 1M 45K 0
WISDOMTREE U.S. TOTAL DIVIDEND FUND ETF 349K 5K 0
ACCENTURE PLC IRELAND SHS CLASS A Stock 352K 1K 0
NVIDIA CORPORATION COM Stock 4M 29K 0
ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF ETF 3M 59K 0
ABBVIE INC COM Stock 227K 1K 0
PGIM GLOBAL HIGH YIELD FD FORM COM CEF 306K 26K 0
VANGUARD FTSE ALL-WORLD EX-US INDEX FUND ETF 1M 20K 0
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS ADR 621K 4K 0
BLACKSTONE INC COM Stock 555K 4K 0
ISHARES MSCI GLOBAL ENERGY PRODUCERS ETF ETF 380K 15K 0
QUALCOMM INC COM Stock 2M 9K 0
CISCO SYS INC COM Stock 828K 17K 0
ADVANCED MICRO DEVICES INC COM Stock 2M 10K 0
ENERGY SELECT SECTOR SPDR FUND ETF 313K 3K 0
ISHARES U.S. TECHNOLOGY ETF ETF 265K 2K 0
ISHARES S&P 500 VALUE ETF ETF 502K 3K 0
LULULEMON ATHLETICA INC COM Stock 436K 1K 0
ISHARES S&P 500 GROWTH ETF ETF 508K 5K 0
ISHARES CORE S&P 500 ETF ETF 27M 50K 0
ISHARES IBONDS DEC 2026 TERM CORPORATE ETF ETF 282K 12K 0
DIMENSIONAL EMERGING MARKETS CORE EQUITY 2 ETF ETF 5M 187K 0
WELLS FARGO CO NEW COM Stock 253K 4K 0
SALESFORCE INC COM Stock 309K 1K 0
LOCKHEED MARTIN CORP COM Stock 937K 2K 0
JPMORGAN CHASE & CO. COM Stock 5M 25K 0
CHEVRON CORP NEW COM Stock 2M 12K 0
VANGUARD FTSE DEVELOPED MARKETS ETF ETF 5M 94K 0
BANK AMERICA CORP COM Stock 896K 23K 0
SPDR PORTFOLIO S&P 1500 COMPOSITE STOCK MARKET ETF ETF 315K 5K 0
INTERNATIONAL BUSINESS MACHS COM Stock 315K 2K 0
VANGUARD FTSE EMERGING MARKETS ETF ETF 860K 20K 0
VANGUARD HIGH DIVIDEND YIELD INDEX ETF ETF 664K 6K 0
PFIZER INC COM Stock 629K 22K 0
ISHARES IBOXX $ INVESTMENT GRADE CORPORATE BOND ETF ETF 542K 5K 0
CATERPILLAR INC COM Stock 458K 1K 0
ALPHABET INC CAP STK CL C Stock 653K 4K 0
AMGEN INC COM Stock 1M 4K 0
VANGUARD DIVIDEND APPRECIATION ETF ETF 1M 6K 0
ISHARES CORE U.S. AGGREGATE BOND ETF ETF 499K 5K 0
VANGUARD SHORT-TERM BOND ETF ETF 1M 13K 0
LAM RESEARCH CORP COM Stock 3M 2K 0
EXXON MOBIL CORP COM Stock 446K 4K 0
SPDR PORTFOLIO DEVELOPED WORLD EX-US ETF ETF 10M 292K 0
BLACKROCK INC COM Stock 303K 385 0
ISHARES CORE S&P MID-CAP ETF ETF 334K 6K 0
ISHARES MSCI EAFE ETF ETF 383K 5K 0
APPLE INC COM Stock 18M 85K 0
DISNEY WALT CO COM Stock 377K 4K 0