SourcingSourcing

JEMMA INVESTMENT ADVISORS LLC

B51
CRD 284198·SEC 801-126937·BALTIMORE, MD
AUM
$139.8M
$100M-$500M
Est. Revenue
$1.4M
@ 1% on AUM
Est. EBITDA
$419K
@ 30% margin
Est. Deal Value
$3.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
JEMMA INVESTMENT ADVISORS LLC
CRD
284198
SEC file #
801-126937
EIN
—
DBA names
Jemma Financial Services

Economics

AUM
$139.8M
AUM band
$100M-$500M
AUM trajectory
'23'26
$43.1M → $139.8M▲ +224%
Client mix
Individuals Other238
Individuals High Net Worth74
Pension Profit Sharing Plans8
Corporations4

Operations

Employees (total)
5
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'23'26
6 advisors → 5 advisors▼ -17%
Primary office
BALTIMORE MD
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesOther Advisory Services
Fee basis
% of AUM

Filings

Latest ADV filing
04/08/2026
ADV-W filed at
—
Website
jemmafinancial.com

Compliance

Disclosures (firm)
2
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
Nelson, Brian, Carl
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
4
Control Persons
Nelson, Brian, Carl
Baird, Stephen, Edward
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
JEMMAFINANCIAL.COM
Rdap Domain Creation Date
2016-03-08T18:30:00Z
Rdap Firm Age Years
10
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
4
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
E*trade4
Charles Schwab2
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-03-08T18:30:00Z
Rdap Domain Last Changed
2026-03-09T12:30:40Z
Rdap Nameservers
Ns73.domaincontrol.comNs74.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
1609723
Trust Company Affiliate
No

People (6)

6
Nelson, Brian, Carl
IAR · Direct Owner · 87.5%
1609723
DUDLEY, KATHARINE, WILSON
IAR · Executive Officer · 2.5%
6437889
Baird, Stephen, Edward
IAR · Executive Officer · 2.5%
5170645
MEGAN TURNER VICHICH
Executive Officer · 2.5%
2673607
WILLIAM HUGO CEVALLOS
IAR
4961189
GAY GRAHAM WAGNER
IAR
2368044