SourcingSourcing

GAP ASSET MANAGEMENT, LLC

C46
CRD 309925·SEC 801-133963·SOUTH BEND, IN
AUM
$287.0M
$100M-$500M
Est. Revenue
$2.9M
@ 1% on AUM
Est. EBITDA
$861K
@ 30% margin
Est. Deal Value
$6.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
GAP ASSET MANAGEMENT, LLC
CRD
309925
SEC file #
801-133963
EIN
850897160
DBA names
—

Economics

AUM
$287.0M
AUM band
$100M-$500M
AUM trajectory
'25'26
$269.6M → $287.0M▲ +6%
Client mix
Pooled Investment Vehicles2

Operations

Employees (total)
14
Advisory staff (per ADV)
13
Advisory staff (5-yr trend)
'25'26
11 advisors → 13 advisors▲ +18%
Primary office
SOUTH BEND IN
Branches
—

Custodian & Brokerage

Primary custodian
Folio Institutionalmedium confidence
Services offered
Portfolio mgmt — pooled vehiclesOther Advisory Services
Fee basis
% of AUMPerformance-based feesOther Compensation

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
graham-allen.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
GACP II, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
GACP II, LLC
CARROLL, LAUREN, CHRISTINE
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
GRAHAM-ALLEN.COM
Rdap Domain Creation Date
2009-02-19T14:44:26Z
Rdap Firm Age Years
17
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 Cik
0001811784
Edgar Registered
Yes
Edgar Filing Count
1
Edgar First Filing Date
2020-05-13
Edgar Last Filing Date
2020-05-13
Edgar Form D Count
1
Edgar Form D Offerings
2020-05-132020-05-13 · 0001811784-20-000001

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.068
Soi Zip Pct 200k Plus
0.0146
Soi Zip Returns 200k Plus
30
Soi Zip Total AGI
82,760
Fdic Zip Total Deposits
40,981,931,000
Fdic Zip Branch Count
277
Fdic Zip Top Banks
1st Source Bank
KeyBank National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (26)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Window
Folio Institutional1
Full
E*trade4
Jpmorgan2
Folio Institutional1
Edgar Addresses
Mailing
130 S. MAIN STREETSUITE 200SOUTHBEND, IN 46601
Business
130 S. MAIN STREETSUITE 200SOUTHBEND, IN 46601
Edgar EIN
850897160
Edgar Recent Filings
D2020-05-13 · 0001811784-20-000001
Fdic Zip Branches Raw
Norwest Bank Indiana, National AssociationSouth Bend, IN
Valley American Bank and Trust CompanySouth Bend, IN
Fdic Zip HHI
2665.2
Fdic Zip Top Bank Share Pct
48.64
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-02-19T14:44:26Z
Rdap Domain Last Changed
2026-01-20T20:40:55Z
Rdap Nameservers
Ns19.domaincontrol.comNs20.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI11,671
Returns940
Stub 2
AGI21,479
Returns600
Stub 3
AGI16,401
Returns270
Soi Zip Total Business Income
3,976
Soi Zip Total Cap Gains
449
Soi Zip Total Dividends
576
Soi Zip Total Returns
2060
Trust Company Affiliate
No

People (2)

2
CARROLL, LAUREN, CHRISTINE
Executive Officer · 2.5%
5875646
GRAHAM, TRACY, DANIEL
Executive Officer · 2.5%
7271339