{ "crd_number": 313094, "slug": "galliott-capital-advisors-llc-beverly-hills-ca-313094", "primary_business_name": "GALLIOTT CAPITAL ADVISORS, LLC", "legal_name": "GALLIOTT CAPITAL ADVISORS, LLC", "dbas": [], "city": "Beverly Hills", "state": "CA", "country": "United States", "cbsa_code": "31080", "metro": { "cbsa_code": "31080", "common_name": "Los Angeles", "msa_name": "Los Angeles-Long Beach-Anaheim, CA", "path": "/advisors/ca/los-angeles" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2021-04-02", "years_registered": 5, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 248958072.0, "raum_discretionary": 197851415.0, "raum_non_discretionary": 51106657.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 6, "advisory_employees": 2, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 4290281.0, "count": 21 }, "insurance_companies": { "raum": 24280484.0, "count": 1, "fewer_than_5": true }, "pension_profit_sharing": { "raum": 8374406.0, "count": 4 }, "high_net_worth_individuals": { "raum": 110757640.0, "count": 51 }, "pooled_investment_vehicles": { "raum": 40435730.0, "count": 5 }, "corporations_other_businesses": { "raum": 60819531.0, "count": 31 } }, "compensation_types": [ "fixed", "hourly", "other", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "financial_planning", "other", "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_pooled_vehicles", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 3, "states_registered": [ "CA" ], "websites": [ "https://galliott.com", "https://linkedin.com/company/galliott" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/313094", "disclosure_items": [ { "item": "11.E(1)", "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" } ], "city_as_filed": "BEVERLY HILLS", "url": "https://advisorcensus.com/firm/galliott-capital-advisors-llc-beverly-hills-ca-313094", "display_name": "Galliott Capital Advisors, LLC", "summary": "Galliott Capital Advisors, LLC is an SEC-registered investment advisory firm in Beverly Hills, CA, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Galliott Capital Advisors, LLC (CRD 313094): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)", "Performance-based fees", "Other" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services", "Selection of other advisers (including private fund managers)", "Other" ], "quick_answers": [ { "q": "How is Galliott Capital Advisors, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Galliott Capital Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); performance-based fees; other." }, { "q": "How much does Galliott Capital Advisors, LLC charge?", "a": "Its Form ADV Part 2A brochure dated March 31, 2026 states: Flat fee: $250,000 (financial planning and consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is Galliott Capital Advisors, LLC located?", "a": "Galliott Capital Advisors, LLC's principal office is in Beverly Hills, CA, according to its Form ADV." }, { "q": "Is Galliott Capital Advisors, LLC registered with the SEC or a state?", "a": "Galliott Capital Advisors, LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 313094." }, { "q": "How much does Galliott Capital Advisors, LLC manage?", "a": "Galliott Capital Advisors, LLC reports $248,958,072 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (79% discretionary)." }, { "q": "How have Galliott Capital Advisors, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Galliott Capital Advisors, LLC: Regulatory assets under management: $1,400,000,000 in the October 2021 data and $248,958,072 in the October 2026 data, down 82%. Total employees: 6 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Galliott Capital Advisors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (51); corporations or other businesses not listed above (31); individuals (other than high net worth individuals) (21)." }, { "q": "Which custodians does Galliott Capital Advisors, LLC use?", "a": "Galliott Capital Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Morgan Stanley, Pershing LLC, Vontobel AG and Wells Fargo Clearing Services, LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Galliott Capital Advisors, LLC report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.E(1) (self-regulatory organization's finding of a false statement or omission), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/313094" }, { "q": "What changed in Galliott Capital Advisors, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1400000000.0, "total_employees": 6, "filing_date": "2021-08-06" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1200000000.0, "total_employees": 6, "filing_date": "2022-03-30" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1011900000.0, "total_employees": 5, "filing_date": "2023-07-19" }, { "period": "2024-10-01", "regulatory_assets_under_management": 118219994.0, "total_employees": 9, "filing_date": "2024-06-27" }, { "period": "2025-10-01", "regulatory_assets_under_management": 261932486.0, "total_employees": 6, "filing_date": "2025-03-31" }, { "period": "2026-10-01", "regulatory_assets_under_management": 248958072.0, "total_employees": 6, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 31, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": null, "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [ "Flat fee: $250,000 (financial planning and consulting services)" ], "figures": [ { "label": "Planning fee", "statements": [ "Flat fee: $250,000 (financial planning and consulting services)" ], "quotes": [ "Flat fees will not exceed $250,000. When billed as a percent of assets, the annualized fee shall not exceed 2.00%." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": null, "minimum_annual_fee": null, "planning": [ { "kind": "flat", "amount": 250000.0, "min": null, "max": null, "period": "one_time", "service": "financial planning and consulting services" } ] }, "quotes": [ "Flat fees will not exceed $250,000. When billed as a percent of assets, the annualized fee shall not exceed 2.00%." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Morgan Stanley", "name_as_filed": "MORGAN STANLEY", "affiliated": false }, { "name": "Pershing LLC", "name_as_filed": "PERSHING LLC", "affiliated": false }, { "name": "Vontobel AG", "name_as_filed": "VONTOBEL AG", "affiliated": false }, { "name": "Wells Fargo Clearing Services, LLC", "name_as_filed": "WELLS FARGO CLEARING SERVICES, LLC", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/galliott-capital-advisors-llc-beverly-hills-ca-313094.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 21, "fewer_than_5": false, "raum": 4290281.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 51, "fewer_than_5": false, "raum": 110757640.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 5, "fewer_than_5": false, "raum": 40435730.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 4, "fewer_than_5": false, "raum": 8374406.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 1, "fewer_than_5": true, "raum": 24280484.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 31, "fewer_than_5": false, "raum": 60819531.0 } ], "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/313094", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }