Caroline Gorham has been Partner & Chief Compliance Officer of Neumann Capital Management since January 2021, is a control person of the firm and directly owns between 25% and 50% of it.
Neumann Capital Management, LLC is a Foster City, CA firm with $630M under management, 191 clients and 4 advisers across 5 offices, as of its August 2026 filing.
- Neumann Capital ManagementCurrent– present · 3 yearsFoster City, CA · Adviser representative · Firm CRD 112182
Investment adviser representative registrations
Caroline Gorham is registered as an investment adviser representative in 3 states. Each was approved in March 2023.
- CaliforniaSince 3 March 2023
- IllinoisSince 3 March 2023
- TexasSince 3 March 2023
Examinations
No examinations are on Caroline Gorham’s record.
- Full name
- Caroline Amanda Connor Gorham
- CRD
- 7355176
- Firm
- Neumann Capital Management · CRD 112182
- Role
- Partner & Chief Compliance Officer
- Office
- 303 VINTAGE PARK DRIVE, SUITE 100, Foster City, CA 94404-1167
- Registration
- Investment adviser registration
- In the industry since
- March 2023
- Disciplinary history
- Not yet shown here · SEC record
Where does Caroline Gorham work?
Caroline Gorham has been Partner & Chief Compliance Officer of Neumann Capital Management, LLC since January 2021, and is a control person of the firm.
Is Caroline Gorham a financial advisor?
Yes. Caroline Gorham has a current investment-adviser registration in California, Illinois and Texas, through Neumann Capital Management since March 2023.
How many years of experience does Caroline Gorham have?
Caroline Gorham has 3 years in the financial industry, since March 2023, across 1 adviser firm.
Where is Caroline Gorham based?
Caroline Gorham’s registered office is in Foster City, CA.
Is Caroline Gorham registered with FINRA?
No. Caroline Gorham has no current broker registration.
How can I verify Caroline Gorham’s record?
Search CRD 7355176 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Caroline Gorham’s full registration record.