Galliott Capital Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, and selecting other managers. Financial planning was provided to 1–10 clients last fiscal year. The firm advises 5 private funds.
Galliott Capital Advisors reports 113 clients. They include 51 high-net-worth individuals, 31 corporations and other businesses, and 21 individual clients. Of its assets, 79.5% ($198M across 82 accounts) are managed with discretion; $51.1M across 31 accounts are not. Of its clients, 25% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 19% | 2% |
| High-net-worth individuals | 45% | 44% |
| Pooled investment vehicles | 4% | 16% |
| Pension and profit-sharing plans | 4% | 3% |
| Insurance companies | <1% | 10% |
| Other client typesCorporations and other businesses | 27% | 24% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 21 | $4.29M | 1.7% | $204K |
| High-net-worth individuals | 51 | $111M | 44.5% | $2.17M |
| Pooled investment vehicles | 5 | $40.4M | 16.2% | $8.09M |
| Pension and profit-sharing plans | 4 | $8.37M | 3.4% | $2.09M |
| Insurance companies | Fewer than 5 | $24.3M | 9.8% | $24.3M |
| Corporations and other businesses | 31 | $60.8M | 24.4% | $1.96M |
| Total | 113 | $249M | 100% | — |
- Clients
- 21
- Regulatory AUM
- $4.29M
- AUM share
- 1.7%
- Avg. per client
- $204K
- Clients
- 51
- Regulatory AUM
- $111M
- AUM share
- 44.5%
- Avg. per client
- $2.17M
- Clients
- 5
- Regulatory AUM
- $40.4M
- AUM share
- 16.2%
- Avg. per client
- $8.09M
- Clients
- 4
- Regulatory AUM
- $8.37M
- AUM share
- 3.4%
- Avg. per client
- $2.09M
- Clients
- Fewer than 5
- Regulatory AUM
- $24.3M
- AUM share
- 9.8%
- Avg. per client
- $24.3M
- Clients
- 31
- Regulatory AUM
- $60.8M
- AUM share
- 24.4%
- Avg. per client
- $1.96M
Total
- Clients
- 113
- Regulatory AUM
- $249M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 25%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 5
- Financial planning clients last fiscal year
- 1–10
Galliott Capital Advisors is paid through a percentage of assets under management, hourly charges, fixed fees (other than subscription fees), performance-based fees and other compensation. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices 4 other services, listed under fee details.
Fee details and sources
Other fees
- Asset Management
- Maximum annual fee of 1.50%, negotiable, billed pro-rata quarterly in arrears on the average daily account balance.
- Comprehensive Portfolio Management
- Maximum annual fee of 1.75%, negotiable, billed pro-rata quarterly in arrears on the average daily account balance.
- Financial Planning and Consulting
- Flat fee not exceeding $250,000, or, when billed as a percentage of assets, an annualized fee not exceeding 2.00%.
- Multi-Family Office Services
- Fees are set by the scope and complexity of services, with a minimum fee of $25,000.
Galliott Finance One, Inc owns 75% or more of Galliott Capital Advisors and is in turn owned by Galliott LLC (75% or more). It has 6 employees, 2 of them in advisory roles.
Leadership
- Ahsoo AhnCAO
- Zenia DelgadoCOO/ CCO
- Antoine SoumaManaging Partner
Investment adviser representatives
4 representatives listed in the SEC register as of 9 October 2026.
Staff
- 6 employees
- 2 in advisory functions
- 5 state-registered reps
- 2 insurance agents
- Owns 75% or more of Galliott Capital Advisors, LLC
Galliott Finance One, Inc
since July 2020
- Owns 75% or more of Galliott Finance One, Inc
Galliott LLC
Control person · since July 2020
- Owns 75% or more of Galliott LLC
Antoine Souma
Control person · since July 2020
Galliott Capital Advisors’ regulatory assets grew Infinity× from $0 (May 2021) to $249M (March 2026); employees rose from 5 to 6.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $249M | 113 | 6 | 1 |
| March 2025 | $262M | 302 | 6 | 1 |
| June 2024 | $118M | 60 | 9 | 1 |
| July 2023 | $1.01B | 70 | 5 | 1 |
| March 2022 | $1.2B | 67 | 6 | 1 |
| May 2021 | $0 | 0 | 5 | 1 |
Besides its headquarters, Galliott Capital Advisors has 0 offices, with 1 listed address in California.
California · 1 listed address
- 9401 Wilshire BLVD., Ste 705, Beverly HillsHQ
Contact and registration details
- Legal name
- Galliott Capital Advisors, LLC
- Headquarters
- 9401 Wilshire BLVD., Ste 705, Beverly Hills, CA 90212
- Website
- galliott.com
- Phone
- 310-362-3320
- @galliott
- SEC file
- 801-120725
- Structure
- California LLC
- Fiscal year end
- December
Galliott Capital Advisors uses Pershing ($52.8M, 41%), Wells Fargo Clearing Services ($35.8M, 28%) and Vontobel Ag ($21.3M, 17%), among others, as custodians for its separately managed accounts. Galliott Capital Advisors has custody of client assets.
- PershingPershing LLC · Jersey City, NJ · $52.8M41%
- Morgan StanleyMorgan Stanley Smith Barney LLC · Purchase, NY · $17.7M14%
- Wells Fargo Clearing ServicesWells Fargo Clearing Services, LLC · Charlotte, NC · $35.8M28%
- Vontobel AgVontobel Ag · Los Angeles, CA · $21.3M17%
At year end, Galliott Capital Advisors’ separately managed accounts were largely in bonds (47%) and stocks (34%).
What the accounts hold
- Stocks34%
- Funds2%
- Bonds47%
- State and local bonds19%
- Investment grade corporate bonds15%
- U.S. government and agency bonds11%
- Sovereign bonds2%
- Cash7%
- Other12%
- Corporations and real estate12%
How many clients does Galliott Capital Advisors have?
Galliott Capital Advisors has 113 clients and manages $249 million for them, as of March 2026. They include 51 high-net-worth individuals, 31 corporations and other businesses, and 21 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Galliott Capital Advisors offer?
Galliott Capital Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Galliott Capital Advisors use?
Galliott Capital Advisors’ separately managed account assets are held at Pershing LLC (Jersey City, NJ), with $52.8M, Wells Fargo Clearing Services, LLC (Charlotte, NC), with $35.8M, Vontobel Ag (Los Angeles, CA), with $21.3M and Morgan Stanley Smith Barney LLC (Purchase, NY), with $17.7M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does Galliott Capital Advisors have?
Galliott Capital Advisors has 5 investment adviser representatives registered with state securities authorities, out of 6 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Galliott Capital Advisors invest in?
At the end of its last fiscal year, Galliott Capital Advisors’ separately managed accounts held 34% exchange-traded equities, 19% state and local bonds, 15% investment grade corporate bonds, 12% other, 11% U.S. government and agency bonds, 7% cash and equivalents, 2% sovereign bonds and 2% registered funds (mutual funds, ETFs, BDCs). The 12% other category is described as: Corporations and Real Estate. It advises 5 private funds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Galliott Capital Advisors?
Galliott Capital Advisors is owned through a chain of holding companies by Antoine Souma. Its direct owner is Galliott Finance One, Inc (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Galliott Capital Advisors get paid?
Galliott Capital Advisors is paid through a percentage of assets under management, hourly charges, fixed fees, performance-based fees and other compensation. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Galliott Capital Advisors?
Galliott Capital Advisors’ main office is at 9401 Wilshire BLVD., Ste 705, Beverly Hills, CA 90212. Its phone number is 310-362-3320. Its website is galliott.com.