{"url":"https://nivawealth.com/firms/galliott-capital-advisors-313094","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/313094","regulatoryAum":248958072,"crd":"313094","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5369193","suffix":null,"lastName":"AHN","firstName":"AHSOO","middleName":null},{"crd":"6406979","suffix":null,"lastName":"BETANCOURT","firstName":"AZELIA","middleName":"AGUILAR"},{"crd":"5061089","suffix":null,"lastName":"DELGADO","firstName":"ZENIA","middleName":"LISETTE"},{"crd":"4210987","suffix":null,"lastName":"SOUMA","firstName":"ANTOINE","middleName":"NABIH"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-05-12","regulatoryAum":0,"clients":0,"employees":5,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":1200000000,"clients":67,"employees":6,"offices":1},{"filedOn":"2023-07-19","regulatoryAum":1011900000,"clients":70,"employees":5,"offices":1},{"filedOn":"2024-06-27","regulatoryAum":118219994,"clients":60,"employees":9,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":261932486,"clients":302,"employees":6,"offices":1},{"filedOn":"2026-03-31","regulatoryAum":248958072,"clients":113,"employees":6,"offices":1}],"secFileNumber":"801-120725","legalName":"Galliott Capital Advisors, LLC","displayName":"Galliott Capital Advisors","slug":"galliott-capital-advisors-313094","website":"https://galliott.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/galliott/","founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"9401 Wilshire BLVD., Ste 705","city":"Beverly Hills","state":"CA","stateName":"California","country":"United States","postalCode":"90212"},"tradeNames":[],"registration":{"secApproved":"2 April 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billed pro-rata quarterly in arrears on the average daily account balance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1038268","versionId":1038268,"submittedOn":"2026-03-31","documentName":"PART 2A OF FORM ADV: FIRM BROCHURE"},{"role":"other","program":"Comprehensive Portfolio Management","summary":"Maximum annual fee of 1.75%, negotiable, billed pro-rata quarterly in arrears on the average daily account balance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1038268","versionId":1038268,"submittedOn":"2026-03-31","documentName":"PART 2A OF FORM ADV: FIRM BROCHURE"},{"role":"other","program":"Financial Planning and Consulting","summary":"Flat fee not exceeding $250,000, or, when billed as a percentage of assets, an annualized fee not exceeding 2.00%.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1038268","versionId":1038268,"submittedOn":"2026-03-31","documentName":"PART 2A OF FORM ADV: FIRM BROCHURE"},{"role":"other","program":"Multi-Family Office Services","summary":"Fees are set by the scope and complexity of services, with a minimum fee of $25,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1038268","versionId":1038268,"submittedOn":"2026-03-31","documentName":"PART 2A OF FORM ADV: FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T10:59:19.367749+00:00","documents":[{"name":"PART 2A OF FORM ADV: FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1038268","versionId":1038268,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"Pershing LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":52769310},{"name":"Morgan Stanley Smith Barney LLC","shortName":"Morgan Stanley","location":"Purchase, NY","smaAssets":17687711},{"name":"Wells Fargo Clearing Services, LLC","shortName":"Wells Fargo Clearing Services","location":"Charlotte, NC","smaAssets":35802435},{"name":"Vontobel Ag","shortName":"Vontobel Ag","location":"Los Angeles, CA","smaAssets":21272779}],"custodyNote":"Galliott Capital Advisors has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Ahsoo Ahn","title":"CAO","crd":"5369193"},{"name":"Zenia Delgado","title":"COO/ CCO","crd":"5061089"},{"name":"Antoine Souma","title":"Managing Partner","crd":"4210987"}],"ownership":[{"label":"Galliott Finance One, Inc","detail":"Shareholder in the 75% or more ownership band, since July 2020."},{"label":"Galliott LLC","detail":"Indirect owner: a managing member of Galliott Finance One, Inc in the 75% or more band and a control person, since July 2020.","parent":"Galliott Finance One, Inc"},{"label":"Antoine Souma","detail":"Indirect owner: a owner of Galliott LLC in the 75% or more band and a control person, since July 2020.","parent":"Galliott LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"9401 Wilshire BLVD., Ste 705","city":"Beverly Hills","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"310-362-3320","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Performance-based fees","Other"],"activities":["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"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":34},{"label":"U.S. government/agency bonds","percent":11},{"label":"U.S. state and local bonds","percent":19},{"label":"Sovereign bonds","percent":2},{"label":"Investment grade corporate bonds","percent":15},{"label":"Securities issued by registered investment companies or business development companies","percent":2},{"label":"Cash and cash equivalents","percent":7},{"label":"Other","percent":12,"detail":"Corporations and Real Estate"}],"privateFunds":5},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/313094/PDF/313094.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1038268","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Galliott Capital Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Galliott Capital Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Galliott Capital Advisors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Galliott Capital Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Galliott Capital Advisors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Galliott Capital Advisors?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Galliott Capital Advisors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Galliott Capital Advisors?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}