{"url":"https://nivawealth.com/firms/gates-pass-advisors-269983","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/269983","regulatoryAum":207586221,"crd":"269983","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7955496","suffix":null,"lastName":"Alexander","firstName":"Louise","middleName":null},{"crd":"4886564","suffix":null,"lastName":"SCHEI","firstName":"ERIK","middleName":"ALLEN"},{"crd":"2354565","suffix":null,"lastName":"SZABO-CUMMINGS","firstName":"KANAKA","middleName":"ESTHER"}],"total":3,"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":"2022-04-26","regulatoryAum":132946933,"clients":52,"employees":2,"offices":1},{"filedOn":"2023-06-29","regulatoryAum":125302667,"clients":53,"employees":2,"offices":2},{"filedOn":"2024-06-18","regulatoryAum":151285107,"clients":66,"employees":2,"offices":2},{"filedOn":"2025-07-24","regulatoryAum":187953677,"clients":66,"employees":4,"offices":2},{"filedOn":"2026-07-14","regulatoryAum":207586221,"clients":69,"employees":3,"offices":2}],"secFileNumber":"801-123686","legalName":"Gates Pass Advisors, LLC","displayName":"Gates Pass Advisors","slug":"gates-pass-advisors-269983","website":"https://gatespassadvisors.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/gatespassadvisors","xUrl":"https://twitter.com/gates_pass","founded":"2015","organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"280 2nd Street, Suite 280","city":"Los Altos","state":"CA","stateName":"California","country":"United States","postalCode":"94022"},"tradeNames":[],"registration":{"secApproved":"11 April 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":3008495.9565217393,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"regulatory":207586221,"discretionary":207586221,"discretionaryAccounts":279,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":18},"clientTypes":[{"label":"Individuals (other than HNW)","clients":6,"regulatoryAum":3190378},{"label":"High-net-worth individuals","clients":63,"regulatoryAum":204395843}],"feePrograms":[{"role":"other","program":"Stand-Alone Financial Planning","summary":"Initial financial plans are generally a fixed fee of not less than $5,000 and updates not less than $2,000, set in the planning agreement; generally negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028026","versionId":1028026,"submittedOn":"2026-03-26","documentName":"GATES PASS ADVISORS FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T15:14:14.195939+00:00","documents":[{"name":"GATES PASS ADVISORS FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028026","versionId":1028026,"submittedOn":"2026-03-26"}]},"custodians":[{"name":"SEI Investments Company","shortName":"SEI Investments","location":"Oaks, PA","smaAssets":190295115},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":17291106}],"custodyNote":"Gates Pass Advisors has custody of $971K for 4 clients.","otherCustodians":[],"leadership":[{"name":"Kanaka Szabo-Cummings","title":"Member and Chief Compliance Officer","crd":"2354565"}],"ownership":[{"label":"Kanaka Szabo-Cummings","detail":"Member and chief compliance officer in the 75% or more ownership band and a control person, since June 2015."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"280 2nd Street, Suite 280","city":"Los Altos","headquarters":true}]}],"brochureServices":["education planning","estate planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"650-797-0280","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":50},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":7},{"label":"Investment grade corporate bonds","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":33},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"14 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/269983/PDF/269983.pdf","brochureDate":"26 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1028026","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 Gates Pass Advisors have?","answer":"Gates Pass Advisors has 69 clients and manages $208 million for them, as of July 2026. They include 63 high-net-worth individuals and 6 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 14 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Gates Pass Advisors offer?","answer":"Gates Pass Advisors provides financial planning, portfolio management for individuals and small businesses, selecting other managers, education planning, estate planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Gates Pass Advisors use?","answer":"Gates Pass Advisors’ separately managed account assets are held at SEI Investments Company (Oaks, PA), with $190M and Charles Schwab & Co., Inc. (Westlake, TX), with $17.3M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 14 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Gates Pass Advisors have?","answer":"Gates Pass Advisors has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Gates Pass Advisors invest in?","answer":"At the end of its last fiscal year, Gates Pass Advisors’ separately managed accounts held 50% exchange-traded equities, 33% registered funds (mutual funds, ETFs, BDCs), 7% state and local bonds, 6% investment grade corporate bonds, 2% U.S. government and agency bonds and 2% cash and equivalents.","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 Gates Pass Advisors?","answer":"Gates Pass Advisors’ direct owner is Kanaka Szabo-Cummings (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 14 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Gates Pass Advisors get paid?","answer":"Gates Pass Advisors is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees 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 Gates Pass Advisors?","answer":"Gates Pass Advisors’ main office is at 280 2nd Street, Suite 280, Los Altos, CA 94022. Its phone number is 650-797-0280. Its website is gatespassadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 14 July 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."}