Jemma Investment Advisors Llc
- Regulatory AUM
- $140M
- Discretionary
- $108M
- Clients
- 324
- Avg AUM / client
- $432K
- Accounts
- 641
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Jul 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 238 | $41.0M | 29.3% |
| High net worth individuals | 74 | $69.4M | 49.6% |
| Pension and profit sharing plans | 8 | $24.0M | 17.1% |
| Corporations and other businesses | 4 | $5.5M | 3.9% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stein, Bonnie, Bressler | Member | Dec 2020 (6y) | 5% – 10% | |
| Stephen Edward Baird | Chief Compliance Officer | CFP | Jan 2022 (5y) | Less than 5% |
| Brian Carl Nelson | Managing Member/President | Mar 2022 (4y) | 75% or more | |
| William Hugo Cevallos | Registered representative | CFA | Jan 2019 (8y) | |
| Katharine Wilson Dudley | Registered representative | Jan 2022 (5y) | ||
| Gay Graham Wagner | Registered representative | Jun 2022 (4y) |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/01/2026 | 1.14 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE COMMONWEALTH OF PENNSYLVANIA, ACTING THROUGH THE DEPARTMENT OF BANKING AND SECURITIES, BUREAU OF SECURITIES COMPLIANCE AND EXAMINATIONS, CONDUCTED AN INVESTIGATION OF THE BUSINESS PRACTICES OFJEMMA INVESTMENT ADVISORS, LLC AND ITS OFFICERS AND EMPLOYEES. BASED ON THE RESULTS OF ITS INVESTIGATION, THE BUREAU CONCLUDED THAT JEMMA OPERATED IN VIOLATION OF THE PENNSYLVANIA SECURITIES ACT OF 1972. Status: Final Sanction Detail: JEMMA PAID THE DEPARTMENT AN ADMINISTRATIVE ASSESMENT IN THE AMOUNT OF $5,000 AS PREVIOUSLY MENTIONED. Summary: JEMMA, IN LIEU OF LITIGATION, AND WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, AGREED TO A CONSENT AGREEMENT AND ORDER WITH THE STATE OF PENNSYLVANIA REGARDING A TRADE THAT WAS EXECUTED WITHOUT PROPER REGISTRATION. SUBSEQUENTLY, JEMMA BECAME REGISTERED IN THE STATE OF PENNSYLVANIA AND IS NOW REGISTERED WITH THE SEC. DUE TO JEMMA'S SEC REGISTRATION, STATE REGISTRATION IS NO LONGER REQUIRED.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 01, 2026.
View current Form ADV (SEC/IAPD) ↗