Great Gable Advisors, Llc
- Regulatory AUM
- $221M
- Discretionary
- $221M
- Clients
- 301
- Avg AUM / client
- $733K
- Accounts
- 687
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Mar 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 236 | $33.8M | 15.3% |
| High net worth individuals | 65 | $187M | 84.7% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Scpmg Keogh Plan Southern California Permanente Medical Group | 2024 | |
| Warehouse Employees Union Local No. 730 Pension Trust Fund Board Of Trustees Of Warehouse Employees Local No. 730 Pension Trust F | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jacques Alain Soenens | Cco, Ceo And Managing Member | Oct 2004 (22y) | ≈ 18.75% – 50% via Great Gables Investments, Llc | |
| Amir Nmn Navab | Wealth Manager | Apr 2018 (8y) | 50% – 75% | |
| Damion Lenell Smith | Registered representative | Jan 2025 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Great Gables Investments, Llc | Managing Member | Apr 2018 | A | 25% – 50% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Jacques Alain Soenens: 75% – 100% of Great Gables Investments, Llc × 25% – 50% direct ≈ 18.75% – 50% of the firm
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.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Scpmg Keogh Plan | Southern California Permanente Medical Group | 11,088 | $7.9B | 01/01/2024 |
| Warehouse Employees Union Local No. 730 Pension Trust Fund | Board Of Trustees Of Warehouse Employees Local No. 730 Pension Trust F | 313 | $151M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/16/2026 | 1.27 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: CLAIMANTS ALLEGE UNSUITABILITY AND OMISSIONS IN CONNECTION WITH THE PURCHASE OF STRUCTURED PRODUCTS AT UBS AND IN A 401(K) ACCOUNT Status: Final Sanction Detail: $257,810 Summary: THE PRODUCT, LEHMAN BROTHER'S STRUCTURED NOTES, REPRESENTED THE FULL FAITH AND CREDIT OF THE FINANCIAL FIRM LEHMAN BROTHERS. THE UBS MARKETING MATERIAL PROVIDED TO MR. NAVAB WAS DEEMED TO BE INCORRECT AND UBS'S RESEARCH DEPARTMENT RECOMMENDED THE PURCHASE OF THE INSTRUMENTS TO UBS CLIENTS. BOTH THE RECOMMENDATION AND CREDIT CHECK WERE PERFORMED BY UBS AND MR. NAVAB REPRESENTED THIS RESEARCH TO UBS CLIENTS. THE CLAIMS WERE OPENED WHEN LEHMAN BROTHERS DECLARED BANKRUPTCY AND MR. NAVAB WAS NOT DEEMED RESPONSIBLE FOR THE OUTCOME. UBS SETTLED DIRECTLY WITH THE CLAIMANTS.
Allegations: FAILED TO COMPLY WITH AN ARBITRATION AWARD OR SETTLEMENT AGREEMENT OR TO SATISFACTORILY RESPOND TO A FINRA REQUEST TO PROVIDE INFORMATION CONCERNING THE STATUS OF COMPLIANCE. Status: Final Sanction Detail: SUSPENSION LIFTED ON MAY 28, 2020. Summary: SUSPENSION LIFTED ON MAY 28, 2020.
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
Custody
Reported custodians
- Charles Schwab & Co. $119M (54% of AUM) Mar 2026
- Fidelity Brokerage Services $92.5M (42% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 16, 2026.
View current Form ADV (SEC/IAPD) ↗