Gaia Capital Management, Inc. (Caldas Novas)


Gaia Capital Management, Inc. is an adviser based in Caldas Novas. It manages $26.66 million of regulatory assets for 230 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of California and Oregon.

Gaia Capital Management provides portfolio management for individuals and small businesses and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Gaia Capital Management: assets under management

The assets under management (AUM) of Gaia Capital Management, Inc. is $26.66 million. The firm's AUM has grown by 64% since the beginning of its operation, and $3.17 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $26.64 million in discretionary accounts and $21.59 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $117.34 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $7.2 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 73% of the total AUM. The second-largest asset type is other assets, which make up 23% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Gaia Capital Management, Inc. for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Gaia Capital Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Gaia Capital Management is high net worth individuals with 10 clients and $17.57 million of assets under management. Among the 6 most similar advisory firms, Gaia Capital Management has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $26.64 million for 152 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Gaia Capital Management doesn't advise any private funds.

Careers at Gaia Capital Management, Inc.

The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
James Charles Pursley President, chief financial officer 1 Jan 1991 75% - 100% 1383787
Vivian Joyce Lopez Chief compliance officer 1 Mar 2014 Other 2535336

Based in Caldas Novas

The principal office where Gaia Capital Management, Inc. performs its advisory services is located at Rua 7, Quadra 17, Lote 1, Caldas Novas, 75690 000 The mailing address of the firm is Po Box 823, Forest Grove, OR 97116 0823. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 011-55-64-3453-7277. The normal business hours are 8 a.m. to 5 p.m. est on Monday - Friday. You can find more information about the New York firm at gaiacapital.com/.