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GAUGE CAPITAL

SOUTHLAKE, TX · CRD 169890 · IAPD ↗ · 682-334-5800

$3.39BRegulatory AUM
61Advisory reps
67Employees
0Clients
n/aPlanning clients
10Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

55
October 2024 — GAUGE CAPITAL now reports custody of client assets ($3.34B).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
October 2024 — GAUGE CAPITAL grew from 35 to 61 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
54
April 2024 — GAUGE CAPITAL reported RAUM up 49% ($2.24B -> $3.34B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
64
April 2024 — GAUGE CAPITAL grew from 26 to 35 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.