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GAMMA ASSET MANAGEMENT LLC

SAN JUAN, PR · CRD 300050 · IAPD ↗ · gammaam.com · 787-957-3260

$424.8MRegulatory AUM
8Advisory reps
13Employees
0Clients
n/aPlanning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
October 2026 — GAMMA ASSET MANAGEMENT LLC notice-filed in CA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
March 2026 — GAMMA ASSET MANAGEMENT LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
69
March 2026 — GAMMA ASSET MANAGEMENT LLC reported RAUM up 58% ($269.2M -> $424.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
45
March 2025 — GAMMA ASSET MANAGEMENT LLC notice-filed in PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
January 2025 — GAMMA ASSET MANAGEMENT LLC now reports custody of client assets ($59.8M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
69
January 2025 — GAMMA ASSET MANAGEMENT LLC grew from 3 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
70
January 2025 — GAMMA ASSET MANAGEMENT LLC reported RAUM up 143% ($100.6M -> $244.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
44
November 2024 — GAMMA ASSET MANAGEMENT LLC notice-filed in FL, NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
April 2024 — GAMMA ASSET MANAGEMENT LLC (SAN JUAN, PR) is newly SEC-registered with $100.6M RAUM and 3 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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