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GMS GROUP

EAST HANOVER, NJ · CRD 8000 · IAPD ↗ · 973-535-5000

$19.8MRegulatory AUM
4Advisory reps
15Employees
0Clients
n/aPlanning clients
0Private funds
2States
14Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

40
March 2026 — GMS GROUP's Item 11 disclosure-reporting entries rose by 1 (13 -> 14).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
June 2025 — GMS GROUP now reports custody of client assets ($13.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
35
April 2025 — GMS GROUP reported RAUM down 92% ($177.3M -> $13.9M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
51
April 2024 — GMS GROUP reported RAUM up 34% ($132.1M -> $177.3M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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