Partner & Chief Compliance Officer · Neumann Capital Management
Caroline A. Gorham
CRD 7355176 · Named on Form ADV at one SEC-registered adviser
At a glance
Neumann Capital Management, an SEC-registered wealth manager based in Foster City, CA with $630 million in regulatory assets, lists Caroline A. Gorham on its Form ADV as Partner & Chief Compliance Officer, a control person.
Firms and roles
- Neumann Capital ManagementPartner & Chief Compliance OfficerWealth manager · Foster City, CA · $630M in regulatory assets
AtlasMembers
Caroline’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Daniel G. PlattPartner, Neumann Capital Management
- Ekaterina D. AtanassovPartner, Neumann Capital Management
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Caroline’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.