GAO Investments
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Clients per advisor
0
Average account size
—
About
GAO Investments is a registered investment adviser that provides portfolio management services to institutions and high‑net‑worth clients, offering discretionary and non‑discretionary management across exchange‑listed stocks, mutual funds, ETFs, options and bonds. The firm reported no assets under management and no client accounts as of December 31, 2024, and operates as a single‑officer advisory entity.
The firm combines fundamental and technical analysis and typically seeks discretionary authority, monitoring accounts frequently and employing active strategies that can include options, margin and, in rare cases, private placements. Unlike most peers, GAO Investments does not rely on percentage‑of‑AUM fees and instead uses performance‑based compensation billed by invoice rather than deducted directly from client accounts.
Distinctive features include the firm’s incentive‑only compensation model and the unusual combination of offering portfolio management while reporting zero managed assets, which is atypical for investment managers. The firm also disclosed a 2024 administrative consent order with the Nevada Securities Division for compliance deficiencies (including ADV filings and policy/training gaps), and its sole principal maintains outside financial and corporate roles while there is no internal supervisory officer.
Client services
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Fee options
Typically 20% of net profits above the account's previous high-water mark on an annual basis
Account minimum: $50,000 (may be negotiable under certain circumstances)
Main office location
GAO Investments
325 E Warm Springs Rd, Ste 102
Las Vegas NV 89119, United States
Number of offices
1
Most active in
GAO Investments has reported serving >5 clients in these states in the last 12 months.
Nevada
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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