J
JW Golden Gate Investment, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$7,800,000
Clients
7
100% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
7
Very LowAverage account size
$1,114,286
About
JW Golden Gate Investment, LLC is a small independent registered investment adviser that provides ongoing portfolio management to individual and high‑net‑worth clients, focusing primarily on mutual funds, equities, and ETFs and documenting objectives in an Investment Policy Statement for each client. The firm’s client base is concentrated toward high‑net‑worth individuals rather than typical lower‑net‑worth retail clients, which is less common among peers.
The firm combines long‑term trading with multiple methods of analysis — charting, cyclical, fundamental, and technical — and monitors accounts at least quarterly, generally seeking discretionary authority to implement investment decisions. Clients are required to use a specific custodian (LPL Financial) and receive written account reports from that custodian.
Noteworthy differences from many independent advisers include that the firm’s principal also serves as a registered representative of a broker‑dealer and as a licensed insurance agent and accepts commission‑based compensation for sales of securities and insurance products, a disclosed conflict of interest the firm documents in client files. The practice is a solo operation with a very small client roster, does not aggregate trades for multiple clients, and acknowledges the potential receipt of soft‑dollar research or services from its custodian.
Client services
Portfolio management
Expertise
Active portfolio management
Fee options
$50,000 - $3,500,000: 1.50% $3,500,001 - $7,000,000: 1.25% $7,000,001 - $10,000,000: 1.00% $10,000,001+: Negotiable < 1.00%
Compensation for sale of investment products through broker-dealer and insurance agent activities; commissions are not primary source of compensation and advisory fees are separate and not offset by commissions.
Account minimum: $50,000
Main office location
JW Golden Gate Investment, LLC
Fremont CA, United States
Number of offices
1
Most active in
JW Golden Gate Investment, LLC has reported serving >5 clients in these states in the last 12 months.
California
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
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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