Gbm Wealth Management, Inc.
Registered investment adviser · Houston, TX · CRD #145049
Form ADV data as of 2026-09-01Regulatory assets
$346.4 million
Total accounts
546
Employees
10
Disclosure events
2
Firm details
- Website: https://www.gbminvestor.com/
- Telephone: (281) 745-9100
- SEC file number: 801-129803
- Most recent Form ADV filing: 2026-06-10
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 1 disclosure question answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- A self-regulatory organization found a violation of its rules
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $306.8 million |
| Non-discretionary regulatory assets under management | $39.6 million |
| Total regulatory assets under management | $346.4 million |
| Discretionary accounts | 539 |
| Non-discretionary accounts | 7 |
| Total accounts | 546 |
| Regulatory assets under management attributable to non-U.S. persons | $209.0 million |
People
| Total employees (excluding clerical) | 10 |
| Employees performing investment advisory functions (including research) | 8 |
| Employees who are registered representatives of a broker-dealer | 10 |
| Employees registered as investment adviser representatives with a state | 8 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 1 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 0 |
How the firm is compensated
Advisory services offered
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys securities from or sells securities to advisory clients (principal transactions)
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Executes agency cross transactions involving advisory client securities
- Recommends securities for which it serves as underwriter or general partner
- Brokers or dealers selected under 8.C.(3) are related persons
- Recommends brokers or dealers to clients
- Brokers or dealers recommended under 8.E. are related persons
- Compensates a non-employee for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 451 | $98.5 million |
| High net worth individuals | 60 | $148.7 million |
| Insurance companies | Not reported | $7.0 million |
| Corporations or other businesses not listed above | 32 | $68.7 million |
| Other | 3 | $23.5 million |