JW Golden Gate Investment, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
JW Golden Gate Investment, LLC is a small independent registered investment adviser that provides ongoing portfolio management to individuals and high‑net‑worth individuals. The firm operates as a sole‑advisor practice with roughly $9.4 million in assets under management and seven client accounts, and it typically advises using mutual funds, equities, and ETFs while documenting each client’s goals and constraints in an Investment Policy Statement.
The firm’s investment process combines charting, cyclical, fundamental, and technical analysis and generally implements a long‑term trading approach, managing client accounts on a discretionary basis in line with documented risk tolerances. Accounts are reviewed at least quarterly and clients receive custodial account statements and periodic reporting, while advisory fees are withdrawn directly from client accounts with advance billing.
Noteworthy features include that the firm’s principal also serves as a registered representative of a broker‑dealer and as a licensed insurance agent, and the firm requires clients to custody assets at that broker‑dealer (LPL Financial), which permits the sale of commissionable insurance and brokerage products and is disclosed as a potential conflict of interest. The brochure also discloses the possibility of receiving research or other services from the custodian (soft‑dollar benefits) and that the adviser does not aggregate block trades across multiple client accounts, practices that differ from many peers.
Client services
Expertise
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 - above: Negotiable < 1.00%
Account minimum: $50,000 (may be waived at firm's discretion)
Main office
Fremont CA
Advisors at this office
1
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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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