Gutt Financial Management, Llc
- Regulatory AUM
- $162M
- Discretionary
- $124M
- Clients
- 49
- Avg AUM / client
- $3.3M
- Accounts
- 189
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 22, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 49 | $162M | 100.0% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Michael Steven Gutt | President; Chief Compliance Officer | Aug 1989 (37y) | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/22/2026 | 991 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: GFM DID NOT FILE A NEW FORM CRS WITH THE SEC OR PROVIDE TO CLIENTS ON A TIMELY BASIS. Status: Final Sanction Detail: FINE PAID 10/13/2021 Summary: ON FEBRUARY 15, 2022, GFM AGREED TO A SETTLEMENT WITH THE SEC. FORM CRS HAD BEEN FILED PREVIOUSLY WITH COPIES PROVIDED TO CLIENTS. THE FIND HAD BEEN PAID 10/31/2021.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 22, 2026.
View current Form ADV (SEC/IAPD) ↗