GALVIN, GAUSTAD & STEIN, LLC
SEC RegisteredTruly personalized asset management.
About the firm
Formed by its members as a Registered Investment Advisory Firm, Galvin, Gaustad & Stein, LLC provides personalized asset management, wealth management, and financial planning services for its clients. The firm operates under a 'buy and manage' philosophy, building diversified portfolios of high-quality, well-researched investments and acting as independent fiduciaries for clients.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Portfolio management, retirement planning, personalized asset management, wealth management, and financial planning services. The firm constructs custom portfolios made up of selected stocks, bonds, and ETFs aggregated to each client's specific risk level.
Who they serve
Individuals, Families, Organizations and Institutions.
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 391 | $190M |
| High Net Worth Individuals | 440 | $1.1B |
| Investment Companies | 0 | — |
| Pooled Investment Vehicles | 0 | $0 |
| Pension/Profit Sharing Plans | 0 | $0 |
| Charitable Organizations | 9 | $4.0M |
| State/Municipal Entities | 0 | — |
| Insurance Companies | 0 | — |
| Sovereign Wealth Funds | 0 | — |
| Corporations | 0 | $0 |
1 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
8 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| Discretionary $0-$500K | 1.25% |
| Discretionary $500K-$2.5M | 1.00% |
| Discretionary $2.5M-$5M | 0.80% |
| Discretionary >$5M | 0.00% |
| Non-Discretionary $0-$500K | 1.50% |
| Non-Discretionary $500K-$2.5M | 1.25% |
| Non-Discretionary $2.5M-$5M | 1.05% |
| Non-Discretionary >$5M | 0.00% |
| Acquired (TWG) $0-$500K | 1.60% |
| Acquired (TWG) $500K-$1.5M | 1.50% |
| Acquired (TWG) $1.5M-$2.5M | 1.25% |
| Acquired (TWG) $2.5M-$5M | 1.00% |
| Acquired (TWG) >$5M | 0.00% |
Data as of March 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. GALVIN, GAUSTAD & STEIN, LLC has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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