SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Galvin, Gaustad & Stein, LLC
Scottsdale, AZ
CRD 153410
Firm filing updated September 3, 2026 ·
- $1.4BAssets
- 856Clients
- 17Advisory staff
- 1,948Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals440
- Individuals391
- Corporations or other businesses16
- Pension and profit sharing plans9
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 391 | $189.9 million |
| High net worth individuals | 440 | $1.1 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 9 | $4.0 million |
| Corporations or other businesses not listed above | 16 | $35.4 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 5 services
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$1.4 billion
- Accounts1,948
- Discretionary$1.3 billion · 1,928 accounts
- Non-discretionary$16.8 million · 20 accounts
People
- Employees17
- Advisory staff17
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients0
Advisors
4 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 153410, SEC file 801-71464.
- Registered with the SEC as an investment advisor (status date on record: June 7, 2010).
Is Galvin, Gaustad & Stein, LLC a fiduciary?
Short answer: Galvin, Gaustad & Stein, LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.