Gabe Nelson Financial, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$91,000,000
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
202
20% high-net worth
Advisors
1
of 3 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
202
Very HighAverage account size
$450,495
About
The firm serves individual investors (including high-net-worth clients) as well as pension and profit-sharing plans and business entities, offering ongoing portfolio management and financial planning on an hourly or engagement basis. It advises on a range of securities including mutual funds, equities, bonds, ETFs, REITs and government securities, and prepares an Investment Policy Statement for each client to document goals, tax considerations and risk tolerance.
The firm seeks discretionary authority to implement client Investment Policy Statements and employs both fundamental and technical analysis in its asset selection and allocation. Its strategies include long- and short-term trading and options writing (including covered and uncovered positions and spreads), and accounts are reviewed regularly by the firm’s principal with clients receiving at least quarterly reporting from their custodians.
Notable distinctions include managing roughly $91 million of client assets internally without selecting third‑party managers, offering no account minimum, and permitting client‑directed brokerage while recommending specific custodians; the firm also does not take custody of client assets or accept proxy voting. Its use of more active trading techniques and uncovered options is relatively uncommon for a firm of this size and may entail higher transaction costs and greater risk than the buy‑and‑hold approaches used by many peers.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Options & derivatives strategies
Fee options
$0+: 0.50% +: up to 1.75%
$300 per hour, negotiable
Main office location
Gabe Nelson Financial, Inc.
Sioux Falls SD, United States
Number of offices
1
Most active in
Gabe Nelson Financial, Inc. has reported serving >5 clients in these states in the last 12 months.
Iowa · Minnesota · Nebraska · South Dakota · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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
Quick links
Advisors at this firm
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