Gatens Financial, LLC

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Client assets under management

$40,809,466

Clients

58% high-net worth

Advisors

of 2 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Very Low

Average account size

$1,569,595

About

Gatens Financial, LLC provides discretionary and non-discretionary investment management, financial planning, and consulting services to individuals, high‑net‑worth clients, trusts, estates and corporate entities. The firm operates with a small advisory team and customizes portfolios to client goals and risk tolerance.

The firm’s investment process emphasizes asset allocation and uses a mix of fundamental, quantitative, qualitative, technical and cyclical analysis, with holdings that may include individual securities, mutual funds, ETFs, options and occasional margin. Gatens may recommend third‑party sub‑advisors and uses certain advisor‑only funds in client portfolios, and it conducts regular reviews and rebalancing to align accounts with stated objectives.

Notably, Gatens Financial discloses that it does not conduct or sponsor educational seminars or workshops, a practice that differs from the minority of similar firms that offer such events. The firm also highlights operational details such as the use of advisor‑restricted funds that may not be transferable in taxable accounts and is led by a CFP®‑credentialed principal, combining planning and consulting services alongside portfolio management.

Client services

Financial planning Portfolio management Selection of other advisers Educational seminars or workshops

Expertise

Options & derivatives strategies Cash flow / budgeting College savings (529s, UTMA, etc.)

Fee options

Fixed

Flat fee based on estimated hours for financial planning and consulting

Percentage

1% annually

Project-based

$350 per hour for financial planning and consulting

Other

Account minimum: $1,000,000

Main office location

Gatens Financial, LLC

Dallas TX, United States

Number of offices

Most active in

California · Illinois · Texas

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

LinkedIn Website 855-695-4877

Advisors at this firm

Sarah G

Series 65

Los Angeles, CA

Gatens Financial, LLC

Sarah Gatens is a financial advisor with Gatens Financial, LLC in Los Angeles, CA. She holds the Series 65 designation and has been with Gatens Financial since 2024. Prior to her advisory role, she worked in various positions across multiple industries, including a role at Oomph Sweets in 2024 and Wondery Outdoors in 2023–2024. Gatens Financial is a small SEC-registered advisory firm managing approximately $27.8 million for around 20 clients, including high-net-worth individuals, trusts, estates, and corporations. The firm offers discretionary and non-discretionary investment management, financial planning, and consulting services, employing a variety of analytical methods and investment strategies tailored to client goals and risk tolerance.

Options & derivatives strategies Cash flow / budgeting College savings (529s, UTMA, etc.)

Nancy G

CFP®, Series 65

Dallas, TX

Gatens Financial, LLC

Nancy Gatens is a CFP® with 15 years of industry experience, currently serving as an advisor at Gatens Financial, LLC since 2017. Prior to founding her firm, she worked at Lee Financial Corporation from 2010 to 2017. Gatens Financial is a small SEC-registered advisory firm managing approximately $27.8 million for around 20 clients, including high-net-worth individuals, trusts, estates, and corporations. The firm offers discretionary and non-discretionary investment management, financial planning, and consulting services, employing a variety of analytical methods and investment strategies tailored to client goals and risk tolerance.

Options & derivatives strategies Cash flow / budgeting College savings (529s, UTMA, etc.)

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