Gates Wealth Group
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$274,127
Total clients
4
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
4
Average account size
$68,532
About
The firm provides investment management, ongoing and project-based financial planning, educational seminars and speaking engagements, tax-preparation referrals, and business valuation and consulting to individuals, high-net-worth clients, and corporations or other businesses. Clients include both retail investors and institutional or business accounts, and the firm acts as a fiduciary when advising retirement plan accounts under applicable law.
Its investment approach emphasizes strategic asset allocation with a mix of primarily passive management and tactical active decisions when appropriate, and the firm will consider alternative investments on a case-by-case basis. Implementation may include discretionary management, regular review of held-away accounts, and the use of outside managers and a model-portfolio sub-advisor to construct and manage client portfolios.
Distinctive aspects include the firm’s offering of public and organizational educational seminars and its acceptance of institutional/business clients in addition to individuals, which are less common among peers in this category. The advisory practice is fee-only, the principal holds the CFP® designation, and the firm integrates business valuation and consulting services and tax-preparation referrals into its client service model.
Client services
Financial planning
Portfolio management
Selection of other advisers
Educational seminars or workshops
Fee options
Ongoing Financial Planning fees range from $250 to $21,000 monthly; initial fee up to $125,000 for plan construction; Project-Based Financial Planning fixed fees range from $3,000 to $100,000; Educational Seminars fees range from $2,000 to $30,000 per seminar
$0 - $250,000: 1.50% $250,001 - $500,000: 1.20% $500,001 - $2,000,000: 1.00% $2,000,001 - $5,000,000: 0.90% $5,000,001 - $10,000,000: 0.80% $10,000,001 - $20,000,000: 0.70% $20,000,001+: 0.60%
Hourly rate of $350 for Project-Based Financial Planning
Minimum fee: Minimum annual fee for Ongoing Financial Planning is $3,000 Fee-only: Firm is fee-only, compensated only by client fees
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.
Main office location
Gates Wealth Group
Green Island NY, United States
Number of offices
1
Forms ADV
Quick links
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