Gates Wealth Group
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$323,032
Clients
4
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
4
LowAverage account size
$80,758
About
The firm provides investment management, ongoing and project-based financial planning, tax preparation referrals, and educational seminars, and it also offers business valuation and business consulting services. Its clients include individuals and small businesses, and the firm indicates it also manages portfolios for institutional clients—an offering that is uncommon among independent solo advisers.
Operating as a fee-only adviser, the firm provides discretionary portfolio management, held-away account reviews, and ongoing monitoring and rebalancing tied to clients’ goals, risk tolerance, and tax considerations. Its investment approach emphasizes passive strategies supplemented by tactical active adjustments, the selective use of outside managers, and occasional recommendations of alternative investments when suitable; accounts are reviewed on a quarterly basis by the firm’s CFP®-credentialed principal.
Compared with peers, the firm’s combination of services is notable given its scale: it reports approximately $323,032 in assets under management and a roster of four clients, which is a much smaller client base than typical independents. The inclusion of institutional portfolio management, regularly offered educational seminars, and added services such as tax preparation referrals and business valuation/consulting further distinguish its service mix from most independent solo advisers.
Client services
Financial planning
Portfolio management
Selection of other advisers
Educational seminars or workshops
Expertise
Business ownership considerations
Cash flow / budgeting
College savings (529s, UTMA, etc.)
Occupation focus
Founder/Business Owner
Fee options
Fixed fees for project-based financial planning 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 for project-based financial planning is $350/hour
Ongoing financial planning fees paid monthly in arrears, ranging from $250 to $21,000
Minimum fee: Minimum annual fee for ongoing financial planning is $3,000 Fee-only: Fee-only firm compensated solely by clients; no commissions or sales-related compensation
Main office location
Gates Wealth Group
Green Island NY, United States
Number of offices
1
Most active in
Gates Wealth Group has reported serving >5 clients in these states in the last 12 months.
New York · 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:
-
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.
-
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
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