Galvin, Gaustad & Stein, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$1,315,148,549
Clients
831
Advisors
8
across 3 offices
About
Galvin, Gaustad & Stein (GGS) is a registered investment adviser that provides financial planning, retirement plan consulting and portfolio management to individuals, trusts, pension and profit‑sharing plans and other business entities. The firm manages roughly $1.35 billion in client assets and offers both discretionary and non‑discretionary services as well as standalone or bundled financial planning engagements.
GGS uses a proprietary, fundamentally driven security‑selection process that combines quantitative screening, discounted cash‑flow valuation and deep qualitative company analysis, and it constructs model portfolios including a long‑term “dynamic growth” strategy that may include small‑ and mid‑cap stocks, ADRs, options, ETFs and mutual funds. The firm also discloses the use of AI tools and, where appropriate, selects independent managers as part of its research, due diligence and portfolio implementation processes.
Noteworthy operational features include GGS’s role as sponsor and manager of a wrap fee program and its participation in the Fidelity Wealth Advisor Solutions referral program, arrangements the firm discloses involve solicitation/referral fees and other economic benefits from custodians. The firm also maintains legacy client groups acquired from other advisers under differing bundled fee arrangements and receives custodial software, support and other non‑monetary benefits that it discloses as potential conflicts to clients.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
Fixed fees for financial planning services up to $10,000
$0 - $500,000: 1.25% (Discretionary Services) $500,001 - $2,500,000: 1.00% (Discretionary Services) $2,500,001 - $5,000,000: 0.80% (Discretionary Services) More than $5,000,000+: Negotiable (Discretionary Services) $0 - $500,000: 1.50% (Non-Discretionary Services) $500,001 - $2,500,000: 1.25% (Non-Discretionary Services) $2,500,001 - $5,000,000: 1.05% (Non-Discretionary Services) More than $5,000,000+: Negotiable (Non-Discretionary Services) $0 - $500,000: 1.60% (Acquired Client - TWG Discretionary Services) $500,001 - $1,500,000: 1.50% (Acquired Client - TWG Discretionary Services) $1,500,001 - $2,500,000: 1.25% (Acquired Client - TWG Discretionary Services) $2,500,001 - $5,000,000: 1.00% (Acquired Client - TWG Discretionary Services) More than $5,000,000+: Negotiable (Acquired Client - TWG Discretionary Services)
Generally $300 per hour for financial planning services
Account minimum: $500,000 Fee-only: Financial planning fees negotiable hourly fees generally $300/hour, and fixed fees up to $10,000
Main office
See office7377 E. Doubletree Ranch Road, Suite 250
Scottsdale AZ 85258
Advisors at this office
6
Offices (3)
Most active in
Arizona · California · Colorado · Florida · Hawaii · Idaho · Illinois · Maryland · Massachusetts · Michigan · Nevada · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Washington
Also doing business as
Galvin, Gaustad & Stein, L.L.C. · Galvin, Gaustad & Stein, LLC · Ggs Advisors
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
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.
Advisors at this firm
Mark S
CFP®, Series 63
Scottsdale, AZ
Galvin, Gaustad & Stein, LLC
Mark Stein is a CFP® with 43 years of industry experience. He is a principal at Galvin, Gaustad & Stein, LLC, where he has worked since 2010. His prior roles include five years at Foothill Securities, Inc., and he maintained an insurance sales business for over four decades. Galvin, Gaustad & Stein is a registered investment adviser serving individuals, trusts, pension and profit-sharing plans, and business entities. The firm employs a proprietary, fundamentally driven security-selection process and offers both discretionary and non-discretionary financial planning and portfolio management services.
Jordan G
Series 63, Series 65
Scottsdale, AZ
Galvin, Gaustad & Stein, LLC
Jordan Galvin is a financial advisor with Galvin, Gaustad & Stein, LLC in Scottsdale, AZ, holding Series 63 and Series 65 licenses and 15 years of industry experience. He has been with Galvin, Gaustad & Stein since 2015, including time overlapping with Foothill Securities Inc in 2015-2016. Galvin, Gaustad & Stein is a registered investment adviser serving individuals, trusts, pension and profit-sharing plans, and other business entities. The firm manages approximately $1.35 billion in assets and employs a fundamentally driven security-selection process combined with quantitative screening and qualitative company analysis to construct diversified portfolios and offer both discretionary and non-discretionary financial planning services.
Hunter D
Series 63, Series 65
Scottsdale, AZ
Galvin, Gaustad & Stein, LLC
Hunter Davis is a financial advisor at Galvin, Gaustad & Stein, LLC with six years of industry experience. He holds Series 63 and Series 65 licenses and has worked previously at Renaissance Financial, Securian Financial Services Inc, and Minnesota Life Insurance Company. Outside of his advisory role, Davis serves on the Outreach and Recruitment committee of Scottsdale Leadership, a nonprofit leadership development program. Galvin, Gaustad & Stein is a registered investment adviser managing approximately $1.35 billion in client assets, providing financial planning, retirement plan consulting, and portfolio management to individuals, trusts, pension and profit-sharing plans, and other business entities. The firm uses a proprietary security-selection process that combines quantitative screening, discounted cash-flow valuation, and qualitative company analysis.
Stephen G
Series 63, Series 65
Scottsdale, AZ
Galvin, Gaustad & Stein, LLC
Stephen Galvin is a financial advisor at Galvin, Gaustad & Stein, LLC, holding Series 63 and Series 65 licenses with 41 years of industry experience. He has worked at Galvin, Gaustad & Stein since 2010 and previously spent five years with Foothill Securities, Inc. Galvin, Gaustad & Stein is a registered investment adviser that provides financial planning, retirement plan consulting, and portfolio management to individuals, trusts, and various business entities. The firm manages approximately $1.35 billion in client assets and employs a proprietary security-selection process combining quantitative screening, discounted cash-flow valuation, and qualitative company analysis.
David M
Series 63, Series 65
Scottsdale, AZ
Galvin, Gaustad & Stein, LLC
David Millet is a financial advisor at Galvin, Gaustad & Stein, LLC with 28 years of industry experience. He previously worked at Mercap Securities, LLC and The Westerman Group. Galvin, Gaustad & Stein is a registered investment adviser serving individuals, trusts, pension and profit-sharing plans, and other business entities. The firm employs a proprietary, fundamentally driven security-selection process and manages approximately $1.35 billion in client assets, offering both discretionary and non-discretionary services alongside financial planning engagements.
Stephen G
Series 63, Series 65
Pittsburgh, PA
Galvin, Gaustad & Stein, LLC
Stephen Gaustad is a financial advisor at Galvin, Gaustad & Stein, LLC with 43 years of industry experience. He holds Series 63 and Series 65 credentials. His prior work includes roles at Foothill Securities, Inc., Black, Gould & Associates, and Brokerage Professional, Inc. Galvin, Gaustad & Stein is a registered investment adviser serving individuals, trusts, pension and profit-sharing plans, and business entities. The firm employs a proprietary, fundamentally driven security-selection process and offers both discretionary and non-discretionary financial planning and portfolio management services.
Jessica P
CFP®, Series 63, Series 65
Denver, CO
Galvin, Gaustad & Stein, LLC
Jessica Pariser is a CFP® with 11 years of industry experience, currently serving as a financial advisor at Galvin, Gaustad & Stein, LLC since 2018. Prior to joining GGS, she worked at The Vanguard Group from 2015 to 2018. Galvin, Gaustad & Stein is a registered investment adviser providing financial planning, retirement plan consulting, and portfolio management to individuals, trusts, pension and profit-sharing plans, and other business entities. The firm employs a proprietary, fundamentally driven security-selection process and offers both discretionary and non-discretionary services.
Eric S
CFP®, Series 63
Scottsdale, AZ
Galvin, Gaustad & Stein, LLC
Eric Stein is a CFP® with 10 years of industry experience, currently serving at Galvin, Gaustad & Stein, LLC, where he has worked since 2016. He holds a Series 63 license and is based in Scottsdale, AZ. Galvin, Gaustad & Stein is a registered investment adviser managing approximately $1.35 billion in client assets, providing financial planning, retirement consulting, and portfolio management to individuals, trusts, and various business entities. The firm employs a proprietary security-selection process combining quantitative screening, discounted cash-flow valuation, and qualitative analysis, and offers both discretionary and non-discretionary services.
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)