Gatens Financial, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
Fee options
Flat fee based on estimated hours for financial planning and consulting
1% annually
$350 per hour for financial planning and consulting
Account minimum: $1,000,000
Main office
See officeDallas TX
Advisors at this office
1
Most active in
California · Illinois · Texas
Also doing business as
Gatens Financial · Gatens Financial, LLC
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.
Forms ADV
Quick links
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.
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.
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 referrals are provided by FinanceHQ LLC ("FHQ"), a wholly-owned subsidiary of Warmer and an SEC-registered investment adviser. We may be compensated by participating advisors. You pay no fee to use our matching service, and advisor fees are not increased because of a referral. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to the Warmer Terms of Service and FHQ Advisory Agreement, and acknowledge Warmer's Privacy Policy. Please review FHQ's ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")