Gateway Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$40,779,491
Clients
65
29% high-net-worth
Advisors
1
of 2 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
65
Very HighAverage account size
$627,377
About
Gateway Financial works with individual clients — including high-net-worth households — as well as pension and profit-sharing plans and other businesses. The firm offers ongoing portfolio management, project-based and ongoing financial planning, and employee benefit plan services, along with educational programming for clients and the public.
The firm primarily employs passive investment management and asset-allocation models grounded in modern portfolio theory, using index mutual funds and ETFs, while also applying fundamental, technical, cyclical, and charting analyses and engaging outside managers when appropriate. It provides monitoring and advice for held-away accounts and assists clients in selecting and coordinating with third‑party managers, potentially including held-away assets in its overall advisory assessments.
Notable for a single-advisor practice with roughly $40 million in assets under management, Gateway combines small-firm advisory services with institutional platform relationships (SEI Private Trust and Altruist) that supply reporting, rebalancing, and other support, and from which the firm receives certain soft-dollar or platform benefits. The firm also publishes paid online educational content (YouTube videos, courses, downloadable materials), provides employee plan consulting, does not accept custody except to debit fees, and does not vote client proxies — operational features that may set it apart from many peers.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Cash flow / budgeting
College savings (529s, UTMA, etc.)
Business ownership considerations
General estate planning guidance
Fee options
Project-based financial planning fixed fee ranging $500-$30,000
$0 - $500,000: 1.10% $500,001 - $1,000,000: 0.90% $1,000,001 - $2,500,000: 0.75% $2,500,001+: 0.50% $0 - $2,500,000: $2,500 Minimum for Employee Benefit Plan Services $2,500,001 - $3,333,333: 1.00% for Employee Benefit Plan Services $3,333,334 - $5,000,000: 0.75% for Employee Benefit Plan Services $5,000,001 - $10,000,000: 0.65% for Employee Benefit Plan Services $10,000,001+: 0.50% for Employee Benefit Plan Services
$500 per hour for financial planning
Ongoing financial planning fees typically $2,000-$5,000 upfront and $4,000-$30,000 per year, paid quarterly or monthly
Minimum fee: Employee Benefit Plan Services have a $2,500 minimum Fee-only: Hourly financial planning at $500/hour; project-based planning fixed fees range $500-$30,000; ongoing financial planning fees $2,000-$5,000 upfront plus $4,000-$30,000 annually
Main office location
Gateway Financial
9821 Olde Eight Road, Ste M
Northfield OH 44067, United States
Number of offices
1
Most active in
Gateway Financial has reported serving >5 clients in these states in the last 12 months.
Ohio
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.
-
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.
-
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.
-
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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