Galvin, Gaustad & Stein, Llc
- Regulatory AUM
- $1.4B
- Discretionary
- $1.3B
- Clients
- 856
- Avg AUM / client
- $1.6M
- Accounts
- 1,948
- Employees
- 17
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 391 | $190M | 14.0% |
| High net worth individuals | 440 | $1.1B | 83.1% |
| Pension and profit sharing plans | 9 | $4.0M | 0.29% |
| Corporations and other businesses | 16 | $35.4M | 2.61% |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stephen Richard Galvin | Member And Manager | Sep 2010 (16y) | ≈ 18.75% – 50% via Stephen R Galvin Asset Management, Llc | |
| Mark Paul Stein | Member And Manager | CFP | Oct 2010 (16y) | ≈ 18.75% – 50% via Mp Stein, Llc |
| Stephen Lee Gaustad | Member And Manager | Oct 2010 (16y) | ≈ 18.75% – 50% via Slg82, Llc | |
| Jamieson, Kim, Quyen | Chief Compliance Officer/Chief Operations Officer/Chief Financial Officer | Nov 2015 (11y) | Less than 5% | |
| Jordan M Galvin | Registered representative | Jun 2017 (9y) | ||
| Eric Bradley Stein | Registered representative | CFP | Nov 2017 (9y) | |
| Jessica Galvin Pariser | Registered representative | CFP | Aug 2018 (8y) | |
| Hunter James Davis | Registered representative | Jun 2023 (3y) | ||
| David Gene Millet | Registered representative | Dec 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Stephen R Galvin Asset Management, Llc | Member And Manager | Jan 2020 | A | 25% – 50% |
| Mp Stein, Llc | Member And Manager | Jan 2019 | A | 25% – 50% |
| Slg82, Llc | Member And Manager | Jan 2021 | A | 25% – 50% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Stephen Richard Galvin: 75% – 100% of Stephen R Galvin Asset Management, Llc × 25% – 50% direct ≈ 18.75% – 50% of the firm
- Mark Paul Stein: 75% – 100% of Mp Stein, Llc × 25% – 50% direct ≈ 18.75% – 50% of the firm
- Stephen Lee Gaustad: 75% – 100% of Slg82, Llc × 25% – 50% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/27/2026 | 990 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- National Financial Services (Fidelity) $1.4B (100% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 27, 2026.
View current Form ADV (SEC/IAPD) ↗