{
  "crd_number": 144741,
  "slug": "gateway-financial-and-estate-planning-inc-144741",
  "primary_business_name": "GATEWAY FINANCIAL & ESTATE PLANNING, INC.",
  "legal_name": "GATEWAY FINANCIAL & ESTATE PLANNING, INC.",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2007-11-02",
  "years_registered": 18,
  "period": "2026-10-01",
  "filing_date": "2026-08-19",
  "carried_forward": false,
  "raum_total": 8980432.0,
  "raum_discretionary": 8980432.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 6,
  "advisory_employees": 6,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "individuals": {
      "raum": 6962257.0,
      "count": 19
    },
    "high_net_worth_individuals": {
      "raum": 2018175.0,
      "count": 1,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "hourly",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "AZ",
    "CA",
    "FL",
    "ID",
    "IN",
    "MD",
    "NV",
    "NY",
    "OR",
    "TX",
    "UT",
    "VA",
    "WA",
    "WY"
  ],
  "websites": [
    "https://gatewayfinancialplanning.com",
    "https://linkedin.com/company/gateway-financial"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/144741",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/gateway-financial-and-estate-planning-inc-144741",
  "display_name": "Gateway Financial & Estate Planning, Inc.",
  "summary": "Gateway Financial & Estate Planning, Inc. is a state-registered investment advisory firm, registered since 2007, reporting under $25 million in regulatory assets under management in its Form ADV filing dated August 19, 2026.",
  "citation": "AdvisorCensus. Gateway Financial & Estate Planning, Inc. (CRD 144741): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Gateway Financial & Estate Planning, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Gateway Financial & Estate Planning, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; other. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Is Gateway Financial & Estate Planning, Inc. registered with the SEC or a state?",
      "a": "Gateway Financial & Estate Planning, Inc. is a state-registered investment advisory firm, registered since 2007. Status as filed: APPROVED. CRD 144741."
    },
    {
      "q": "How much does Gateway Financial & Estate Planning, Inc. manage?",
      "a": "Gateway Financial & Estate Planning, Inc. reports $8,980,432 in regulatory assets under management in its Form ADV filing dated August 19, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Gateway Financial & Estate Planning, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (19); high net worth individuals (1)."
    },
    {
      "q": "Does Gateway Financial & Estate Planning, Inc. report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/144741"
    },
    {
      "q": "What changed in Gateway Financial & Estate Planning, Inc.'s recent Form ADV filings?",
      "a": "In the October 2026 filing data: Registered or notice-filed in TX."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Registered or notice-filed in TX."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/gateway-financial-and-estate-planning-inc-144741.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 19,
      "fewer_than_5": false,
      "raum": 6962257.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 1,
      "fewer_than_5": true,
      "raum": 2018175.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/144741",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}