# Gateway Financial & Estate Planning, Inc.

> 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.

- CRD: 144741
- Filed as: GATEWAY FINANCIAL & ESTATE PLANNING, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: August 19, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/144741
- AdvisorCensus page: https://advisorcensus.com/firm/gateway-financial-and-estate-planning-inc-144741

## Quick answers

**How is Gateway Financial & Estate Planning, Inc. compensated?**
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.

**Is Gateway Financial & Estate Planning, Inc. registered with the SEC or a state?**
Gateway Financial & Estate Planning, Inc. is a state-registered investment advisory firm, registered since 2007. Status as filed: APPROVED. CRD 144741.

**How much does Gateway Financial & Estate Planning, Inc. manage?**
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).

**What types of clients does Gateway Financial & Estate Planning, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (19); high net worth individuals (1).

**Does Gateway Financial & Estate Planning, Inc. report any disciplinary disclosures?**
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

**What changed in Gateway Financial & Estate Planning, Inc.'s recent Form ADV filings?**
In the October 2026 filing data: Registered or notice-filed in TX.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Other

### Regulatory assets under management (Item 5.F)
- Total: $8,980,432
- Discretionary: $8,980,432
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 19 | $6,962,257 |
| High net worth individuals | 1 | $2,018,175 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2007 (18 years)
- Employees: 6 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, FL, ID, IN, MD, NV, NY, OR, TX, UT, VA, WA, WY
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): 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?
- 11.D(4): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/144741

### Websites listed on Form ADV (Item 1.I)
- gatewayfinancialplanning.com
- LinkedIn @gateway-financial

## Changes in the filing (last 12 months)

### October 2026
- Registered or notice-filed in TX.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Gateway Financial & Estate Planning, Inc. (CRD 144741): Form ADV filing data as of October 2026.