{ "crd_number": 141091, "slug": "public-safety-financial-galloway-mesa-az-141091", "primary_business_name": "PUBLIC SAFETY FINANCIAL/GALLOWAY", "legal_name": "GALLOWAY ASSET MANAGEMENT LLC", "dbas": [], "city": "Mesa", "state": "AZ", "country": "United States", "cbsa_code": "38060", "metro": { "cbsa_code": "38060", "common_name": "Phoenix", "msa_name": "Phoenix-Mesa-Chandler, AZ", "path": "/advisors/az/phoenix" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2008-03-20", "years_registered": 18, "period": "2026-10-01", "filing_date": "2026-06-26", "carried_forward": false, "raum_total": 17881765.0, "raum_discretionary": 17881765.0, "raum_non_discretionary": 0.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 31, "advisory_employees": 23, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 17881765.0, "count": 74 } }, "compensation_types": [ "fixed", "other", "percentage_of_aum" ], "advisory_activities": [ "educational_seminars", "financial_planning", "periodicals_newsletters", "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "AZ", "SC", "TX" ], "websites": [ "https://facebook.com/PSFGalloway", "https://galloway911.com", "https://gallowayllc.com", "https://instagram.com/psfgalloway", "https://linkedin.com/company/psf-galloway", "https://vimeo.com/GALLOWAY911", "https://youtube.com/GALLOWAY ASSET MANAGEMENT" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/141091", "city_as_filed": "MESA", "url": "https://advisorcensus.com/firm/public-safety-financial-galloway-mesa-az-141091", "display_name": "Public Safety FINANCIAL/GALLOWAY", "summary": "Public Safety FINANCIAL/GALLOWAY is an SEC-registered investment advisory firm in Mesa, AZ, registered since 2008, reporting under $25 million in regulatory assets under management in its Form ADV filing dated June 26, 2026.", "citation": "AdvisorCensus. Public Safety FINANCIAL/GALLOWAY (CRD 141091): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)", "Other" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Publication of periodicals or newsletters", "Educational seminars/workshops" ], "quick_answers": [ { "q": "How is Public Safety FINANCIAL/GALLOWAY compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Public Safety FINANCIAL/GALLOWAY reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); other. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Public Safety FINANCIAL/GALLOWAY located?", "a": "Public Safety FINANCIAL/GALLOWAY's principal office is in Mesa, AZ, according to its Form ADV." }, { "q": "Is Public Safety FINANCIAL/GALLOWAY registered with the SEC or a state?", "a": "Public Safety FINANCIAL/GALLOWAY is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 141091." }, { "q": "How much does Public Safety FINANCIAL/GALLOWAY manage?", "a": "Public Safety FINANCIAL/GALLOWAY reports $17,881,765 in regulatory assets under management in its Form ADV filing dated June 26, 2026 (100% discretionary)." }, { "q": "How have Public Safety FINANCIAL/GALLOWAY's assets and staff changed since 2021?", "a": "In the Form ADV data for Public Safety FINANCIAL/GALLOWAY: Regulatory assets under management: $545,968,838 in the October 2021 data and $17,881,765 in the October 2026 data, down 97%. Total employees: 32 in October 2021 and 31 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Public Safety FINANCIAL/GALLOWAY serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (74)." }, { "q": "Which custodians does Public Safety FINANCIAL/GALLOWAY use?", "a": "Public Safety FINANCIAL/GALLOWAY's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing Advisor Solutions LLC as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Public Safety FINANCIAL/GALLOWAY report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/141091" }, { "q": "What changed in Public Safety FINANCIAL/GALLOWAY's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 24 to 23. Regulatory assets under management went from $942,235,740 to $17,881,765 (-98%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 545968838.0, "total_employees": 32, "filing_date": "2021-03-04" }, { "period": "2022-10-01", "regulatory_assets_under_management": 695861962.0, "total_employees": 34, "filing_date": "2022-03-18" }, { "period": "2023-10-01", "regulatory_assets_under_management": 638119337.0, "total_employees": 36, "filing_date": "2023-09-06" }, { "period": "2024-10-01", "regulatory_assets_under_management": 792720133.0, "total_employees": 39, "filing_date": "2024-09-04" }, { "period": "2025-10-01", "regulatory_assets_under_management": 942235740.0, "total_employees": 39, "filing_date": "2025-07-28" }, { "period": "2026-10-01", "regulatory_assets_under_management": 17881765.0, "total_employees": 31, "filing_date": "2026-06-26" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 24 to 23.", "Regulatory assets under management went from $942,235,740 to $17,881,765 (-98%)." ] }, { "period": "2026-03-01", "period_label": "March 2026", "notes": [ "Employees performing advisory functions went from 26 to 24." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "No longer registered or notice-filed in AL, CA, CO, FL, ID, MN, MT, NC, NE, OH, TN, UT, WA, WY." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Employees performing advisory functions went from 27 to 26." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Pershing Advisor Solutions LLC", "name_as_filed": "PERSHING ADVISOR SOLUTIONS LLC", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/public-safety-financial-galloway-mesa-az-141091.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 74, "fewer_than_5": false, "raum": 17881765.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "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/141091", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }