PUBLIC SAFETY FINANCIAL/GALLOWAY
GALLOWAY ASSET MANAGEMENT LLC Legal Name
Adviser information for PUBLIC SAFETY FINANCIAL/GALLOWAY last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 38 |
|---|---|
| Investment Advisory/Research | 27 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 27 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3,776 | $775.1M |
| Non-Discretionary | 45 | $17.6M |
| Total | 3,821 | $792.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,600 | $678.3M |
| HNW Individuals | 80 | $114.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-68901 |
|---|---|
| SEC ERA File Number | 801-68901 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 141091 |
| Legal Entity Identifier | None |
Principal Office
1138 N ALMA SCHOOL RDSUITE 201
MESA
AZ
United States
Monday - Friday, MON-THURS 8-5 (FRI 8-2)
Tel: 480-325-8668, Fax: 480-325-1664
Chief Compliance Officer
MICHAEL GALLOWAY
CHIEF EXECUTIVE OFFICER
1138 N ALMA SCHOOL RD, SUITE 201
MESA
AZ
United States
Tel:
480-325-8668
Fax:
480-325-1664
M***@**************M
(Full email address available in API data)
Regulatory Contact
KRYSTINA WANTA
OPERATION/COMPLIANCE SPECIALIST
1138 N ALMA SCHOOL RD, SUITE 201
MESA
AZ
United States
Tel:
(480)325-8668
Fax:
(480)325-1664
K*******@**************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LANCE, CINDY, ELIZABETH | Individual | – | CHIEF FINANCIAL OFFICER | 01/2013 | < 5% |
| GALLOWAY, MICHAEL, JEFFREY | Individual | – | CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER (10/2023) | 01/2005 | < 5% |
| PUBLIC SAFETY FINANCIAL, LLC | Domestic Entity | – | OWNER | 05/2009 | > 75% |
| GALLOWAY, MICHAEL, JEFFREY | Individual | PUBLIC SAFETY FINANCIAL, LLC | MEMBER | 05/2009 | > 75% |
| EBERHARDT, MAGDALENA | Individual | – | CHIEF OPERATIONS OFFICER | 02/2007 | < 5% |
| Thomas, Todd, G | Individual | – | NATIONAL VICE PRESIDENT | 02/2022 | < 5% |