GALVIN, GAUSTAD & STEIN, LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Arizona, United States

Employees

Total Number of Employees	14
Investment Advisory/Research	14
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	7
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	1

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	1,920	$1.2B
Non-Discretionary	22	$16.0M
Total	1,942	$1.2B

Clients

Type	Number	RAUM
Individuals	456	$213.2M
HNW Individuals	423	$938.2M
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	5	$2.2M
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	18	$38.2M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	25
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	1-10

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation	% of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	0
Both for Same	1.2B

Portfolio Manager to Program	Sponsor
GALVIN, GAUSTAD & STEIN WRAP FEE PROGRAM	GALVIN, GAUSTAD & STEIN, LLC

Identifiers

SEC RIA File Number	801-71464
SEC ERA File Number	801-71464
SEC CIK Numbers	1840945
SEC CRD Numbers	153410
Legal Entity Identifier	None

Principal Office

7377 E. DOUBLETREE RANCH ROAD
SUITE 250
SCOTTSDALE
AZ
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic