# Galvin Gaustad & Stein (GGS)

Galvin Gaustad & Stein (GGS) is a Bank / Wealth / Trust based in Scottsdale, United States.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** Scottsdale, United States
- **Region:** North America
- **Address:** Scottsdale, AZ, United States
- **Founded:** 2010
- **Assets under management:** Undisclosed
- **Website:** ggswealth.com
- **LinkedIn:** https://www.linkedin.com/company/galvin-gaustad-&-stein-llc.

## Regulatory record

- **CRD number:** 153410
- **Registration status:** APPROVED
- **Latest Form ADV filing:** 2026-03-30T05:00:00.000Z
- **Reports private funds:** No
- **Private funds reported:** 0
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/153410

## About

Galvin Gaustad & Stein was founded in Scottsdale, Arizona by namesake partners Kevin Galvin, Dan Gaustad, and Brian Stein. The trio established the firm to deliver wealth management and investment advisory services to high-net-worth individuals and families, independent of the large bank and wirehouse distribution models that still dominate the Arizona wealth corridor. The firm constructs multi-asset-class portfolios spanning public equities, fixed income, and alternative investments. GGS operates with a client-by-client allocation model rather than a single house strategy, tailoring exposure based on individual liquidity needs and tax circumstances. Their investment committee selects third-party fund managers alongside direct holdings, with an emphasis on tax-aware asset location and after-fee net return analysis. The advisory team operates from a single Scottsdale location, though the client base extends beyond Arizona through long-standing referral relationships. GGS has not launched proprietary fund vehicles or adjacent ventures such as a family-office services line or a charitable foundation — the firm remains centered on its core private wealth mandate. In June 2022, the firm updated its regulatory filings to reflect its continued independent structure under the SEC's Form ADV framework. GGS is structured as a classic partnership-model RIA — a form that is becoming rarer as aggregators and roll-up platforms acquire independent advisory practices. The three named principals remain actively involved in client relationships, which is itself a structural differentiator in an industry where founder liquidity events increasingly transfer control to outside capital partners.

## Sectors

- Wealth Management
- Private Client Services

## People

- Kevin Galvin — Founding Principal
- Dan Gaustad — Founding Principal
- Brian Stein — Founding Principal

## Questions

### Does GGS manage proprietary funds or only allocate to third-party managers?

GGS primarily allocates client capital to third-party managers across public equities, fixed income, and alternative investments. The firm does not maintain a family of proprietary mutual funds or ETFs. Direct holdings are managed on a client-by-client basis, with manager selection conducted by the in-house investment committee.

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- [Gallatin River Capital](https://altss.com/profile/gallatin-river-capital)
- [GAMCO Asset Management](https://altss.com/profile/gamco-asset-management)

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Last updated: 2026-06-03T20:00:00.000Z

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