Gateway Financial & Estate Planning, Inc.
- Regulatory AUM
- $9.0M
- Discretionary
- $9.0M
- Clients
- 20
- Avg AUM / client
- $449K
- Accounts
- 39
- Employees
- 6
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 19 | $7.0M | 77.5% |
| High net worth individuals | 1 | $2.0M | 22.5% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Chad Ludvig Nielsen | Registered representative | Nov 2007 (19y) | ||
| Jaxon G Knighton | Registered representative | Sep 2022 (4y) | ||
| Carson Thomas Nielsen | Registered representative | Jul 2023 (3y) | ||
| Madelyn Annemiek Dobbe | Registered representative | Aug 2025 (1y) | ||
| Sarah Marie Tidwell | Registered representative | Apr 2026 (0y) | ||
| David M Tidwell | Registered representative | Apr 2026 (0y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/16/2026 | 1.26 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Other fees
- • REFERRAL FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $9.0M (100% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Aug 19, 2026.
View current Form ADV (SEC/IAPD) ↗