SourcingSourcing

GAINES FINANCIAL GROUP

C19
CRD 157037·SEC 801-77140·BOCA RATON, FL
AUM
—
Est. Revenue
—
@ 1% on AUM
Est. EBITDA
—
@ 30% margin
Est. Deal Value
—
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
GAINES FINANCIAL GROUP
CRD
157037
SEC file #
801-77140
EIN
—
DBA names
Alliance Wealth ManagementSwan Wealth Management Group, Inc.Reserve Wealth ManagementOc Wealth Management, Inc.

Economics

AUM
—
AUM band
—
AUM trajectory
'20'22
$342.7M → $402.6M▲ +17%
Client mix
—

Operations

Employees (total)
—
Advisory staff (per ADV)
—
Advisory staff (5-yr trend)
'20'22
16 advisors → 15 advisors▼ -6%
Primary office
BOCA RATON FL
Branches
—

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
—
Fee basis
—

Filings

Latest ADV filing
—
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
—
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
GAINES, PATRICK, STEVENSON
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
GAINES, PATRICK, STEVENSON
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (6)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Lpl Financial16
E*trade4
State Street1
Top Owner CRD
2829164

People (1)

1
PATRICK STEVENSON GAINES
Direct Owner · 87.5%
2829164