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SEC data October 1, 2026
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SEC data October 1, 2026
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Sign in or start freeWealth manager, wrap-program sponsor · Louisville, CO
SEC-registered investment adviser · CRD 326716 · SEC 801-128065
At a glance
Gainline Financial Partners, LLC is an SEC-registered investment adviser based in Louisville, Colorado, with $349 million in regulatory assets under management as of its Form ADV filed August 26, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 998 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 3,924th of 8,915 wealth managers and 9,425th of 17,210 SEC-registered advisers by assets.
Main office 720-548-4391gainlinefp.comLinkedInAs filed on Form ADV
Hybrid RIA
Gainline Financial Partners, LLC is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed June 2026) names Purshe Kaplan Sterling Investments as the broker-dealer its advisers are registered with.
vised Persons, in their individual capacities as registered representatives of Purshe Kaplan Sterling Investments (“PKS”), member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SI
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 581 | $294M | 84% |
| Individuals | 417 | $50M | 14% |
| Pension and profit sharing plans | – | $2M | <1% |
| Corporations or other businesses | – | $2M | <1% |
Gainline Financial Partners, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
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Gainline Financial Partners, LLC reports $349 million in regulatory assets under management across 1,001 accounts, 94% of it on a discretionary basis, on its Form ADV filed August 26, 2026.
Gainline Financial Partners, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
By assets, its largest client types are high-net-worth individuals ($294 million, 581 clients); individuals ($50 million, 417 clients); pension and profit sharing plans ($2 million).
Gainline Financial Partners, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Every figure is Gainline Financial Partners, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-26), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →