Gateway Investments

What Gateway Investments does

Gateway Investments, LLC is a privately held financial advisory firm founded in 2004 and headquartered at 390 Old Country Road, Garden City, New York. The firm provides wealth management, retirement planning (401K, 403B, IRA), 529 college savings plans, life insurance, and estate planning services to individual investors, families, and small to mid-sized businesses. All securities and investment advisory services are delivered through Osaic Wealth, Inc., a leading independent broker-dealer (FINRA/SIPC member), with the firm reporting over $1 billion in assets under management and approximately $1.5 billion in assets under administration. The firm is licensed to serve clients in more than 30 US states and Puerto Rico, indicating a multi-region footprint beyond its Long Island base.

The company does not disclose proprietary technology, APIs, or AI/ML capabilities; service delivery relies on advisor-led client relationships, the Osaic Wealth platform, and a content-driven marketing strategy executed through its website (educational articles, interactive calculators, newsletters, videos, glossary, and tax library). The team consists of approximately 11 members, including 6 financial advisors holding credentials such as CIMA (Wharton), AIF, JD, and Series 7/63/66 licenses, with prior experience at Smith Barney/Citigroup, UBS Financial Services, OppenheimerFunds, and Invesco.

Gateway's revenue model is built on advisory fees, brokerage commissions, and financial planning fees generated through Osaic Wealth's platform, typical of an independent advisor-channel wealth management practice. In May 2026, the firm restructured by transitioning from Osaic's 1099 independent contractor channel to its W-2 employee channel called 'Empowered Independence,' moving approximately $1.5 billion in assets under administration and converting the team to employee status. This move preserves client-facing autonomy while outsourcing compliance, operations, and platform infrastructure to Osaic, which is owned by Reverence Capital Partners. No venture capital or external equity investment in Gateway itself is disclosed.

Name

Gateway Investments

Legal name

Gateway Investments, LLC

Website

https://gatewayinv.com

Company type

Private

Founded year

2004

Operating status

Operating

Headcount range

11–50 employees

Short description

Gateway Investments is a Garden City, NY-based wealth management firm offering retirement, estate, and investment advisory services to individual investors, families, and small/mid-sized businesses, operating through Osaic Wealth's broker-dealer platform with over $1 billion AUM.

Ownership category

akta.pro rank

Product category

Wealth Management

NAICS

Portfolio Management and Investment Advice (523940)

SIC

Investment Advice (6282), Security Brokers, Dealers & Flotation Companies (6211)

akta.pro primary industry

Broker-Dealer Affiliated Wealth Advisory (FSAEABAB)

akta.pro secondary industries

Employer Retirement Plan Advisory (401(k)/Pension) (FSAEABAE), Retirement & Distribution Planning RIAs (401(k)/IRA/Pension Rollovers) (FSAAACAE)

Keywords

• Wealth management services
• Retirement planning
• Investment advisory
• Estate planning
• Financial planning

Headquarters

HQ city

Garden City

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B and B2C

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Infrastructure, Others

Revenue model

1. Advisory and Brokerage Services: As registered representatives of Osaic Wealth, Inc. (FINRA/SIPC member), Gateway Investments provides securities and investment advisory services, generating revenue through advisory fees, commissions on investment products, and fees for financial planning services.

Go-to-market motion1 record

Distribution channels1 record

Marketing channels4 records

Core offering

Gateway Investments, LLC is a financial advisory firm providing personalized wealth management, retirement planning (including 401(k), 403(b), and IRA accounts), 529 college savings plans, and life insurance & estate planning services to individuals, families, and small-to-mid-sized businesses. The firm's advisors are registered representatives of Osaic Wealth, Inc., an independent FINRA/SIPC broker-dealer, and manage over $1 billion in client assets.

Product overview

Gateway Investments, LLC is a financial advisory firm offering a unified suite of wealth management and retirement planning services. The firm provides Wealth Management, Retirement Planning (covering 401K, 403B, and IRA accounts), 529 College Savings Plans, Life Insurance & Estate Planning, and Investment advisory services. The advisors are affiliated with Osaic Wealth, Inc., a FINRA/SIPC member independent broker-dealer, and operate from Garden City, NY with over $1 billion in assets under management. The firm was founded over 20 years ago by Thomas J. Santucci and serves individual investors, small and mid-sized businesses, corporations, non-profit organizations, and family foundations.

Differentiator

Problem solved

Functional benefit

Products and services

• Wealth Management Comprehensive investment management services helping individual clients and families achieve long-term financial stability and growth through personalized portfolio strategies. Includes expert wealth planning to grow assets combined with investment advisory services.
• Retirement Planning
• 529 College Savings Plans
• Life Insurance & Estate Planning
• Investments & Wealth Management

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

One partnership is on record.

• Osaic Wealth, Inc.coreChannel Partner/ Reseller/ DistributorGateway Investments' financial advisors are part of Osaic Wealth, Inc., one of the country's leading independent broker-dealers. Securities and investment advisory services are offered through Osaic Wealth, a FINRA/SIPC member broker-dealer. The firm transitioned from Osaic's 1099 independent contractor channel to its W-2 employee channel called Empowered Independence in 2024.

Scale indicators4 records

Recent moves4 records

Expansion highlights4 records

Direct peers

• Savant Wealth Management: Independent, employee-owned RIA offering wealth management, retirement planning, and estate services with comparable AUM scale (~$15B+). Comparable in service mix, employee-owned/W-2 operating model, and Midwest-to-national footprint.
• Modera Wealth Management: Fee-only RIA providing comprehensive financial planning and investment management to individuals and small businesses. Comparable in client segment (individuals + small/mid businesses), service breadth, and size-tier.
• Exencial Wealth Advisors: Independent RIA offering wealth management, retirement plan, and family-office services. Comparable in advisor-led model, retirement plan focus, and similar AUM scale tier.
• Krilogy Financial: Independent wealth management firm serving individuals, families, and businesses with retirement, estate, and insurance planning. Comparable in service breadth, client segmentation, and size.
• Sequoia Financial Group: Independent, fee-based wealth advisory firm offering comprehensive planning, investment management, and retirement plan services. Comparable in service mix, independent-ownership structure, and scale.
• Halbert Hargrove: Independent, fee-only advisory firm specializing in retirement plan consulting and wealth management. Comparable in retirement-plan focus and advisor-led operating model.
• Wealth Enhancement Group: Independent wealth management platform that has acquired numerous advisor teams and is now among the largest US RIAs. Highly comparable in the W-2 / advisor-affiliation model Gateway is moving into via Osaic Empowered Independence.
• Buckingham Strategic Wealth: Independent RIA offering comprehensive financial planning, investment management, and retirement plan services. Comparable in client-centric planning model, fiduciary positioning, and size-tier.
• Cetera Advisor Networks: Independent broker-dealer network hosting affiliated advisor teams providing wealth, retirement, and insurance services. Directly comparable to Gateway's structure as an Osaic Wealth-affiliated advisory practice.

Broad incumbents

• Creative Planning: One of the largest US independent RIAs with $200B+ AUM, offering comprehensive wealth, retirement, estate, and tax services. Comparable in service breadth but materially larger; useful as a scaled-incumbent reference point.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat4 records

Key risks6 records

Key highlights7 records

Customer concentration

• Facebookfacebook.com/gatewayinvestments
• LinkedInlinkedin.com/in/thomasjsantucci
• Xx.com/gatewayinv

Revenue estimate

Valuation estimate

Number of profiles

Profiles10 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Gateway Investments