Mark Paul Stein
Financial advisor at Galvin, Gaustad & Stein, LLC · Scottsdale, AZ
Last updated 2026-10-10
Claim your profileMark Paul Stein is a financial advisor at Galvin, Gaustad & Stein, LLC in Scottsdale, AZ, CRD 1153586. Licenses and exams on the registration: Series 63. First registered 2004-03-11.
Registration
- CRD number
- 1153586
- Registration status
- Active
- First registered
- 2004-03-11
- Years of experience
- 48
- States registered
- AZ, CA, ID, TX, WA
Licenses and exams
- Series 63
Designations
- Certified Financial Planner
Work history
- 2011-12 to 2016-12 · Foothill Securities, Inc. · Scottsdale, AZ
- 2010-06 to Present · Galvin, Gaustad, & Stein, LLC · Scottsdale, AZ
- 2011-01 to 2017-01 · Canada Vistas Hoa · Scottsdale, AZ
- 1978-01 to 2019-01 · Mark Stein- Insurance Sales · Scottsdale, AZ
Current employment
- Galvin, Gaustad & Stein, LLC · Scottsdale, AZ
Galvin, Gaustad & Stein, LLC
- Regulatory AUM
- $1,354,519,461
- Registered advisors
- 8
- Offices
- 14
- Clients per advisor
- 107.0 (Moderate)
- Average AUM per client
- $1.6M (Low)
- High-net-worth client ratio
- 51.4% (High)
Galvin, Gaustad & Stein, LLC: advisors, services and reported ETF investments
Reported ETF positions
Galvin, Gaustad & Stein reports 140 ETF positions worth $759.6M on Form 13F; the largest are listed.
| Fund | Reported value |
|---|---|
| XLK — State Street Technology Select Sector SPDR ETF | $99.8M |
| IEFA — iShares Core MSCI EAFE ETF | $47.5M |
| VEA — Vanguard FTSE Developed Markets ETF | $46M |
| SCHR — Schwab Intermediate-Term U.S. Treasury ETF | $27.5M |
| VSS — Vanguard FTSE All-Wld ex-US SmCp Idx ETF | $26.2M |
Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.
Noteworthy reported investments
Galvin, Gaustad & Stein's strongest reported position on each research ranking. Institution-level evidence, not this advisor's or any client's holding.
| Ranking | Fund | Reported value | Percentile | Key figures |
|---|---|---|---|---|
| Similar Fund Ranking | DYNF — iShares U.S. Equity Factor Rotation Active ETF | $218.2K | Top 99.8% | Peer conviction 86.8% · Active return +4.88% |
| Addressable Market | DYNF — iShares U.S. Equity Factor Rotation Active ETF | $218.2K | Top 99.9% | Addressable AUM $14.9T · Peer conviction 86.8% |
| Residual Alpha | VCRB — Vanguard Core Bond ETF | $8.5M | Top 99.9% | Residual alpha +0.66% · Residual Sharpe 0.14 |
| Diversification Benefits | TUSI — Touchstone Ultra Short Income ETF | $809.2K | Top 98.4% | Replicability (R²) 49.0% · Residual Sharpe 0.29 |
Historical comparisons from the published research release formed 2026-10-02; not forecasts or recommendations. Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.
What this firm offers
Filed by Galvin, Gaustad & Stein, LLC on Form ADV.
Client services
- Financial Planning Services
- Individuals and Small Businesses
- Businesses or Institutional Clients
- Pension Consulting Services
- Selection of Other Advisers
Fee options
- Percentage of Assets Under Management
- Hourly Charges
- Fixed Fees (Other Than Subscription)
Business and affiliations
- Other Investment Adviser (Incl. Financial
Location
7377 E. Doubletree Ranch Road, Scottsdale, AZ 85258
8 advisors at this office.
Contact
The firm's filed contact details.
- Phone: 480-776-1445
- Website: ggsadvisors.com
Official record
Are you Mark Paul Stein?
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