DFX Intelligence

Data Factory

RIA / WealthAdvisor10 years in industry

DAVID THOMAS GAU

Advisor at GREAT WATERS FINANCIAL

SHOREVIEW, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:008d0155-252a-02c9-6d37-1e2463f1972b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jun 21, 2021 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: GREAT WATERS FINANCIAL
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jun 18, 2021
First registration: Jun 21, 2021
Dual registered: no
IAPD individual key: 6962279

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
GREAT WATERS FINANCIAL	Independent wealth	Feb 2, 2026	n/a	yes	SHOREVIEW, MN	Current employment
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	Oct 29, 2025	no	EDINA, MN\|MINNEAPOLIS, MN\|BOSTON, MA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Nov 23, 2022	Mar 31, 2025	no	MINNETONKA, MN	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 21, 2021	Oct 5, 2022	no	Minnetonka, MN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STRATEGIC ADVISERS LLC	GREAT WATERS FINANCIAL	Oct 29, 2025	Feb 2, 2026	96	Firm change	Ibd to RIA
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Oct 5, 2022	Nov 23, 2022	49	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ GREAT WATERS FINANCIALRegistered adviserregistration: current employment
Feb 2, 2026 to presentfactForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Mar 31, 2025 to Oct 29, 2025factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Nov 23, 2022 to Mar 31, 2025factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 21, 2021 to Oct 5, 2022factForm ADV

Dated events

Occurred
Oct 29, 2025
Advisor changed firm
David Thomas Gau left Strategic Advisers Llc for Great Waters Financial (registered 2026-02-02)
Form ADVobserved 5 days ago
Occurred
Oct 5, 2022
Advisor changed firm
David Thomas Gau left Ameriprise Financial Services, Llc for Fidelity Personal And Workplace Advisors (registered 2022-11-23)
Form ADVobserved 5 days ago