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RIA / WealthAdvisorCertified Financial Planner19 years in industry

HUGH W GATES

Advisor at BEACON POINTE ADVISORS, LLC

NEWPORT BEACH, CA | Memphis, TN

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Search this name across graphsid dfx:ria:7fa57cd8-28e2-f4bf-4003-c46591e4a6ed

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jul 6, 2007 to Sep 15, 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: BEACON POINTE ADVISORS, LLC
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: Oct 26, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Oct 26, 2006
First registration: Jul 6, 2007
Dual registered: no
Other names: HUGH W GATES|HUGH W GATES IV
IAPD individual key: 5203846

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
BEACON POINTE ADVISORS, LLC	Independent wealth	Apr 5, 2023	n/a	yes	NEWPORT BEACH, CA\|Memphis, TN	Current employment
LEGACY WEALTH MANAGEMENT, LLC	Independent wealth	Feb 25, 2022	Mar 27, 2023	no	MEMPHIS, TN	Previous registration
DELTA ASSET MANAGEMENT, LLC	Independent wealth	Feb 10, 2015	Feb 15, 2022	no	MEMPHIS, TN	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Sep 30, 2009	Jan 15, 2015	no	RIDGELAND, MS	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 29, 2009	no	JACKSON, MS	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jul 6, 2007	Jun 1, 2009	no	JACKSON, MS\|JACKSON, MS	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
LEGACY WEALTH MANAGEMENT, LLC	BEACON POINTE ADVISORS, LLC	Mar 27, 2023	Apr 5, 2023	9	Firm change	RIA to RIA
DELTA ASSET MANAGEMENT, LLC	LEGACY WEALTH MANAGEMENT, LLC	Feb 15, 2022	Feb 25, 2022	10	Firm change	RIA to RIA
VALIC FINANCIAL ADVISORS, INC.	DELTA ASSET MANAGEMENT, LLC	Jan 15, 2015	Feb 10, 2015	26	Firm change	Other
MORGAN STANLEY	VALIC FINANCIAL ADVISORS, INC.	Sep 29, 2009	Sep 30, 2009	1	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (6)

→ BEACON POINTE ADVISORS, LLCRegistered adviserregistration: current employment
Apr 5, 2023 to presentfactForm ADV
→ LEGACY WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 25, 2022 to Mar 27, 2023factForm ADV
→ DELTA ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 10, 2015 to Feb 15, 2022factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Sep 30, 2009 to Jan 15, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 29, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jul 6, 2007 to Jun 1, 2009factForm ADV

Dated events

Occurred
Mar 27, 2023
Advisor changed firm
Hugh W Gates left Legacy Wealth Management, Llc for Beacon Pointe Advisors, Llc (registered 2023-04-05)
Form ADVobserved 6 days ago
Occurred
Feb 15, 2022
Advisor changed firm
Hugh W Gates left Delta Asset Management, Llc for Legacy Wealth Management, Llc (registered 2022-02-25)
Form ADVobserved 6 days ago