{"url":"https://nivawealth.com/firms/eastgate-capital-advisors-220511","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/220511","regulatoryAum":271487167,"crd":"220511","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1186876","suffix":null,"lastName":"ANDERSON","firstName":"WILLIAM","middleName":"RUSSELL"},{"crd":"8230241","suffix":null,"lastName":"BENJAMIN","firstName":"WILLIAM","middleName":"THOMAS"},{"crd":"6520065","suffix":null,"lastName":"KARRAS","firstName":"JOHN","middleName":"C."},{"crd":"1047573","suffix":null,"lastName":"OMALLEY","firstName":"FELICIA","middleName":"DAVIS"},{"crd":"2287425","suffix":"JR.","lastName":"OMALLEY","firstName":"JOHN","middleName":"DANIEL"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2024-06-24","regulatoryAum":132513731,"clients":45,"employees":5,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":263018259,"clients":89,"employees":4,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":271487167,"clients":55,"employees":5,"offices":1}],"secFileNumber":"801-130038","legalName":"Eastgate Capital Advisors LLC","displayName":"Eastgate Capital Advisors","slug":"eastgate-capital-advisors-220511","website":"https://eastgateca.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/eastgate-capital-advisors-llc/","founded":"2010","organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"560 Green Bay Road, Suite 200","city":"Winnetka","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60093"},"tradeNames":[],"registration":{"secApproved":"26 April 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":4936130.30909091,"staff":{"employees":5,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":271487167,"discretionary":167929062,"discretionaryAccounts":259,"nonDiscretionary":103558105,"nonDiscretionaryAccounts":47,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":24,"regulatoryAum":6885815},{"label":"High-net-worth individuals","clients":31,"regulatoryAum":264601352}],"feePrograms":[{"role":"main","program":"Comprehensive Wealth Management Services","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":0.95,"from":0},{"to":2000000,"pct":0.9,"from":1000000},{"to":3000000,"pct":0.8,"from":2000000},{"to":4000000,"pct":0.75,"from":3000000},{"to":5000000,"pct":0.7,"from":4000000},{"to":10000000,"pct":0.6,"from":5000000},{"to":15000000,"pct":0.5,"from":10000000},{"to":20000000,"pct":0.4,"from":15000000},{"to":null,"pct":0.35,"from":20000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031666","versionId":1031666,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-30","documentName":"EASTGATE CAPITAL ADVISORS ADV PART 2A","fee_rate_low":0.35,"fee_rate_high":0.95,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Family Office and Trust Administration","summary":"A negotiated fee for the services requested, based on their complexity; billed quarterly in advance. The brochure states no rate.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031666","versionId":1031666,"submittedOn":"2026-03-30","documentName":"EASTGATE CAPITAL ADVISORS ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T10:05:39.614777+00:00","documents":[{"name":"EASTGATE CAPITAL ADVISORS ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031666","versionId":1031666,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":161878174}],"custodyNote":"Eastgate Capital Advisors has custody of $61.4M in client assets for 7 clients.","leadership":[{"name":"John Omalley","title":"Managing Director/Chief Compliance Officer","crd":"2287425"}],"ownership":[{"label":"John Omalley","detail":"Managing director/chief compliance officer in the 75% or more ownership band and a control person, since April 2015."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"560 Green Bay Road, Suite 200","city":"Winnetka","headquarters":true}]}],"brochureServices":["business succession planning","estate planning","family office services","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"312-690-4900","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":5},{"label":"U.S. government/agency bonds","percent":3},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":49},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":28},{"label":"Cash and cash equivalents","percent":4},{"label":"Other","percent":10,"detail":"Real Estate"}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/220511/PDF/220511.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031666","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Eastgate Capital Advisors have?","answer":"Eastgate Capital Advisors has 55 clients and manages $271 million for them, as of March 2026. They include 31 high-net-worth individuals and 24 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Eastgate Capital Advisors offer?","answer":"Eastgate Capital Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, business succession planning, estate planning, family office services, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Eastgate Capital Advisors charge?","answer":"Eastgate Capital Advisors charges 0.35%–0.95% a year for its Comprehensive Wealth Management Services. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"EASTGATE CAPITAL ADVISORS ADV PART 2A, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Eastgate Capital Advisors use?","answer":"Eastgate Capital Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $162M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Eastgate Capital Advisors have?","answer":"Eastgate Capital Advisors has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Eastgate Capital Advisors invest in?","answer":"At the end of its last fiscal year, Eastgate Capital Advisors’ separately managed accounts held 49% registered funds (mutual funds, ETFs, BDCs), 28% pooled vehicles (private funds and similar), 10% other, 5% exchange-traded equities, 4% cash and equivalents, 3% U.S. government and agency bonds and 1% state and local bonds. The 10% other category is described as: Real Estate.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Eastgate Capital Advisors?","answer":"Eastgate Capital Advisors’ direct owner is John Omalley (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Eastgate Capital Advisors get paid?","answer":"Eastgate Capital Advisors is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Eastgate Capital Advisors registered with the SEC?","answer":"Yes, Eastgate Capital Advisors has been registered with the SEC as an investment adviser since 26 April 2024. Its CRD number is 220511 and its SEC file number is 801-130038.","source":"Form ADV Part 1A, Item 1, filed 30 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Eastgate Capital Advisors?","answer":"Eastgate Capital Advisors’ main office is at 560 Green Bay Road, Suite 200, Winnetka, IL 60093. Its phone number is 312-690-4900. Its website is eastgateca.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}