Gavin Quade Beauregard
Professional Summary
Gavin Quade Beauregard is a registered financial advisor currently at AI FUNDS located in Goshen, Kentucky. Gavin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Gavin has worked at 3 firms and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Biography
Gavin is an Associate in the Louisville office. His day-to-day responsibilities include researching and maintaining quantitative strategies and systems and implementing clients’ portfolio allocations. Prior to joining Cerity Partners, Gavin served as an Investment Intern at ARGI Financial Group, where he also spent time as an intern while studying at Indiana University. While in college, he also had an internship with Fidelity Investments.
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Website
xxxxxxxxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
5 years in the financial services industry
Current & Past Employments
Current
Past
Education
the Kelley School of Business at Indiana University
Finance, B.S.
Finance, B.S.
the Kelley School of Business at Indiana University
Business Analytics, B.S.
Business Analytics, B.S.
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Current Firm
AI FUNDS | AI FUNDS, INC.
Contact Information
Main Address
75 Gate 5 Rd, Sausalito, CA 94965Phone Number
(510) 400-4495# of Employees
3SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
4AUM (Assets Under Management)
$2,100,691Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
AI FUNDS | AI FUNDS, INC.
State Registrations and Notice Filings
(2/15/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Gavin Quade Beauregard's CRS (Customer Relationship Summary).
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