Kevin Sevier

DARK HORSE ADVISORS LLC

Rancho Santa Fe, CA 92091

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CRD#: 4727255

Professional summary

Kevin Sevier is a registered financial advisor currently at DARK HORSE ADVISORS LLC located in Rancho Santa Fe, California and DFPG INVESTMENTS, LLC located in Santa Rosa, California.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kevin has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

1. Kevin Sevier Insurance Business; Non-Investment Related; 8910 University Center Ln Suite 485 San Diego CA 92122; Insurance; Agent; 01/2003; 5% during business hours; Life Insurance Sales 2. Registered Representative and Investment Adviser Representative of DFPG Investments, LLC; brokerage and advisory services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Sevier's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 21, 2023 - Present

DARK HORSE ADVISORS LLC

Office #1: 5531 Cancha De Golf Suite 201, Rancho Santa Fe, CA 92091

RIA

CRD#: 312741

Rancho Santa Fe, CA

Current

May 8, 2013 - Present

DFPG INVESTMENTS, LLC

Office #1: 111 Santa Rosa Ave Suite 110, Santa Rosa, CA 95404

CRD#: 155576

Santa Rosa, CA

Past

October 26, 2016 - February 9, 2024

DFPG INVESTMENTS, LLC

RIA

CRD#: 155576

SANDY, UT

Past

July 2, 2012 - May 9, 2013

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

SAN DIEGP, CA

Past

August 12, 2008 - November 20, 2016

ADVANCED WEALTH PLANNING

RIA

CRD#: 147090

SAN DIEGO, CA

Past

April 14, 2008 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

SAN DIEGO, CA

Past

April 11, 2008 - May 7, 2013

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

November 16, 2006 - April 9, 2008

OSAIC FA, INC.

RIA

CRD#: 3978

LAJOLLA, CA

Past

November 16, 2006 - April 9, 2008

OSAIC FA, INC.

CRD#: 3978

LAJOLLA, CA

Past

January 9, 2004 - November 10, 2006

NATIONAL PLANNING CORPORATION

CRD#: 29604

SAN DIEGO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(5/8/2013)

California
(5/8/2013)

IAR

California
(3/21/2023)

Hawaii
(8/4/2023)

Missouri
(2/3/2020)

IAR

Nevada
(3/29/2023)

Oklahoma
(8/24/2020)

Texas
(5/8/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/16/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/5/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/24/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/8/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

DARK HORSE ADVISORS LLC

DARK HORSE ADVISORS | DARK HORSE PRIVATE WEALTH | DARK HORSE ADVISORS LLC

CRD#: 312741 / SEC#:

California

Registered Investment Advisory firm - (3/21/2023 Approved)

Nevada

Registered Investment Advisory firm - (5/12/2021 Approved)

Texas

Registered Investment Advisory firm - (4/24/2024 Conditional Restricted)

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Contact information

Main Address

San Diego, CA

Mailing Address

16950 Via De Santa Fe Suite 5060-17, Rancho Santa Fe, CA 92067

Phone number

(858) 832-2514

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	305
AUM (Assets Under Management)	$ 103,883,890

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Kevin Sevier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Sevier's CRS (Customer Relationship Summary).

Certified licenses

Experience

DFPG INVESTMENTS, LLC

DFPG INVESTMENTS, LLC

FIRST ALLIED ADVISORY SERVICES, INC.

ADVANCED WEALTH PLANNING

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

OSAIC FA, INC.

OSAIC FA, INC.

NATIONAL PLANNING CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 2/16/2006

Series 63

Date: 12/5/2003

SIE

Date: 10/1/2018

Series 7

Date: 1/24/2007

Series 6

Date: 1/8/2004

FINRA

Current Firm

DARK HORSE ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DARK HORSE ADVISORS LLC

TRUST BUT VERIFY

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