Dustin L. Gale

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT

CASTLE PINES, CO

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CRD#: 5258833

Professional summary

Dustin Lance Gale, CFP®, CPWA®, who also goes by Dustin Gale, is a registered financial advisor currently at KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC located in Castle Pines, Colorado and VP DISTRIBUTORS LLC located in Los Angeles, California.

Dustin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Dustin has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dustin Gale

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.

PROJECT ECHO; OTHER BUSINESS IS NOT INVESTMENT-RELATED; ADDRESS: PO BOX 2410, SANTA MONICA CA 90401; NATURE OF OTHER BUSINESS: A NON-PROFIT ORGANIZATION PROVIDING AT-RISK STUDENTS WITH A DYNAMIC ALTERNATIVE EDUCATION TO HELP THEM ACQUIRE USEFUL VOCATIONAL SKILLS AND ENTREPRENEURSHIP TRAINING AND EXPERIENCE; POSITION: ADVISORY BOARD MEMBER - NON-DIRECTOR/NON-VOTER; START DATE: 7/1/13; 1 1/2 HRS/MONTH DEVOTED TO OTHER BUSINESS; 0 HRS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS; DUTIES: BOARD RECRUITMENT, ORGANIZATIONAL OPERATIONS, NETWORK, FUNDRAISING, ECT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dustin Lance Gale's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2012

CPWA^®

Certified Private Wealth Advisor

Experience

Current

February 6, 2015 - Present

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 104599

CASTLE PINES, CO

Current

February 6, 2015 - Present

VP DISTRIBUTORS LLC

Office #1: 2000 Avenue Of The Stars Suite 1110, Los Angeles, CA 90067

CRD#: 3036

Los Angeles, CA

Past

January 3, 2011 - December 18, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LOS ANGELES, CA

Past

January 3, 2011 - December 18, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LOS ANGELES, CA

Past

May 8, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

BEVERLY HILLS, CA

Past

April 28, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

BEVERLY HILLS, CA

Past

May 11, 2007 - January 29, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

LOS ANGELES, CA

Past

December 14, 2006 - January 29, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

LOS ANGELES, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

KAYNE ANDERSON INVESTMENT MANAGEMENT LLC | KAYNE ANDERSON RUDNICK WEALTH ADVISORS | KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

CRD#: 104599 / SEC#: 801-24241

RIA

Registered Investment Advisory firm - (5/22/1985 Approved)

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

California
(2/6/2015)

IAR

California
(2/6/2015)

Colorado
(6/30/2025)

IAR

Colorado
(6/30/2025)

IAR

Florida
(7/15/2022)

IAR

New York
(6/29/2022)

IAR

North Carolina
(5/23/2023)

IAR

Rhode Island
(6/29/2022)

IAR

Texas
(7/5/2022)

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 66

Date: 5/10/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

KAYNE ANDERSON INVESTMENT MANAGEMENT LLC | KAYNE ANDERSON RUDNICK WEALTH ADVISORS | KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

CRD#: 104599 / SEC#: 801-24241

RIA

Registered Investment Advisory firm - (5/22/1985 Approved)

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Contact information

Main Address

2000 Avenue Of The Stars Suite 1110, Los Angeles, CA 90067

Mailing Address

Phone number

(310) 556-2721

Established

Firm type

Fiscal year end

# of Employees

119

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KAR ADV PART 2A 3/26/2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	27,435
AUM (Assets Under Management)	$ 45,493,862,358

Red Flags

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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Firm Stability Insights

Dustin L. Gale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dustin Lance Gale's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/10/2007

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2006

FINRA

Current Firm

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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