Daniel J. Gorghuber

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CRD#: 6185080

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Jerome Gorghuber was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2022. Daniel had worked at 1 firm and has passed the Series 65 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

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.

ETF Guide, LLC; Independent Contractor; PO Box 230574 ETF Guide LLC California 92023 USA; ETF Content Creator; Duties: Data checker; 2017-06-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: .25; Percentage of total yearly compensation expected to be derived from the business: 0;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 27, 2022 - November 4, 2024

CLIENT FIRST INVESTMENT MANAGEMENT LLC

RIA

CRD#: 282600

Alexandria, MN

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".

CLIENT FIRST INVESTMENT MANAGEMENT LLC

CRD#: 282600 / SEC#: 801-123113

RIA

Registered Investment Advisory firm - (1/21/2022 Approved)

Florida

Registered Investment Advisory firm - (1/27/2022 Terminated)

Texas

Registered Investment Advisory firm - (1/27/2022 Terminated)

Virginia

Registered Investment Advisory firm - (12/18/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/28/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

IAR

Series 65

Date: 6/27/2022

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 6/29/2018

National Commodity Futures Examination

Current Firm

CLIENT FIRST INVESTMENT MANAGEMENT LLC

CRD#: 282600 / SEC#: 801-123113

RIA

Registered Investment Advisory firm - (1/21/2022 Approved)

Florida

Registered Investment Advisory firm - (1/27/2022 Terminated)

Texas

Registered Investment Advisory firm - (1/27/2022 Terminated)

Virginia

Registered Investment Advisory firm - (12/18/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/28/2022 Terminated)

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Contact information

Main Address

215 N. Main Street Suite 1040, West Bend, WI 53095

Mailing Address

Phone number

(262) 335-1700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLIENT FIRST INVESTMENT MANAGEMENT LLC DISCLOSURE BROCHURE (3/7/2025)

CLIENT FIRST INVESTMENT MANAGEMENT LLC WRAP FEE BROCHURE (3/7/2025)

Regulatory assets under management

Total Number of Accounts	1,391
AUM (Assets Under Management)	$ 184,382,938

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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Daniel J. Gorghuber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CLIENT FIRST INVESTMENT MANAGEMENT LLC

Primary Firm SEC Registration

CLIENT FIRST INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/27/2022

Series 3

Date: 6/29/2018

Current Firm

CLIENT FIRST INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLIENT FIRST INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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