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RIA / WealthAdvisor25 years in industry

THOMAS HENRI BRAUN

Advisor at GRADIENT INVESTMENTS, LLC

MATTHEWS, NC

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Search this name across graphsid dfx:ria:438201f9-33cd-256e-5fee-2b5aa12839f1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 21, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: GRADIENT INVESTMENTS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 8, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66|S65
First exam: Jan 8, 2001
First registration: Aug 21, 2007
Dual registered: no
Other names: THOMAS H BRAUN
IAPD individual key: 1626025

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
GRADIENT INVESTMENTS, LLC	Independent wealth	Aug 6, 2018	n/a	yes	MATTHEWS, NC	Current employment
GOLDENGUARD WEALTH MANAGEMENT, LLC	n/a	Nov 17, 2016	Dec 31, 2023	no	MATTHEWS, NC\|Palm Beach Gardens, FL\|Palm Beach Gardens, FL\|Charlotte, NC\|MATTHEWS, NC	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Feb 20, 2008	Aug 25, 2008	no	KELLER, TX\|IRVING, TX\|IRVING, TX	Previous registration
WORTH FINANCIAL GROUP INC.	Independent wealth	Aug 21, 2007	Feb 13, 2008	no	KELLER, TX\|IRVING, TX\|DALLAS, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
GOLDENGUARD WEALTH MANAGEMENT, LLC	GRADIENT INVESTMENTS, LLC	Dec 31, 2023	Aug 6, 2018	-1,973	Firm change after gap	Other
THRIVENT INVESTMENT MANAGEMENT INC.	GOLDENGUARD WEALTH MANAGEMENT, LLC	Aug 25, 2008	Nov 17, 2016	3,006	Firm change after gap	Other
WORTH FINANCIAL GROUP INC.	THRIVENT INVESTMENT MANAGEMENT INC.	Feb 13, 2008	Feb 20, 2008	7	Firm change	Other

Relationships

Registered with (4)

→ GRADIENT INVESTMENTS, LLCRegistered adviserregistration: current employment
Aug 6, 2018 to presentfactForm ADV
→ GOLDENGUARD WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 17, 2016 to Dec 31, 2023factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Feb 20, 2008 to Aug 25, 2008factForm ADV
→ WORTH FINANCIAL GROUP INC.Registered adviserregistration: previous registration
Aug 21, 2007 to Feb 13, 2008factForm ADV

Dated events

Occurred
Dec 31, 2023
Advisor changed firm
Thomas Henri Braun left Goldenguard Wealth Management, Llc for Gradient Investments, Llc (registered 2018-08-06)
Form ADVobserved 4 days ago