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RIA / WealthAdvisorCertified Financial Planner43 years in industry

DWAIN GUMP

Advisor at GUMP AND MCHUGH ASSET MANAGEMENT

COLORADO SPRINGS, CO

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Search this name across graphsid dfx:ria:a1caa034-13b8-33a5-fe36-fb298128c10b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 1, 1999 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: GUMP AND MCHUGH ASSET MANAGEMENT
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 11, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jul 11, 1983
First registration: Jan 1, 1999
Dual registered: no
IAPD individual key: 1085383

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
GUMP AND MCHUGH ASSET MANAGEMENT	State registered	Aug 21, 2024	n/a	yes	COLORADO SPRINGS, CO	Current employment
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC	Independent wealth	Nov 1, 2006	May 3, 2011	no	COLORADO SPRINGS, CO	Previous registration
WALNUT STREET SECURITIES, INC.	Former SEC adviser	May 3, 2006	Dec 31, 2006	no	COLORADO SPRINGS, CO	Previous registration
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC	Independent wealth	Aug 12, 1999	Jan 4, 2006	no	COLORADO SPRINGS, CO	Previous registration
WALNUT STREET ADVISERS INC	n/a	Jan 1, 1999	Nov 2, 2006	no	COLORADO SPRINGS, CO	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
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC	GUMP AND MCHUGH ASSET MANAGEMENT	May 3, 2011	Aug 21, 2024	4,859	Firm change after gap	Other
WALNUT STREET SECURITIES, INC.	FIRST AFFIRMATIVE FINANCIAL NETWORK LLC	Dec 31, 2006	Nov 1, 2006	-60	Firm change after gap	Other
WALNUT STREET ADVISERS INC	FIRST AFFIRMATIVE FINANCIAL NETWORK LLC	Nov 2, 2006	Aug 12, 1999	-2,639	Firm change after gap	Other
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC	WALNUT STREET SECURITIES, INC.	Jan 4, 2006	May 3, 2006	119	Firm change	Other

Relationships

Registered with (4)

→ GUMP AND MCHUGH ASSET MANAGEMENTRegistered adviserregistration: current employment
Aug 21, 2024 to presentfactForm ADV
→ FIRST AFFIRMATIVE FINANCIAL NETWORK LLCRegistered adviserregistration: previous registration
Nov 1, 2006 to May 3, 2011factForm ADV
→ WALNUT STREET SECURITIES, INC.Registered adviserregistration: previous registration
May 3, 2006 to Dec 31, 2006factForm ADV
→ WALNUT STREET ADVISERS INCRegistered adviserregistration: previous registration
Jan 1, 1999 to Nov 2, 2006factForm ADV

Dated events

No dated event names this entity yet.