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RIA / WealthAdvisor17 years in industry

Neal Gordon Huffman

Advisor at ROYAL FUND MANAGEMENT, LLC

LADY LAKE, FL | Lone Tree, CO

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Search this name across graphsid dfx:ria:de693557-69a5-f65e-c8ef-a7cc12411c6a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jan 28, 2020 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: ROYAL FUND MANAGEMENT, 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: Mar 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jan 22, 2020
First registration: Jan 28, 2020
Dual registered: no
Other names: Neal Gordon Huffman|Neal Huffman
IAPD individual key: 6617487

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
ROYAL FUND MANAGEMENT, LLC	Independent wealth	Mar 17, 2026	n/a	yes	Lone Tree, CO\|LADY LAKE, FL	Current employment
GRADIENT ADVISORS, LLC	Independent wealth	Sep 4, 2024	Jan 6, 2026	no	Lone Tree, CO\|Aurora, CO\|ARDEN HILLS, MN	Previous registration
ROYAL FUND MANAGEMENT, LLC	Independent wealth	Mar 8, 2023	Sep 3, 2024	no	Lone Tree, CO\|Greenwood Village, CO\|LADY LAKE, FL	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Jan 28, 2020	Jan 31, 2023	no	ENGLEWOOD, CO\|ENGLEWOOD, 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
GRADIENT ADVISORS, LLC	ROYAL FUND MANAGEMENT, LLC	Jan 6, 2026	Mar 17, 2026	70	Firm change	RIA to RIA
ROYAL FUND MANAGEMENT, LLC	GRADIENT ADVISORS, LLC	Sep 3, 2024	Sep 4, 2024	1	Firm change	RIA to RIA
PRUCO SECURITIES, LLC	ROYAL FUND MANAGEMENT, LLC	Jan 31, 2023	Mar 8, 2023	36	Firm change	Ibd to RIA

Relationships

Registered with (3)

→ ROYAL FUND MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 8, 2023 to Sep 3, 2024factForm ADV
→ GRADIENT ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 4, 2024 to Jan 6, 2026factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jan 28, 2020 to Jan 31, 2023factForm ADV

Dated events

Occurred
Jan 6, 2026
Advisor changed firm
Neal Gordon Huffman left Gradient Advisors, Llc for Royal Fund Management, Llc (registered 2026-03-17)
Form ADVobserved 6 days ago
Occurred
Sep 3, 2024
Advisor changed firm
Neal Gordon Huffman left Royal Fund Management, Llc for Gradient Advisors, Llc (registered 2024-09-04)
Form ADVobserved 6 days ago
Occurred
Jan 31, 2023
Advisor changed firm
Neal Gordon Huffman left Pruco Securities, Llc for Royal Fund Management, Llc (registered 2023-03-08)
Form ADVobserved 6 days ago