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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)23 years in industry

SAMUEL R WALTMAN

Advisor at KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

LOS ANGELES, CA | HOLLADAY, UT

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Search this name across graphsid dfx:ria:2f2fe0ec-e817-30c1-33ee-69bbe46dadc1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 6, 2010 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: KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 13, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 11
Designations: Chartered Financial Analyst
Exams: S66|S63
First exam: May 13, 2003
First registration: Sep 6, 2010
Dual registered: yes, broker-dealer
Other names: SAMUEL REX WALTMAN
IAPD individual key: 4650562

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
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC	Mixed wealth	May 18, 2016	n/a	yes	LOS ANGELES, CA\|HOLLADAY, UT	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 8, 2014	Feb 17, 2016	no	SAN FRANCISCO, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Aug 18, 2011	Aug 13, 2014	no	DANVILLE, CA\|San Francisco, CA\|WALNUT CREEK, CA	Previous registration
BARCLAYS CAPITAL INC.	Former SEC adviser	Sep 6, 2010	Aug 31, 2011	no	SAN FRANCISCO, CA	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
CITIGROUP GLOBAL MARKETS INC.	KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC	Feb 17, 2016	May 18, 2016	91	Firm change	Other
J.P. MORGAN SECURITIES LLC	CITIGROUP GLOBAL MARKETS INC.	Aug 13, 2014	Aug 8, 2014	-5	Firm change	Other
BARCLAYS CAPITAL INC.	J.P. MORGAN SECURITIES LLC	Aug 31, 2011	Aug 18, 2011	-13	Firm change	Other

Relationships

Registered with (4)

→ KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: current employment
May 18, 2016 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 8, 2014 to Feb 17, 2016factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Aug 18, 2011 to Aug 13, 2014factForm ADV
→ BARCLAYS CAPITAL INC.Registered adviserregistration: previous registration
Sep 6, 2010 to Aug 31, 2011factForm ADV

Dated events

No dated event names this entity yet.