DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

ADAM GREGORY MARK HARTRUM

Advisor at LPL FINANCIAL LLC

TORRANCE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3aa0141c-c9b4-ab05-7d81-30ebc6a1ceb9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 10, 2002 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: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 10, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Mar 3, 2009
First registration: Sep 10, 2002
Dual registered: yes, broker-dealer
Other names: ADAM GREGGORY MARK HARTRUM
IAPD individual key: 3125067

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
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 17, 2019	n/a	yes	TORRANCE, CA	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Sep 19, 2016	Jun 17, 2019	no	TORRANCE, CA	Previous registration
ASSETMARK, INC.	Bd affiliated wealth	Dec 4, 2012	Oct 13, 2016	no	CONCORD, CA	Previous registration
PATHWAY STRATEGIC ADVISORS	Former SEC adviser	May 10, 2012	Aug 31, 2012	no	LIVERMORE, CA\|FOLSOM, CA	Previous registration
NIEMANN CAPITAL MANAGEMENT INC	Former SEC adviser	Mar 4, 2009	May 7, 2012	no	SCOTTS VALLEY, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 10, 2002	Mar 10, 2003	no	LA JOLLA, 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
SECURITIES AMERICA ADVISORS, INC.	LPL FINANCIAL LLC	Jun 17, 2019	Jun 17, 2019	0	Firm change	Ibd to RIA
ASSETMARK, INC.	SECURITIES AMERICA ADVISORS, INC.	Oct 13, 2016	Sep 19, 2016	-24	Firm change	Other
PATHWAY STRATEGIC ADVISORS	ASSETMARK, INC.	Aug 31, 2012	Dec 4, 2012	95	Firm change	Other
NIEMANN CAPITAL MANAGEMENT INC	PATHWAY STRATEGIC ADVISORS	May 7, 2012	May 10, 2012	3	Firm change	Other
WELLS FARGO ADVISORS	NIEMANN CAPITAL MANAGEMENT INC	Mar 10, 2003	Mar 4, 2009	2,186	Firm change after gap	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 17, 2019 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Sep 19, 2016 to Jun 17, 2019factForm ADV
→ ASSETMARK, INC.Registered adviserregistration: previous registration
Dec 4, 2012 to Oct 13, 2016factForm ADV
→ PATHWAY STRATEGIC ADVISORSRegistered adviserregistration: previous registration
May 10, 2012 to Aug 31, 2012factForm ADV
→ NIEMANN CAPITAL MANAGEMENT INCRegistered adviserregistration: previous registration
Mar 4, 2009 to May 7, 2012factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 10, 2002 to Mar 10, 2003factForm ADV

Dated events

No dated event names this entity yet.