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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

MALCOLM JOSEPH LUNN

Advisor at VIRTUS INVESTMENT ADVISERS, LLC

SPRING, TX | HARTFORD, CT

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Search this name across graphsid dfx:ria:856f4bef-2d00-e5f2-accd-60f877407f5e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 20, 2000 to Sep 15, 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: VIRTUS INVESTMENT ADVISERS, LLC
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 23, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 23, 1998
First registration: May 20, 2000
Dual registered: yes, broker-dealer
Other names: MALCOM J LUNN|MALCOLM J LUNN
IAPD individual key: 2992497

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
VIRTUS INVESTMENT ADVISERS, LLC	Asset manager	Nov 19, 2018	n/a	yes	SPRING, TX\|HARTFORD, CT	Current employment
VIRTUS CAPITAL ADVISERS, LLC	Other adviser	Sep 6, 2016	Nov 19, 2018	no	SPRING, TX\|HARTFORD, CT	Previous registration
OAK RIDGE INVESTMENTS, LLC	Independent wealth	Oct 17, 2014	Aug 8, 2016	no	CHICAGO, IL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 9, 2004	May 11, 2009	no	WEEHAWKEN, NJ\|WEEHAWKEN, NJ\|WEEHAWKEN, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 20, 2000	Nov 18, 2004	no	PLAINSBORO, NJ	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
VIRTUS CAPITAL ADVISERS, LLC	VIRTUS INVESTMENT ADVISERS, LLC	Nov 19, 2018	Nov 19, 2018	0	Channel change	Other
OAK RIDGE INVESTMENTS, LLC	VIRTUS CAPITAL ADVISERS, LLC	Aug 8, 2016	Sep 6, 2016	29	Firm change	Other
UBS FINANCIAL SERVICES INC.	OAK RIDGE INVESTMENTS, LLC	May 11, 2009	Oct 17, 2014	1,985	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Nov 18, 2004	Nov 9, 2004	-9	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
107346:106982:CT:2018-11-19	Nov 19, 2018	Nov 19, 2018	HARTFORD, CT	Firm change

Relationships

Registered with (5)

→ VIRTUS INVESTMENT ADVISERS, LLCRegistered adviserregistration: current employment
Nov 19, 2018 to presentfactForm ADV
→ VIRTUS CAPITAL ADVISERS, LLCRegistered adviserregistration: previous registration
Sep 6, 2016 to Nov 19, 2018factForm ADV
→ OAK RIDGE INVESTMENTS, LLCRegistered adviserregistration: previous registration
Oct 17, 2014 to Aug 8, 2016factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 9, 2004 to May 11, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 20, 2000 to Nov 18, 2004factForm ADV

Dated events

No dated event names this entity yet.