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.

Current firm

LUMIERE FINANCIAL

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

Feb 28, 2003earliest registration or exam on IAPD

Years in industry

23derivedfrom the industry start date

Years at current firm

4derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S63

First exam

Feb 28, 2003

First registration

Jun 7, 2021

Dual registered

yes, broker-dealer

Other names

RICK BOTWINICK

IAPD individual key

4634007

• Occurred

  Jun 27, 2022
  Advisor changed firm

  Derek Lawrence Botwinick left Pruco Securities, Llc for Lumiere Financial (registered 2022-06-24)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:8d895d27-084b-0b96-cae5-2800f1b08884

First observed

Jun 7, 2021

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.