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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

ROBERT LINDSEY BAUMANN

Advisor at OSAIC WEALTH, INC.

CULVER CITY, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 31, 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: OSAIC WEALTH, INC.
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: Dec 14, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Dec 14, 2001
First registration: Jan 31, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4457966

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
OSAIC WEALTH, INC.	Bd affiliated wealth	Jan 24, 2025	n/a	yes	CULVER CITY, CA	Current employment
INDEPENDENT ADVISERS GROUP CORP	Former SEC adviser	Mar 25, 2004	Aug 16, 2004	no	LOS ANGELES, CA	Previous registration
OSAIC FS, INC.	Former SEC adviser	Mar 11, 2004	Jan 24, 2025	no	CULVER CITY, CA	Previous registration
INDEPENDENT ADVISERS GROUP CORP	Former SEC adviser	Aug 22, 2002	Feb 2, 2004	no	LOS ANGELES, CA	Previous registration
OSAIC FS, INC.	Former SEC adviser	Jul 3, 2002	Jan 30, 2004	no	LOS ANGELES, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 31, 2002	Jun 13, 2002	no	BEVERLY HILLS, 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
OSAIC FS, INC.	INDEPENDENT ADVISERS GROUP CORP	Jan 24, 2025	Mar 25, 2004	-7,610	Firm change after gap	Other
INDEPENDENT ADVISERS GROUP CORP	OSAIC WEALTH, INC.	Aug 16, 2004	Jan 24, 2025	7,466	Firm change after gap	Other
INDEPENDENT ADVISERS GROUP CORP	OSAIC FS, INC.	Feb 2, 2004	Mar 11, 2004	38	Firm change	Other
OSAIC FS, INC.	INDEPENDENT ADVISERS GROUP CORP	Jan 30, 2004	Aug 22, 2002	-526	Firm change after gap	Other
UBS FINANCIAL SERVICES INC.	OSAIC FS, INC.	Jun 13, 2002	Jul 3, 2002	20	Firm change	Other

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jan 24, 2025 to presentfactForm ADV
→ OSAIC FS, INC.Registered adviserregistration: previous registration
Mar 11, 2004 to Jan 24, 2025factForm ADV
→ INDEPENDENT ADVISERS GROUP CORPRegistered adviserregistration: previous registration
Mar 25, 2004 to Aug 16, 2004factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 31, 2002 to Jun 13, 2002factForm ADV

Dated events

Occurred
Jan 24, 2025
Advisor changed firm
Robert Lindsey Baumann left Osaic Fs, Inc. for Independent Advisers Group Corp (registered 2004-03-25)
Form ADVobserved 5 days ago