DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Lawrence Neil Lotwin
Feed of 09/14/2026
Also filed as Lawrence Neil Lotwin
At current firm
5 y
since Jul 9, 2021
In the industry
40 y
since Dec 30, 1985 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Ux Wealth Partners LLC asset manager currentsince Jul 9, 2021 · Carlsbad, Ca
- Alphastar Capital Management independent RIAOct 29, 2020 to May 25, 2021 · Cornelius, Nc
- Global Financial Private Capital, Inc. formerAug 22, 2017 to Jan 17, 2020 · Carlsbad, Ca
- Signator Investors, Inc. formerApr 29, 2015 to May 26, 2017 · Lafayette, Ca
- Curian Capital, LLC formerFeb 5, 2003 to Apr 9, 2015 · Denver, Co
- Prudential Equity Group, LLC unclassifiedOct 4, 1999 to May 13, 2002 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- Alphastar Capital Management to Ux Wealth Partners LLCleft May 25, 2021, registered Jul 9, 2021 (45 days) · Other
- Global Financial Private Capital, Inc. to Alphastar Capital Managementleft Jan 17, 2020, registered Oct 29, 2020 (286 days) · RIA to RIA
- Signator Investors, Inc. to Global Financial Private Capital, Inc.left May 26, 2017, registered Aug 22, 2017 (88 days) · Other
- Curian Capital, LLC to Signator Investors, Inc.left Apr 9, 2015, registered Apr 29, 2015 (20 days) · Other
- Prudential Equity Group, LLC to Curian Capital, LLCleft May 13, 2002, registered Feb 5, 2003 (268 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address