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.
Feed of 09/14/2026
Also filed as Guy S Lamb
At current firm
0 y
since Jun 10, 2026
In the industry
32 y
since Mar 31, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jun 10, 2026 · Sacramento, Ca
- Mariner BD affiliatedJan 30, 2024 to Oct 23, 2025 · Fresno, Ca
- Fifth Third Wealth Advisors LLC mixed wealthNov 16, 2022 to Nov 15, 2023 · Cincinnati, Oh
- Wells Fargo Advisors wirehouseJul 20, 2017 to Nov 9, 2022 · Minneapolis, Mn
- Wells Fargo Investments, LLC unclassifiedSep 28, 1999 to Dec 17, 2002 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- Mariner to LPL Financial LLCleft Oct 23, 2025, registered Jun 10, 2026 (230 days) · Affiliated broker-dealer or bank to another
- Fifth Third Wealth Advisors LLC to Marinerleft Nov 15, 2023, registered Jan 30, 2024 (76 days) · Other
- Wells Fargo Advisors to Fifth Third Wealth Advisors LLCleft Nov 9, 2022, registered Nov 16, 2022 (7 days) · Other
- Wells Fargo Investments, LLC to Wells Fargo Advisorsleft Dec 17, 2002, registered Jul 20, 2017 (5329 days) · Other
Signals
- Guy S Lamb left Mariner for Lpl Financial Llc (registered 2026-06-10)Oct 23, 2025 · Advisor changed firm · fact
- Guy S Lamb left Fifth Third Wealth Advisors Llc for Mariner (registered 2024-01-30)Nov 15, 2023 · Advisor changed firm · fact
- Guy S Lamb left Wells Fargo Advisors for Fifth Third Wealth Advisors Llc (registered 2022-11-16)Nov 9, 2022 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address