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
Luke F Baum
Certified Financial Planner
Feed of 09/14/2026
Also filed as Luke Flagg Baum
At current firm
1 y
since Mar 31, 2025
In the industry
35 y
since Apr 22, 1991 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Strategic Advisers LLC national BD currentsince Mar 31, 2025 · Shaker Heights, Oh
- Fidelity Personal And Workplace Advisors formerMar 25, 2022 to Mar 31, 2025 · Shaker Heights, Oh
- Kingswood Wealth Advisors, LLC BD affiliatedJan 19, 2022 to Feb 7, 2022 · San Diego, Ca
- Cl Wealth Management LLC independent RIANov 14, 2019 to Mar 17, 2020 · Shaker Heights, Oh
- Cbiz Wealth Management, LLC unclassifiedJun 3, 2010 to Jun 15, 2011 · Cleveland, Oh
- Cbiz Retirement Plan Advisory Services institutionalAug 23, 2005 to Dec 7, 2017 · Cumberland, Md
- Assetmark, Inc. BD affiliatedAug 4, 2004 to Aug 19, 2005 · Chicago, Il
- Vestax Securities Corporation unclassifiedMay 10, 2002 to Dec 31, 2003 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- Kingswood Wealth Advisors, LLC to Fidelity Personal And Workplace Advisorsleft Feb 7, 2022, registered Mar 25, 2022 (46 days) · RIA to affiliated broker-dealer or bank
- Cl Wealth Management LLC to Kingswood Wealth Advisors, LLCleft Mar 17, 2020, registered Jan 19, 2022 (673 days) · Affiliated broker-dealer or bank to independent RIA
- Cbiz Retirement Plan Advisory Services to Cbiz Wealth Management, LLCleft Dec 7, 2017, registered Jun 3, 2010 (-2744 days) · Other
- Cbiz Wealth Management, LLC to Cl Wealth Management LLCleft Jun 15, 2011, registered Nov 14, 2019 (3074 days) · Other
- Assetmark, Inc. to Cbiz Retirement Plan Advisory Servicesleft Aug 19, 2005, registered Aug 23, 2005 (4 days) · Other
- Vestax Securities Corporation to Assetmark, Inc.left Dec 31, 2003, registered Aug 4, 2004 (217 days) · Other
Signals
- Luke F Baum left Kingswood Wealth Advisors, Llc for Fidelity Personal And Workplace Advisors (registered 2022-03-25)Feb 7, 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address