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
Thomas George Lockmund
Feed of 09/14/2026
Also filed as Tom Lockmund
At current firm
5 y
since Mar 13, 2021
In the industry
29 y
since Sep 19, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Silver Oak Securities, Inc. BD affiliated currentsince Mar 13, 2021 · Floyds Knob, In
- Osaic Wealth, Inc. BD affiliatedOct 16, 2017 to Feb 12, 2021 · New Albany, In
- National Planning Corporation ("Npc Of America" In Fl & Ny) formerOct 31, 2007 to Oct 20, 2017 · Evansville, In
- American General Securities Incorporated unclassifiedMar 11, 2002 to Nov 1, 2007 · New Albany, In
Moves
a registration end followed by a registration begin elsewhere
- Osaic Wealth, Inc. to Silver Oak Securities, Inc.left Feb 12, 2021, registered Mar 13, 2021 (29 days) · Affiliated broker-dealer or bank to another
- National Planning Corporation ("Npc Of America" In Fl & Ny) to Osaic Wealth, Inc.left Oct 20, 2017, registered Oct 16, 2017 (-4 days) · Other
- American General Securities Incorporated to National Planning Corporation ("Npc Of America" In Fl & Ny)left Nov 1, 2007, registered Oct 31, 2007 (-1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address