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CRD 14455
SAINT PAUL, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| Gilbert Chavez Melgoza | n/a | San Carlos, CA | Pacifica, CA | 25 | 33 | n/a | yes |
| Roberto Salazar | n/a | Glendale, CA | 25 | 30 | n/a | yes |
| Brandon Scott Kelly | Certified Financial Planner | Tustin, CA | 24 | 28 | n/a | yes |
| Brandon Stuart Linster | n/a | Encinitas, CA | 24 | 27 | n/a | yes |
| Wendy L Wong | n/a | San Francisco, CA | 23 | 26 | n/a | yes |
| Joice Victoria Lee | n/a | San Francisco, CA | 22 | 28 | n/a | yes |
| Andrew Tung Tran | n/a | Huntington Beach, CA | Westminster, CA | 21 | 28 | 2 | yes |
| Yekaterina Tervinsky | n/a | Beverly Hills, CA | 19 | 22 | 1 | yes |
| Marvin Kang | n/a | Irvine, CA | Tustin, CA | 19 | 22 | 1 | yes |
| Jennifer Ho-Chung Jung | n/a | Glendale, CA | Studio City, CA | 19 | 21 | 1 | yes |
| Edward Eugene Herrera | n/a | Los Angeles, CA | Beverly Hills, CA | 19 | 22 | 1 | yes |
| Roger Romero Szendrey | n/a | Irvine, CA | Rolling Hills Estates, CA | 18 | 29 | 3 | yes |
| Patricia Marie Schlee | n/a | Glendale, CA | Woodland Hills, CA | 18 | 33 | n/a | yes |
| Juan Gabriel Villavicencio | n/a | Glendale, CA | 18 | 30 | n/a | yes |
| Steven Craig Baumhoff | n/a | San Francisco, CA | 18 | 26 | n/a | yes |
| Daniel Cesar Caneva | n/a | Glendale, CA | 18 | 36 | 2 | yes |
| Damian Siegfried Mossbarger | n/a | Tustin, CA | 17 | 27 | 1 | yes |
| Michael Steven Padilla | n/a | Los Angeles, CA | Santa Monica, CA | 17 | 33 | 2 | yes |
| Darlene Flores Swatik | Certified Financial Planner|Chartered Financial Consultant | Torrance, CA | 17 | 25 | 3 | yes |
| Sharon Donna Azgour | n/a | Montebello, CA | Los Angeles, CA | 17 | 30 | 1 | yes |
| Serpouhi Susan Karamanoukian | n/a | Glendale, CA | 16 | 21 | 2 | yes |
| William Richard Nolan | n/a | Brea, CA | Buena Park, CA | Villa Park, CA | Yorba Linda, CA | 16 | 32 | n/a | yes |
| Claudia Mata | n/a | Coronado, CA | San Ysidro, CA | San Diego, CA | National City, CA | Chula Vista, CA | 16 | 21 | 1 | yes |
| Ronald Lawrence Rigsby | n/a | Cerritos, CA | Lakewood, CA | Buena Park, CA | Fullerton, CA | 16 | 29 | 3 | yes |
| Evan Fredrick Seibly | Certified Financial Planner | Glendale, CA | 16 | 18 | 2 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ARIAS, CARLOS ALONSO | Manager | Na | yes | 02/2026 | Jul 31, 2026 | Jul 31, 2026 |
| BEJASA, EILEEN | Manager | Na | yes | 02/2026 | Jul 31, 2026 | Jul 31, 2026 |
| FERGUSON, KIMBERLY NICOLE | Manager | Na | yes | 02/2026 | Jul 31, 2026 | Jul 31, 2026 |
| FLOUM, JOEL IRA | Manager | Na | yes | 02/2026 | Jul 31, 2026 | Jul 31, 2026 |
| MENACHER, EILEEN RENEE | Manager | Na | yes | 02/2026 | Jul 31, 2026 | Jul 31, 2026 |
| ROLLAND, JODI THOMPSON | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | Na | yes | 02/2026 | Jul 31, 2026 | Jul 31, 2026 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER AND MANAGER | Na | yes | 02/2026 | Jul 31, 2026 | Jul 31, 2026 |
| STEINER, STEPHEN WARD | CHIEF OPERATIONS OFFICER AND MANAGER | Na | yes | 02/2026 | Jul 31, 2026 | Jul 31, 2026 |
| TRIPLETT, SHANE T | MANAGER AND MANAGER | Na | yes | 02/2026 | Jul 31, 2026 | Jul 31, 2026 |
| CANEVA, DANIEL CESAR | PRESIDENT/CEO & CHIEF OPERATIONS OFFICER | Na | yes | 05/2024 | Feb 2, 2012 | Jun 10, 2024 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | Na | yes | 05/2023 | Jun 9, 2023 | Jun 10, 2024 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | Na | yes | 07/2023 | Jul 21, 2023 | Jun 10, 2024 |
| KONKOL, MILAN | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2000 | Feb 2, 2012 | Jun 10, 2024 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | Na | yes | 02/2024 | Mar 29, 2024 | Jun 10, 2024 |
| U.S. BANCORP | SOLE MEMBER | E | yes | 06/2023 | Dec 22, 2022 | Jun 10, 2024 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | Na | no | 02/2026 | Jul 31, 2026 | Jul 31, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| U.S. BANCORP INVESTMENTS, INC. | n/a | Former SEC adviser | $23B | N | yes | n/a |
| U.S. BANK NATIONAL ASSOCIATION | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Tempe | Az | United States | 19 | yes |
| SAN FRANCISCO | CA | United States | 7 | yes |
| Glendale | CA | United States | 6 | yes |
| BEVERLY HILLS | CA | United States | 4 | yes |
| Irvine | CA | United States | 4 | yes |
| PALM DESERT | CA | United States | 4 | yes |
| SAN DIEGO | CA | United States | 4 | yes |
| Tustin | CA | United States | 4 | yes |
| CHULA VISTA | CA | United States | 3 | yes |
| CHULA VISTA | CA | United States | 3 | yes |
| CHULA VISTA | CA | United States | 3 | yes |
| Coronado | CA | United States | 3 | yes |
| Glendora | CA | United States | 3 | yes |
| Irvine | CA | United States | 3 | yes |
| NATIONAL CITY | CA | United States | 3 | yes |
| Tustin | CA | United States | 3 | yes |
| Seattle | Wa | United States | 3 | yes |
| BEVERLY HILLS | CA | United States | 2 | yes |
| CITY OF INDUSTRY | CA | United States | 2 | yes |
| COSTA MESA | CA | United States | 2 | yes |
| GARDEN GROVE | CA | United States | 2 | yes |
| Gardena | CA | United States | 2 | yes |
| HUNTINGTON BEACH | CA | United States | 2 | yes |
| Irvine | CA | United States | 2 | yes |
| LAGUNA HILLS | CA | United States | 2 | yes |
| Lakewood | CA | United States | 2 | yes |
| LOS ANGELES | CA | United States | 2 | yes |
| LOS ANGELES | CA | United States | 2 | yes |
| MANHATTAN BEACH | CA | United States | 2 | yes |
| NEWPORT BEACH | CA | United States | 2 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $1.8B | $1.7B | 379 | 141 | 174 | n/a | n/a |
| 2024 | Apr 4, 2025 | $1.5B | $1.4B | 244 | 126 | 147 | n/a | n/a |
| 2023 | Mar 29, 2024 | $1.4B | $1.3B | 238 | 133 | 203 | n/a | n/a |
| 2022 | Mar 31, 2023 | $1.5B | $1.4B | 388 | 179 | 203 | n/a | n/a |
| 2021 | Mar 30, 2022 | $1.9B | $1.8B | 391 | 203 | 203 | n/a | n/a |
| 2020 | Mar 29, 2021 | $1.7B | $1.6B | 424 | 223 | 347 | n/a | n/a |
| 2019 | Mar 30, 2020 | $1.6B | $1.5B | 478 | 248 | 347 | n/a | n/a |
| 2018 | Mar 29, 2019 | $1.3B | $1.1B | 581 | 285 | 347 | n/a | n/a |
| 2017 | Mar 30, 2018 | $1.2B | $1.0B | 634 | 132 | 347 | n/a | n/a |
| 2016 | Mar 30, 2017 | $868M | $722M | 622 | 124 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $773M | $635M | 601 | 115 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | $758M | $630M | 656 | 285 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $662M | $574M | 751 | 125 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $553M | $538M | 728 | 132 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $320M | $320M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 78 | 33 | 45 | 2.8% | 30 | 10 | 0 | 109 | 57 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.8B | $1.5B | 18.4% | $1.5B | 6.8% | 379 | 244 | 174 | 147 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| U.S. BANCORP INVESTMENTS, INC. | 3 | Nov 4, 2024 | Nov 5, 2024 | PHOENIX, AZ | Team lift out | Ibd to ibd | 2.8% |
| LPL FINANCIAL LLC | 3 | Nov 4, 2024 | Oct 31, 2024 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 2.8% |
| U.S. BANCORP INVESTMENTS, INC. | 39 | May 31, 2023 | Feb 18, 2025 | SAN FRANCISCO, CA | Team lift out | Ibd to ibd | 27.1% |
| U.S. BANCORP INVESTMENTS, INC. | 2 | May 31, 2023 | Jun 2, 2023 | BELLEVUE, WA | Team lift out | Ibd to ibd | 1.4% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Feb 8, 2023 | Jan 27, 2023 | SUNNYVALE, CA | Team lift out | Ibd to wirehouse | 1.3% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Jun 29, 2022 | Oct 25, 2022 | TUSTIN, CA | Team lift out | Ibd to wirehouse | 1.3% |
| MORGAN STANLEY | 2 | May 6, 2022 | Apr 29, 2022 | SAN JOSE, CA | Team lift out | Ibd to wirehouse | 1.3% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Apr 19, 2022 | Jun 6, 2022 | THOUSAND OAKS, CA | Team lift out | Ibd to wirehouse | 1.3% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Jul 6, 2021 | Oct 24, 2022 | CARLSBAD, CA | Team lift out | Ibd to wirehouse | 1.3% |
| RAYMOND JAMES & ASSOCIATES, INC. | 2 | Mar 11, 2021 | Mar 4, 2021 | MORGAN HILL, CA | Team lift out | Ibd to ibd | 1.3% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Feb 4, 2021 | Feb 2, 2021 | TORRANCE, CA | Team lift out | Ibd to wirehouse | 1.2% |
| LPL FINANCIAL LLC | 2 | Dec 1, 2020 | May 21, 2021 | LOS ANGELES, CA | Team lift out | Ibd to ibd | 1.2% |
| LPL FINANCIAL LLC | 2 | Aug 19, 2020 | Sep 28, 2020 | CHINO HILLS, CA | Team lift out | Ibd to ibd | 1.1% |
| LPL FINANCIAL LLC | 4 | Jul 8, 2020 | Jun 26, 2020 | RAMONA, CA | Team lift out | Ibd to ibd | 2.2% |
| MORGAN STANLEY | 2 | Feb 27, 2020 | Feb 21, 2020 | SAN DIEGO, CA | Team lift out | Ibd to wirehouse | 1.1% |
| U.S. BANCORP INVESTMENTS, INC. | 3 | Apr 4, 2019 | May 16, 2019 | ARTESIA, CA | Team lift out | Ibd to ibd | 1.5% |
| LPL FINANCIAL LLC | 4 | Apr 4, 2019 | Nov 13, 2019 | LAJOLLA, CA | Team lift out | Ibd to RIA | 2.0% |
| RBC SECURITIES, INC. | 2 | Jan 3, 2019 | Jan 16, 2019 | SAN DIEGO, CA | Team lift out | Ibd to RIA | 1.0% |
| U.S. BANCORP INVESTMENTS, INC. | 3 | Oct 3, 2018 | Nov 8, 2018 | WOODLAND HILLS, CA | Team lift out | Ibd to ibd | 1.4% |
| RBC SECURITIES, INC. | 3 | Mar 12, 2018 | Mar 20, 2018 | MISSION VIEJO, CA | Team lift out | Ibd to RIA | 1.5% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | 2 | May 25, 2026 | Jun 16, 2026 | WAYZATA, MN | Team lift out | Wirehouse to ibd | 0.0% |
| U.S. BANCORP INVESTMENTS, INC. | 7 | Apr 7, 2026 | Mar 18, 2026 | WOODBURY, MN | Firm absorbed | Ibd to ibd | 70.0% |
| J.P. MORGAN SECURITIES LLC | 2 | May 26, 2025 | Jun 9, 2025 | LONG BEACH, CA | Team lift out | Wirehouse to ibd | 0.0% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Feb 4, 2025 | Feb 6, 2025 | LOS ANGELES, CA | Team lift out | Wirehouse to ibd | 0.0% |
| WELLS FARGO ADVISORS | 2 | Feb 24, 2022 | Mar 3, 2022 | WOODLAND HILLS, CA | Team lift out | Wirehouse to ibd | 0.0% |
| CHARLES SCHWAB & CO., INC. | 2 | Jun 21, 2021 | Nov 8, 2021 | PHOENIX, AZ | Team lift out | Ibd to ibd | 0.1% |
| U.S. BANCORP INVESTMENTS, INC. | 2 | Mar 25, 2019 | Jul 10, 2019 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 0.3% |
| J.P. MORGAN SECURITIES LLC | 2 | Jan 25, 2017 | Jan 25, 2017 | SAN FRANCISCO, CA | Team lift out | Other | 0.0% |
| J.P. MORGAN SECURITIES LLC | 2 | Jun 13, 2016 | Jun 20, 2016 | ENCINITAS, CA | Team lift out | Other | 0.1% |
| CITIGROUP GLOBAL MARKETS INC. | 2 | May 7, 2015 | May 4, 2015 | WESTWOOD, CA | Team lift out | Other | 0.3% |