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

Brian Ray Pond

U.S. Bancorp Advisors, LLCBD affiliatedTempe, Az dual registrantIAPD 2361659

Feed of 09/15/2026

Also filed as Brian Ray Pond

At current firm

0 y

since Feb 13, 2026

In the industry

22 y

since Apr 8, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U.S. Bancorp Advisors, LLC BD affiliated current
since Feb 13, 2026 · Tempe, Az
U.S. Bancorp Investments, Inc. former
Nov 5, 2024 to Feb 13, 2026 · Tempe, Az
U.S. Bancorp Advisors, LLC BD affiliated
Sep 26, 2023 to Nov 4, 2024 · Tempe, Az
LPL Financial LLC BD affiliated
Jul 19, 2023 to Sep 26, 2023 · Tempe, Az
Bancwest Investment Services, Inc. (Bwis) former
Aug 29, 2019 to Jul 19, 2023 · Tempe, Az
MML Investors Services, LLC BD affiliated
Jun 22, 2018 to Jul 29, 2019 · Madison, Wi
Strategic Advisers LLC national BD
May 22, 2017 to May 18, 2018 · Middleton, Wi
LPL Financial LLC BD affiliated
Oct 13, 2009 to Oct 11, 2016 · Rockford, Il
Edward Jones national BD
Feb 7, 2007 to Oct 1, 2009 · Rockford, Il

Moves

a registration end followed by a registration begin elsewhere

U.S. Bancorp Investments, Inc. to U.S. Bancorp Advisors, LLC
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
U.S. Bancorp Advisors, LLC to U.S. Bancorp Investments, Inc.
left Nov 4, 2024, registered Nov 5, 2024 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
LPL Financial LLC to U.S. Bancorp Advisors, LLC
left Sep 26, 2023, registered Sep 26, 2023 (0 days) · Affiliated broker-dealer or bank to another
Bancwest Investment Services, Inc. (Bwis) to LPL Financial LLC
left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
MML Investors Services, LLC to Bancwest Investment Services, Inc. (Bwis)
left Jul 29, 2019, registered Aug 29, 2019 (31 days) · Affiliated broker-dealer or bank to another
Strategic Advisers LLC to MML Investors Services, LLC
left May 18, 2018, registered Jun 22, 2018 (35 days) · Affiliated broker-dealer or bank to another
LPL Financial LLC to Strategic Advisers LLC
left Oct 11, 2016, registered May 22, 2017 (223 days) · Other
Edward Jones to LPL Financial LLC
left Oct 1, 2009, registered Oct 13, 2009 (12 days) · Other

Signals

Brian Ray Pond left U.S. Bancorp Advisors, Llc for U.S. Bancorp Investments, Inc. (registered 2024-11-05)
Nov 4, 2024 · Advisor changed firm · fact
Brian Ray Pond left Lpl Financial Llc for U.S. Bancorp Advisors, Llc (registered 2023-09-26)
Sep 26, 2023 · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address