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

Connor Joseph Farley

U.S. Bancorp Advisors, LLCBD affiliatedMinneapolis, Mn dual registrantIAPD 7460268

Feed of 09/14/2026

At current firm

0 y

since Feb 13, 2026

In the industry

10 y

since May 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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 · Minneapolis, Mn
U.S. Bancorp Investments, Inc. former
Oct 22, 2025 to Feb 13, 2026 · Edina, Mn
Cfg Retirement independent RIA
Mar 28, 2025 to Aug 11, 2025 · Edina, Mn
Cetera Investment Advisers LLC BD affiliated
Aug 20, 2024 to Mar 4, 2025 · St Cloud, Mn
Alliancebernstein L.P. other
Jan 19, 2024 to Aug 19, 2024 · Minneapolis, Mn

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
Cfg Retirement to U.S. Bancorp Investments, Inc.
left Aug 11, 2025, registered Oct 22, 2025 (72 days) · RIA to affiliated broker-dealer or bank
Cetera Investment Advisers LLC to Cfg Retirement
left Mar 4, 2025, registered Mar 28, 2025 (24 days) · Affiliated broker-dealer or bank to independent RIA
Alliancebernstein L.P. to Cetera Investment Advisers LLC
left Aug 19, 2024, registered Aug 20, 2024 (1 days) · Other

Signals

Connor Joseph Farley left Cfg Retirement for U.S. Bancorp Investments, Inc. (registered 2025-10-22)
Aug 11, 2025 · Advisor changed firm · fact
Connor Joseph Farley left Cetera Investment Advisers Llc for Cfg Retirement (registered 2025-03-28)
Mar 4, 2025 · Advisor changed firm · fact
Connor Joseph Farley left Alliancebernstein L.P. for Cetera Investment Advisers Llc (registered 2024-08-20)
Aug 19, 2024 · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address