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.
SEC-registered adviser
USA Financial Securities LLC
Latest filing Mar 27, 2026
First filing on the tape Mar 14, 2012 · 39 filings
SEC status approved since Aug 24, 2007
RAUM
$297M
reported, Item 5.F
Discretionary
69%
of RAUM
Private clients
98%
$291M individuals and HNW
Advisors
128
registered through the firm on IAPD
RAUM per advisor
$2.3M
derived; firm RAUM over IAPD count
Employees
172
134 advisory (5.B.1)
Offices
100
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$297M as of Mar 27, 2026
Mar 14, 2012$65.1M then
HNW client RAUM$79.4M as of Mar 27, 2026
Mar 29, 2018$13.7M then
State-registered IARs (5.B.3)134 as of Mar 27, 2026
Mar 28, 201390 then
Employees (5.A)172 as of Mar 27, 2026
Mar 28, 201390 then
Private funds: no history
RAUM -1.7% over the last fiscal year+9.9% a year over threeIARs 141 to 134offices 126 to 100
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $2.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $193,921derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 69%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived101 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -28%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $297MreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$212M71%
- High-net-worth individuals$79.4M27%
- Corporations and businesses$5.2M1.7%
- Individual clients
- 1,185reported
- HNW clients
- 53reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,529reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $297M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=152.0derived
Advisors registered through the firm
128 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Scott Dum | Mandeville, La | Aug 29, 2002 | 36 y | 0 |
| Michael David Walters | Grand Rapids, Mi | May 21, 2004 | 31 y | 0 |
| Yong WangCertified Financial Planner, Chartered Financial Consultant | Ada, Mi | Jan 3, 2005 | 28 y | 1 |
| Matthew Robert Hoogterp | Ada, Mi | Jan 27, 2005 | 26 y | 0 |
| Brent David Enders | Ada, Mi | Mar 2, 2005 | 29 y | 0 |
| James Berthelot YentChartered Financial Consultant, Chartered Financial Analyst | Ada, Mi | Oct 10, 2006 | 23 y | 0 |
| William Joseph Lacasse | Ada, Mi | Dec 4, 2006 | 37 y | 1 |
| Bruce Allen Wisler | Ada, Mi | Mar 20, 2007 | 26 y | 3 |
| Gerald Best Hanifan | West Jefferson, Nc | Mar 27, 2007 | 34 y | 1 |
| Michael James Alexander | Ada, Mi | May 15, 2007 | 26 y | 0 |
| Daniel Steven Welp | Ada, Mi | May 29, 2007 | 26 y | 0 |
| Steven Grant Keeton | Rogue River, Or | May 31, 2007 | 39 y | 0 |
| Robert Andrew Wolf | Ada, Mi | Aug 6, 2008 | 31 y | 0 |
| Teresa Diane YentChartered Financial Consultant | Ada, Mi | Oct 15, 2008 | 29 y | 0 |
| Jeffrey Earl BushChartered Financial Consultant | Ada, Mi | Oct 16, 2008 | 31 y | 0 |
| Peter Michael Petruso | Ada, Mi | Oct 17, 2008 | 46 y | 0 |
| Jason David Sustar | Ada, Mi | Nov 26, 2008 | 26 y | 0 |
| David Lee Greene | Ada, Mi | Mar 26, 2009 | 30 y | 1 |
| Andrew James Paladino | Ada, Mi | Sep 22, 2009 | 32 y | 3 |
| Donald Wayne CoplinCertified Financial Planner, Chartered Financial Consultant | Ada, Mi | Feb 1, 2010 | 43 y | 3 |
| Craig Jay Watkins | Shingle Springs, Ca | Jun 16, 2010 | 33 y | 2 |
| Millard Lee Stewart | Ada, Mi | Jul 15, 2010 | 38 y | 2 |
| Andrew Blair Howard | Grand Rapids, Mi | Sep 22, 2010 | 44 y | 0 |
| Mark Robert Mersman | Ada, Mi | Nov 9, 2010 | 22 y | 0 |
| Seth Andrew Baker | Chambersburg, Pa | Dec 8, 2011 | 19 y | 1 |
| Wayne J Hentrup | Ada, Mi | Feb 2, 2012 | 15 y | 0 |
| Kevin Theodore Roskam | Ada, Mi | Aug 13, 2012 | 23 y | 0 |
| James Franklin Johnson | Pawleys Island, Sc | Jan 30, 2013 | 43 y | 2 |
| David Lee CobbChartered Financial Consultant | Belmont, Mi | Jan 31, 2013 | 21 y | 2 |
| Cheri Lynn Johnson | Gig Harbor, Wa | Mar 7, 2013 | 29 y | 4 |
| Michael Eric Frantz | Ada, Mi | Apr 24, 2014 | 23 y | 1 |
| Andrew Robert Kayla | Florence, Ms | May 1, 2014 | 27 y | 2 |
| Melissa Anne Carlon | Ada, Mi | Dec 2, 2014 | 18 y | 0 |
| Clifton Howard Sparrow | Reynoldsburg, Oh | Feb 3, 2015 | 32 y | 2 |
| David Randall Barnes | Ada, Mi | Feb 25, 2015 | 23 y | 2 |
| Troy Chatterton | Rockland, Ma | Apr 27, 2015 | 30 y | 2 |
| Elissa Louise Beimal | Ada, Mi | Jun 18, 2015 | 17 y | 3 |
| Samuel B Harvey | Connersville, In | Jul 29, 2015 | 16 y | 1 |
| Shannon E LarosseCertified Financial Planner, Chartered Financial Consultant | Norristown, Pa | Oct 2, 2015 | 13 y | 0 |
| Kaleb Robuck | Red Oak, Ia | May 13, 2016 | 11 y | 1 |
Advisor movement
6 left, 12 joined in 12 months
net +6 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 4.7% of current headcount29 left over 36 months
Left, latest
- Michael Barry Smolko to Raymond James Financial Services Advisors, IncMay 4, 2026 · RIA to affiliated broker-dealer or bank
- Elizabeth K Williams to Clear Creek Financial Management, LLCJan 28, 2026 · RIA to RIA
- Timothy Ray Smith to American Independent Securities Group, LLCDec 19, 2025 · RIA to RIA
- Erica Bearer to Ameriprise Financial Services, LLCDec 16, 2025 · RIA to affiliated broker-dealer or bank
- John Allen Cindia to Ameriprise Financial Services, LLCOct 28, 2025 · RIA to affiliated broker-dealer or bank
- Kevin Jordan Campbell to Raymond James Financial Services Advisors, IncOct 24, 2025 · RIA to affiliated broker-dealer or bank
- Keagan W Rushmore to J. W. Cole Advisors, Inc.Sep 8, 2025 · RIA to affiliated broker-dealer or bank
- Charles Delbert Rushmore to J. W. Cole Advisors, Inc.Sep 8, 2025 · RIA to affiliated broker-dealer or bank
- Douglas Carlton Bryan to Simplicity WealthJul 30, 2025 · RIA to RIA
- Matthew Thomas Effinger to LPL Financial LLCJun 24, 2025 · RIA to affiliated broker-dealer or bank
- Kathy Lynne Colby to LPL Financial LLCApr 25, 2025 · RIA to affiliated broker-dealer or bank
- Joseph Anthony Green to Ameriprise Financial Services, LLCMar 10, 2025 · RIA to affiliated broker-dealer or bank
- Thomas Cole to LPL Financial LLCFeb 24, 2025 · RIA to affiliated broker-dealer or bank
- Scot Bradley Landborg to Commonwealth Financial NetworkFeb 12, 2025 · RIA to affiliated broker-dealer or bank
- Ledell Johnson to Ji Financial Services, LLCJan 2, 2025 · RIA to a state-registered adviser
Joined, latest
- Wesley Christopher Reed from J. W. Cole Advisors, Inc.Aug 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- Adam David Storbakken from Osaic Wealth, Inc.Jul 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- Adam Chambers from Osaic Wealth, Inc.Apr 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- Todd Hayworth from Tlg Advisors, Inc.Mar 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- Saundra Hudspeth from Ip Financial Advisory Services LLCFeb 23, 2026 · RIA to RIA
- Pamela Marie Echegaray from Tlg Advisors, Inc.Feb 19, 2026 · Affiliated broker-dealer or bank to independent RIA
- Aaron Burtzel from Tlg Advisors, Inc.Jan 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- Diana Michele Groh from Tlg Advisors, Inc.Jan 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- Brian Kunkel from Tlg Advisors, Inc.Jan 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- Richard Nettuno from Tlg Advisors, Inc.Jan 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- Eric Dixon Loaiza from Tlg Advisors, Inc.Jan 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- Justin Heath Waddington from Tlg Advisors, Inc.Jan 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- Michael Starr Caputo from Stonex Advisors Inc.Jul 23, 2024 · Affiliated broker-dealer or bank to independent RIA
- Jason Aaron Towles from Wells Fargo AdvisorsJan 2, 2024 · Wirehouse to independent RIA
- Scott Michael Hilliard from Foundations Investment Advisors LLCOct 2, 2023 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for J. W. Cole Advisors, Inc.Sep 8, 2025 · Grand Rapids, Mi
- 6 left for Kestra Advisory Services, LLCNov 27, 2023 · Fort Wayne, In
- 6 left for Centaurus Financial, Inc.Jan 20, 2023 · Tomball, Tx
- 4 left for Creativeone Wealth, LLCDec 15, 2022 · Traverse City, Mi
- 2 left for Hartwell & CompanyOct 12, 2022 · St Joseph, Mi
- 3 left for Strategic Financial Group, L.L.C.Jan 7, 2022 · Grand Rapids, Mi
- 2 left for H. Beck, Inc.Dec 1, 2020 · San Jose, Ca
- 2 left for Gradient Advisors, LLCApr 1, 2020 · Ada, Mi
- 4 joined from Tlg Advisors, Inc.Dec 31, 2025 · Minneapolis, Mn
- 2 joined from Tlg Advisors, Inc.Dec 31, 2025 · Summit, Nj
- 3 joined from Voya Financial Advisors, Inc.Aug 14, 2018 · Bridgeport, Wv
- 4 joined from Shelton Financial Group, Inc.Feb 12, 2018 · Fort Wayne, In · Firm absorbed
- 2 joined from Invest Financial CorporationNov 17, 2017 · Sun City West, Az
- 7 joined from National Planning Corporation ("Npc Of America" In Fl & Ny)Oct 18, 2017 · Tomball, Tx
- 5 joined from United Planners' Financial Services Of America A Limited PartnerDec 31, 2016 · Pompton Plains, Nj
- 2 joined from United Planners' Financial Services Of America A Limited PartnerDec 12, 2016 · Pompton Plains, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- William Clayton Bachert · Chief Financial Officer/Financial Operations Principal (Primary)/Municipal Principal/Directorcontrolsince 06/2006 · owns less than 5%
- Brent David Enders · President/Director/Trustee Of Brent D. Enders Trust U/A Dtd 06/17/2004controlsince 08/2005 · owns less than 5%
- James Carroll Jr Mcconnell · Chief Operations Officercontrolsince 11/2021 · owns less than 5%
- Mark Robert Mersman · Chief Marketing Officercontrolsince 10/2012 · owns less than 5%
- Dawn M Thomason · Chief Compliance Officercontrolsince 08/2022 · owns less than 5%
- Michael David Walters · Chairman Of The Board/Chief Executive Officer/Director/Trustee Of The Michael D. Walters Trust U/A Dtd 3/13/1996controlsince 02/1998 · owns less than 5%
Entity owners
- USA Financial LLC · Ownerdirect · owns 75% or more
- Accelerate Buyer LLC · Memberindirect · owns 75% or more of Amerilife Holdings LLC
- Accelerate Intermediate Holdings 1 LLC · Memberindirect · owns 75% or more of Accelerate Buyer LLC
- Accelerate Intermediate Holdings 2 LLC · Memberindirect · owns 75% or more of Accelerte Intermediate Holdings 1 LLC
- Accelerate Topco Holdings LLC · Memberindirect · owns 75% or more of Accelerate Intermediate Holdings 2 LLC
- Al Marketing LLC · Memberindirect · owns 75% or more of USA Financial LLC
- Amerilife Blocker Holdings LLC · Memberindirect · owns 25% to 50% of Accelerate Topco Holdings LLC
- Amerilife Group LLC · Memberindirect · owns 75% or more of Al Marketing LLC
- Amerilife Holdings LLC · Memberindirect · owns 75% or more of Amerilife Midco LLC
- Amerilife Midco LLC · Memberindirect · owns 75% or more of Amerilife Group LLC
- Gc Propel Aggregator Gp LLC · General Partnerindirect · owns F of Gc Propel Aggregator LP
- Gc Propel Aggregator LP · Shareholderindirect · owns 25% to 50% of Gc Propel Holdings Inc
- Gc Propel Holdings Inc · Memberindirect · owns 25% to 50% of Accelerate Topco Holdings LLC
- Genstar Capital Partners X LP · Limited Partnerindirect · owns 50% to 75% of Gc Propel Aggregator LP
- Genstar Capital Partners X LP · Memberindirect · owns 75% or more of Gc Propel Aggregator Gp LLC
- Genstar Capital X LP · General Partnerindirect · owns F of Genstar Capital Partners X LP
- Genstar X Gp LLC · General Partnerindirect · owns F of Genstar Capital X LP
- Icg Holiday Partners I LP · Limited Partnerindirect · owns 75% or more of Thl Blocked Buyer Feeder LP
- Thl Al Blocked Buyer Feeder LP · Limited Partnerindirect · owns 75% or more of Thl Amerilife Parallel Svp LP
- Thl Amerilife Equity Advisors LLC · General Partnerindirect · owns F of Thl Amerilife Parallel Svp LP
Related persons
Schedule D 7.A
- USA Financial Exchange Corporationinvestment advisern
- USA Financial Formulas Corporationinvestment advisernRAUM $534M
- USA Financial Insurance Services Corporationreal estaten
Advisers that list USA Financial Securities LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ada, Mi · principal | 127 | 17 | 1 | ||
| Saint Joseph, Mi | 6 | 1 | 0 | ||
| St Joseph, Mi | 6 | 1 | 0 | ||
| Osage Beach, Mo | 5 | 1 | 0 | ||
| Minneapolis, Mn | 5 | 5 | 0 | ||
| Oakland, Ia | 4 | 0 | 0 | ||
| Grand Rapids, Mi | 4 | 1 | 0 | ||
| Red Oak, Ia | 4 | 0 | 0 | ||
| Allentown, Pa | 3 | 0 | 0 | ||
| Bridgeport, Wv | 3 | 0 | 0 | ||
| Clearwater, Fl | 3 | 2 | 0 | ||
| Erie, Pa | 3 | 0 | 0 | ||
| Lees Summit, Mo | 3 | 1 | 0 | ||
| Norristown, Pa | 3 | 0 | 0 | ||
| Omaha, Ne | 3 | 0 | 0 | ||
| Pottstown, Pa | 3 | 0 | 0 | ||
| Raleigh, Nc | 3 | 0 | 0 | ||
| Wyomissing, Pa | 3 | 0 | 0 | ||
| Birmingham, Al | 2 | 0 | 0 | ||
| Bangor, Me | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- St Joseph, MI6 employees
- Bridgeport, WV3 employees
- Erie, PA3 employees
- Grand Rapids, MI2 employees
- Norristown, PA2 employees
- Raleigh, NC2 employees
- Osage Beach, MO2 employees
- Westerville, OH2 employees
- Homer Glen, IL2 employees
- Evansville, IN2 employees
- Bangor, ME2 employees
- Puyallup, WA2 employees
- Republic, MO2 employees
- Meridian, ID2 employees
- Poulsbo, WA2 employees
- Tustin, CA2 employees
- Grand Rapids, MI2 employees
- , 1 employees
- Belmont, MI1 employees
- Shingle Springs, CA1 employees
- Lansing, MI1 employees
- Timonium, MD1 employees
- Red Oak, IA1 employees
- Chambersburg, PA1 employees
- Troy, MI1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $301,510,438 to $296,504,775, advisors 141 to 134, private clients 1731 to 1238, offices 126 to 100 (2025-03-27 to 2026-03-27)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,750 to 1,529Sep 22, 2025 to Mar 27, 2026
- Advisory employees · 141 to 134Sep 22, 2025 to Mar 27, 2026
- BD registered reps · 147 to 152Sep 22, 2025 to Mar 27, 2026
- Business name · USA FINANCIAL SECURITIES CORPORATION to USA FINANCIAL SECURITIES LLCSep 22, 2025 to Mar 27, 2026
- Corporate clients · 19 to 8Sep 22, 2025 to Mar 27, 2026
- HNW clients · 45 to 53Sep 22, 2025 to Mar 27, 2026
- Individual clients · 1,686 to 1,185Sep 22, 2025 to Mar 27, 2026
- Employees · 166 to 172Sep 22, 2025 to Mar 27, 2026
- State-registered IARs · 141 to 134Sep 22, 2025 to Mar 27, 2026
- Other offices · 126 to 100Sep 22, 2025 to Mar 27, 2026
- Discretionary RAUM · $196M to $205MSep 22, 2025 to Mar 27, 2026
- HNW RAUM · $79.3M to $79.4MSep 22, 2025 to Mar 27, 2026
- Individual RAUM · $213M to $212MSep 22, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $106M to $91.2MSep 22, 2025 to Mar 27, 2026
- RAUM · $302M to $297MSep 22, 2025 to Mar 27, 2026
- Wrap assets (sponsor) · $302M to $297MSep 22, 2025 to Mar 27, 2026
- Accounts · 1,395 to 1,750Sep 26, 2024 to Mar 27, 2025
- Corporate clients · 4 to 19Sep 26, 2024 to Mar 27, 2025
- HNW clients · 31 to 45Sep 26, 2024 to Mar 27, 2025
- Individual clients · 1,364 to 1,686Sep 26, 2024 to Mar 27, 2025
- Financial planning clients · 251-500 to 51-100Sep 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $174M to $196MSep 26, 2024 to Mar 27, 2025
- HNW RAUM · $48.9M to $79.3MSep 26, 2024 to Mar 27, 2025
- Individual RAUM · $219M to $213MSep 26, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $94.7M to $106MSep 26, 2024 to Mar 27, 2025
- RAUM · $269M to $302MSep 26, 2024 to Mar 27, 2025
- Wrap assets (sponsor) · $269M to $302MSep 26, 2024 to Mar 27, 2025
- Legal name · USA FINANCIAL SECURITIES CORPORATION to USA FINANCIAL SECURITIES LLCAug 16, 2024 to Aug 19, 2024
- Succession · true to falseAug 16, 2024 to Aug 19, 2024
- Organization form · Corporation to Limited Liability CompanyAug 15, 2024 to Aug 16, 2024
- Succession · false to trueAug 15, 2024 to Aug 16, 2024
- Accounts · 1,433 to 1,395Mar 31, 2023 to Mar 27, 2024
- Advisory employees · 143 to 141Mar 31, 2023 to Mar 27, 2024
- BD registered reps · 154 to 147Mar 31, 2023 to Mar 27, 2024
- Corporate clients · 10 to 4Mar 31, 2023 to Mar 27, 2024
- HNW clients · 24 to 31Mar 31, 2023 to Mar 27, 2024
- Individual clients · 2,499 to 1,364Mar 31, 2023 to Mar 27, 2024
- Financial planning clients · 101-250 to 251-500Mar 31, 2023 to Mar 27, 2024
- State-registered IARs · 143 to 141Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $141M to $174MMar 31, 2023 to Mar 27, 2024
Signals
60 dated events
- Jeffrey Scott Powell no longer holds an investment adviser registration (last listed at Usa Financial Securities Llc on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Michael Barry Smolko left Usa Financial Securities Llc for Raymond James Financial Services Advisors, Inc (registered 2026-05-04)May 4, 2026 · Advisor changed firm · fact
- Usa Financial Securities Llc reported 100 offices beyond its principal office, down from 126 (2025-09-22 to 2026-03-27)Mar 27, 2026 · Office count change · derived
- Elizabeth K Williams left Usa Financial Securities Llc for Clear Creek Financial Management, Llc (registered 2026-01-27)Jan 28, 2026 · Advisor changed firm · fact
- 3 advisors left Tlg Advisors, Inc. (Minneapolis, MN) for USA Financial Securities LLC on the same dayDec 31, 2025 · Team lift-out · derived
- 3 advisors left Tlg Advisors, Inc. (Summit, NJ) for USA Financial Securities LLC within 7 daysDec 31, 2025 · Team lift-out · derived
- Timothy Ray Smith left Usa Financial Securities Llc for American Independent Securities Group, Llc (registered 2026-03-30)Dec 19, 2025 · Advisor changed firm · fact
- Erica Bearer left Usa Financial Securities Llc for Ameriprise Financial Services, Llc (registered 2026-01-13)Dec 16, 2025 · Advisor changed firm · fact
- John Allen Cindia left Usa Financial Securities Llc for Ameriprise Financial Services, Llc (registered 2025-10-24)Oct 28, 2025 · Advisor changed firm · fact
- Kevin Jordan Campbell left Usa Financial Securities Llc for Raymond James Financial Services Advisors, Inc (registered 2025-10-23)Oct 24, 2025 · Advisor changed firm · fact
- Charles Delbert Rushmore left Usa Financial Securities Llc for J. W. Cole Advisors, Inc. (registered 2025-09-03)Sep 8, 2025 · Advisor changed firm · fact
- Keagan W Rushmore left Usa Financial Securities Llc for J. W. Cole Advisors, Inc. (registered 2025-09-03)Sep 8, 2025 · Advisor changed firm · fact
- 2 advisors left USA Financial Securities LLC (Grand Rapids, MI) for J. W. Cole Advisors, Inc. on the same daySep 8, 2025 · Team lift-out · derived
- Douglas Carlton Bryan left Usa Financial Securities Llc for Simplicity Wealth (registered 2025-08-20)Jul 30, 2025 · Advisor changed firm · fact
- Matthew Thomas Effinger left Usa Financial Securities Llc for Lpl Financial Llc (registered 2025-07-14)Jun 24, 2025 · Advisor changed firm · fact
- Kathy Lynne Colby left Usa Financial Securities Llc for Lpl Financial Llc (registered 2025-04-25)Apr 25, 2025 · Advisor changed firm · fact
- Joseph Anthony Green left Usa Financial Securities Llc for Ameriprise Financial Services, Llc (registered 2025-03-10)Mar 10, 2025 · Advisor changed firm · fact
- Thomas Cole left Usa Financial Securities Llc for Lpl Financial Llc (registered 2025-03-03)Feb 24, 2025 · Advisor changed firm · fact
- Scot Bradley Landborg left Usa Financial Securities Llc for Commonwealth Financial Network (registered 2025-02-03)Feb 12, 2025 · Advisor changed firm · fact
- Ledell Johnson left Usa Financial Securities Llc for Ji Financial Services, Llc (registered 2025-01-09)Jan 2, 2025 · Advisor changed firm · fact
- Steven Chandler Murphy left Usa Financial Securities Llc for Root Financial Partners (registered 2024-09-27)Sep 6, 2024 · Advisor changed firm · fact
- Usa Financial Securities Corporation reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 16, 2024 · Succession (Item 4) · fact
- Robert Michael Gianchiglia left Usa Financial Securities Llc for Oneamerica Securities, Inc. (registered 2026-01-13)Jul 9, 2024 · Advisor changed firm · fact
- William E Goff left Usa Financial Securities Llc for Kestra Advisory Services, Llc (registered 2024-06-03)Jun 3, 2024 · Advisor changed firm · fact
- Julie Ann Albright left Usa Financial Securities Llc for Acorns (registered 2024-03-19)Mar 5, 2024 · Advisor changed firm · fact
- Ronald Kent Haller left Usa Financial Securities Llc for Richmark Private Wealth Management (registered 2024-02-14)Feb 1, 2024 · Advisor changed firm · fact
- Madison Leigh Parker left Usa Financial Securities Llc for Prevail Innovative Wealth Advisors, Llc (registered 2024-01-11)Jan 11, 2024 · Advisor changed firm · fact
- Diana Lynn Avery left Usa Financial Securities Llc for Lpl Financial Llc (registered 2024-01-31)Jan 2, 2024 · Advisor changed firm · fact
- Nathan Allan Shelton left Usa Financial Securities Llc for Kestra Advisory Services, Llc (registered 2023-11-27)Nov 27, 2023 · Advisor changed firm · fact
- Piercen Harnish left Usa Financial Securities Llc for Kestra Advisory Services, Llc (registered 2023-11-27)Nov 27, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 888-444-0125reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/usa-financial-securitiesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- USAFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 888-407-8198reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- usafinancial.com/contact-usreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026