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.
Former SEC-registered adviser
Usaa Financial Planning Services
Legal name Usaa Financial Planning Services Insurance Agency, Inc.
Latest filing Aug 7, 2017
First filing on the tape Mar 30, 2012 · 17 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9,427
23 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)1,377 as of Mar 31, 2017
Apr 1, 20131,100 then
Employees (5.A)9,427 as of Mar 31, 2017
Apr 1, 20137,804 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1,424 to 1,377
Practice profile
derived from the filing of Aug 7, 2017; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.8derivedItem 5.A over advisors
- Advisors per office
- 275.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -3.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- financial planning, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Leah Autumn Clancy to LPL Financial LLCJan 8, 2018 · Other
- Jason Chian-Chih Su to Vanguard Advisers, Inc.Dec 21, 2017 · Other
- Edward Skinner to Personal Capital Advisors CorporationDec 4, 2017 · Other
- Brett Richard Billenstein to Vanguard Advisers, Inc.Nov 30, 2017 · Other
- Alondra Azurmendi to MML Investors Services, LLCNov 22, 2017 · Other
- Mark Koellner to Edward JonesNov 16, 2017 · Other
- Kelli Marie Thurmond to Charles Schwab & Co., Inc.Nov 16, 2017 · Other
- Joseph S Baumhover to Charles Schwab & Co., Inc.Nov 13, 2017 · Other
- Julie Elise Barker to Charles Schwab & Co., Inc.Nov 13, 2017 · Other
- Phillip Michael Kline to Raymond James Financial Services Advisors, IncOct 31, 2017 · Other
- Marielle Stockdale to Schwab Wealth Advisory, Inc.Oct 31, 2017 · Other
- Jennifer Nicole Carter to Fisher InvestmentsOct 13, 2017 · Other
- George Vargas to Td Ameritrade, Inc.Oct 11, 2017 · Other
- Travis J Mott to Schwab Wealth Advisory, Inc.Oct 10, 2017 · Other
- Daniel Fallon Tafoya to T. Rowe Price Advisory Services, Inc.Sep 29, 2017 · Other
Joined, latest
- Francesca Hope Streb from Strategic Advisers LLCDec 20, 2017 · Other
- Elizabeth Lorson from Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 29, 2017 · Other
- Michael Mclellan from Strategic Advisers LLCNov 7, 2017 · Other
- Whittney D Harvey from Capital AnalystsOct 26, 2017 · Other
- Renae Shannon Kobler from Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 18, 2017 · Other
- Kevin Lee Whittington from Morgan StanleyOct 12, 2017 · Other
- David L Semonian from E*Trade Capital Management, LLCSep 29, 2017 · Other
- William David Alford from J.P. Morgan Securities LLCSep 29, 2017 · Other
- William Joseph Kohlmann from Schwab Wealth Advisory, Inc.Sep 25, 2017 · Other
- Eric Andrew Stjernstrom from Charles Schwab & Co., Inc.Aug 25, 2017 · Other
- Richard J Dempsey from Cambridge Investment Research Advisors, Inc.Aug 21, 2017 · Other
- Michael Justin Salemy from Cedar Capital, LLCJul 20, 2017 · Other
- Rance Edwards from Ameriprise Financial Services, LLCJul 6, 2017 · Other
- Samir Ahmed from J.P. Morgan Securities LLCJun 19, 2017 · Other
- Michael Evan Farmer from Charles Schwab & Co., Inc.Jun 12, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Charles Schwab & Co., Inc.Nov 13, 2017 · Phoenix, Az
- 2 left for LPL Financial LLCJul 31, 2017 · Tampa, Fl
- 2 left for Vanguard Advisers, Inc.Jul 14, 2017 · Phoenix, Az
- 2 left for Schwab Wealth Advisory, Inc.May 5, 2017 · Phoenix, Az
- 2 left for LPL Financial LLCOct 26, 2016 · San Antonio, Tx
- 2 left for Hsbc Securities (USA) Inc.Jul 28, 2016 · New York,, Ny
- 2 left for Oppenheimer & Co. Inc.Jul 27, 2016 · Houston, Tx
- 2 left for Vanguard Advisers, Inc.Jul 12, 2016 · Phoenix, Az
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 20, 2017 · Chandler, Az
- 2 joined from J.P. Morgan Securities LLCJan 31, 2017 · San Antonio, Tx
- 2 joined from T. Rowe Price Advisory Services, Inc.Apr 19, 2016 · Colorado Springs, Co
- 2 joined from Edward JonesFeb 23, 2016 · Irving, Tx
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 24, 2015 · Chandler, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Cobb Lisa Alexander · Vice Presidentcontrolsince 07/2017 · owns less than 5%
- George Scott Allison · Lead Executivecontrolsince 09/2015 · owns less than 5%
- Massey Lori Brissette · Assistant Vice Presidentcontrolsince 02/2017 · owns less than 5%
- Wayde Jason Dudley · Vice Presidentcontrolsince 02/2017 · owns less than 5%
- John Thomas Grothues · Director, Senior Vice Presidentcontrolsince 03/2015 · owns less than 5%
- Koven Jon Hadfield · Secretarycontrolsince 08/2017 · owns less than 5%
- Elizabeth Karen Hanks · Assistant Vice Presidentcontrolsince 02/2017 · owns less than 5%
- Ann Stephanie Higby · Chief Compliance Officercontrolsince 06/2017 · owns less than 5%
- Sean Daniel Mcnamara · Director, Senior Vice Presidentcontrolsince 12/2013 · owns less than 5%
- Norman John Pawloski · Vp, Compliance Officercontrolsince 12/2013 · owns less than 5%
- Mari Kirsten Register · Vp, Chief Accounting Officer & Controllercontrolsince 04/2008 · owns less than 5%
- Wayne Kenneth Smith · Svp, Assistant Secretarycontrolsince 05/2012 · owns less than 5%
- Elizabeth Mary Stork · Directorcontrolsince 01/2016 · owns less than 5%
- Marie Rose Urbanczyk · Vp, Treasurercontrolsince 03/2015 · owns less than 5%
Entity owners
- United Services Automobile Association · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- Idr Investment Management, LLCinvestment advisern
- Square Mile Capital Management II LLCinvestment advisern
- Square Mile Capital Management III LLCinvestment advisern
- Square Mile Capital Management IV LLCinvestment advisern
- Square Mile Capital Management LLCinvestment advisern
- Usaa Asset Management Companyinvestment adviserbanknRAUM $148B
- Usaa Federal Savings Bankn
- Usaa Financial Advisors, Inc.broker-dealern
- Usaa Investment Services Companybroker-dealerinvestment advisern
- Usaa Life Insurance Companyreal estaten
- Usaa Life Insurance Company Of New Yorkreal estaten
- Usaa Real Estate Companyinvestment companyn
- Usaa Savings Bankn
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA
- Phoenix, AZ
- San Antonio, TX
- Vienna, VA
What changed
consecutive filings, newest first
- BD registered reps · 1,645 to 1,531Mar 1, 2017 to Mar 31, 2017
- Employees · 9,107 to 9,427Mar 1, 2017 to Mar 31, 2017
- State-registered IARs · 1,424 to 1,377Mar 1, 2017 to Mar 31, 2017
- Advisory employees · 1,391 to 23Oct 20, 2015 to Mar 30, 2016
- BD registered reps · 1,571 to 1,645Oct 20, 2015 to Mar 30, 2016
- Employees · 9,408 to 9,107Oct 20, 2015 to Mar 30, 2016
- State-registered IARs · 1,391 to 1,424Oct 20, 2015 to Mar 30, 2016
- Advisory employees · 1,190 to 1,391Mar 31, 2014 to Mar 31, 2015
- Advisory activities · 1 to 2Mar 31, 2014 to Mar 31, 2015
- BD registered reps · 1,410 to 1,571Mar 31, 2014 to Mar 31, 2015
- Employees · 8,409 to 9,408Mar 31, 2014 to Mar 31, 2015
- State-registered IARs · 1,190 to 1,391Mar 31, 2014 to Mar 31, 2015
- Related bank · false to trueMar 31, 2014 to Mar 31, 2015
- Advisory employees · 1,100 to 1,190Apr 1, 2013 to Mar 31, 2014
- BD registered reps · 1,316 to 1,410Apr 1, 2013 to Mar 31, 2014
- Employees · 7,804 to 8,409Apr 1, 2013 to Mar 31, 2014
- State-registered IARs · 1,100 to 1,190Apr 1, 2013 to Mar 31, 2014
- Advisory employees · 1,156 to 1,100Jan 29, 2013 to Apr 1, 2013
- BD registered reps · 1,145 to 1,316Jan 29, 2013 to Apr 1, 2013
- Employees · 8,647 to 7,804Jan 29, 2013 to Apr 1, 2013
- State-registered IARs · 1,156 to 1,100Jan 29, 2013 to Apr 1, 2013
- Advisory employees · unset to 1156.0Jul 2, 2012 to Nov 26, 2012
- BD registered reps · unset to 1145.0Jul 2, 2012 to Nov 26, 2012
- Employees · unset to 8647.0Jul 2, 2012 to Nov 26, 2012
- State-registered IARs · unset to 1156.0Jul 2, 2012 to Nov 26, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026