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

Itau Bba USA Securities, Inc.

No RAUM reportedNew York, New YorkCRD 118817SEC 801-128491IAPD
Latest filing Mar 30, 2026
First filing on the tape Jun 30, 2023 · 7 filings
SEC status approved since Sep 11, 2023
RAUM
$0
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
38
26 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2026
Feb 14, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20240 then
Employees (5.A)38 as of Mar 30, 2026
Mar 29, 202435 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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)
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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, commissionsreportedItem 5.E
Advisory activities
otherreportedItem 5.G
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 a broker-dealer (6.A.1)
  • buys or sells securities as principal to or from clients (8.A.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
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, commissionsreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=25.0derived
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Maurice Michael Dacosta · Finopcontrol
        since 01/2017 · owns less than 5%
      • Kenneth Ray Goodall · Chief Compliance Officercontrol
        since 01/2020 · owns less than 5%
      • Roderick Sinclair Greenlees · Directorcontrol
        since 03/2015 · owns less than 5%
      • Julia Chen Mcclanan · Chief Operating Officer, Chief Financial Officer, & Treasurercontrol
        since 06/2010 · owns less than 5%
      • Fabiana Mrs. Pascon Bastos · Directorcontrol
        since 10/2020 · owns less than 5%
      • Felipe Weil Wilberg · Director
        since 03/2016 · owns less than 5%
      Entity owners
      • Itau Unibanco Holding S.A. · Indirect Owner
        indirect · owns 75% or more of Itau Unibanco S.A.
      Related persons
      Schedule D 7.A
      • Banco Itau (Suisse) S.A.
        investment advisern
      • Banco Itau International
        n
      • Itau Administradora General De Fondos S.A.
        investment advisern
      • Itau Bba Europe, S.A.
        investment advisern
      • Itau International Securities Inc.
        broker-dealerinvestment advisernRAUM $64.8M
      • Itau Unibanco Asset Management Ltda
        investment advisern
      • Itau Unibanco S.A.
        investment advisery
      • Itau USA Asset Management
        investment advisernRAUM $9.3B
      Advisers that list Itau Bba USA Securities, Inc. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 22 to 26
        Mar 31, 2025 to Mar 30, 2026
      • BD registered reps · 27 to 25
        Mar 31, 2025 to Mar 30, 2026
      • Employees · 37 to 38
        Mar 31, 2025 to Mar 30, 2026
      • Advisory employees · 24 to 22
        Feb 14, 2025 to Mar 31, 2025
      • Employees · 35 to 37
        Feb 14, 2025 to Mar 31, 2025
      • Financial planning clients · unset to
        Feb 14, 2025 to Mar 31, 2025
      • Accounts · unset to 0.0
        Nov 14, 2024 to Feb 14, 2025
      • Discretionary RAUM · unset to 0.0
        Nov 14, 2024 to Feb 14, 2025
      • Non-discretionary RAUM · unset to 0.0
        Nov 14, 2024 to Feb 14, 2025
      • RAUM · unset to 0.0
        Nov 14, 2024 to Feb 14, 2025
      • Advisory employees · 25 to 24
        Aug 24, 2023 to Mar 29, 2024
      • BD registered reps · 28 to 27
        Aug 24, 2023 to Mar 29, 2024
      • Employees · 38 to 35
        Aug 24, 2023 to Mar 29, 2024
      • Advisory employees · 0 to 25
        Jun 30, 2023 to Aug 24, 2023
      • Commission compensation · false to true
        Jun 30, 2023 to Aug 24, 2023
      Signals
      1 dated events
      • Itau Bba Usa Securities, Inc. filed its initial SEC registration (Form ADV)
        Jun 30, 2023 · First SEC registration · 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
      Principal office phone
      212-845-0600reportedpublic record, Form ADV, Mar 30, 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
      No RAUM reportedderiveda 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