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

American Investment Services

Former SEC-registered adviserPalm Harbor, FloridaCRD 144088SEC 801-68338IAPD
Legal name USA Tax & Insurance Services, Inc.
Latest filing Feb 8, 2013
First filing on the tape Nov 21, 2011 · 10 filings
RAUM
$43.0M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
43
43 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$43.0M as of Feb 8, 2013
Nov 21, 2011$84.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)43 as of Feb 8, 2013
Nov 14, 201243 then
Employees (5.A)43 as of Feb 8, 2013
Nov 14, 201243 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 8, 2013; every figure names its basis
RAUM per advisor
$999,793derivedRAUM 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
$72,376derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
43.0derived1 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
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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 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)
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
594reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Robert Stephen Hand · Chairman Of The Board, Chief Marketing Officercontrol
    since 11/2001 · owns 75% or more
  • Kent Patrick Nichols · Chief Compliance Officercontrol
    since 10/2012 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · unset to 43.0
    Oct 8, 2012 to Nov 14, 2012
  • BD registered reps · unset to 4.0
    Oct 8, 2012 to Nov 14, 2012
  • Employees · unset to 43.0
    Oct 8, 2012 to Nov 14, 2012
  • State-registered IARs · unset to 43.0
    Oct 8, 2012 to Nov 14, 2012
  • Accounts · 1,181 to 594
    Nov 21, 2011 to Mar 22, 2012
  • Insurance-licensed employees · unset to 1.0
    Nov 21, 2011 to Mar 22, 2012
  • Discretionary RAUM · $83.1M to $42.4M
    Nov 21, 2011 to Mar 22, 2012
  • Non-discretionary RAUM · $1.2M to $605,481
    Nov 21, 2011 to Mar 22, 2012
  • RAUM · $84.3M to $43.0M
    Nov 21, 2011 to Mar 22, 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