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

Usi Securities, Inc.

No RAUM reportedGlastonbury, ConnecticutCRD 43793SEC 801-56578IAPD
Latest filing Mar 30, 2026
First filing on the tape Dec 21, 2011 · 85 filings
SEC status approved since Jun 4, 1999
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
26
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
30
24 advisory (5.B.1)
Offices
21
beyond the principal office
Private funds
0
reported on Schedule D
History
85 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2026
Mar 28, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)24 as of Mar 30, 2026
Feb 1, 20120 then
Employees (5.A)30 as of Mar 30, 2026
Mar 26, 201310 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 19 to 24offices 15 to 21
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
$0derivedRAUM 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
1.2derivedItem 5.A over advisors
Advisors per office
1.2derived22 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+26%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
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 a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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
163reported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=28.0derived
Advisors registered through the firm
19 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Joseph John GritzerGlastonbury, CtMar 4, 200334 y0
John David FitzgeraldGlastonbury, Ct Jul 9, 202032 y0
Brian Patrick JordanGlastonbury, CtAug 14, 202018 y0
Matthew A SmithGlastonbury, Ct Aug 17, 202111 y0
Krystle Ann KaufmanFort Lauderdale, Fl Sep 30, 202116 y3
Nicholas Ryan MooreGlastonbury, Ct May 23, 202212 y0
Bernard Peter LevineGlastonbury, Ct Jul 7, 202216 y1
Denise Rachelle ScherEugene, Or Sep 16, 202233 y4
Terence P DonohueGlastonbury, CtFeb 17, 202328 y0
Rebecca Jean HilinskiGlastonbury, Ct Jan 4, 202422 y2
Brian Christopher WayGlastonbury, Ct Jan 8, 202415 y1
Michael Dennis O'RourkeGlastonbury, CtMay 17, 202433 y1
Wesley Whalen DavisMetairie, La Mar 18, 202513 y1
Jack Edward BallingerTorrance, Ca Jun 23, 202512 y0
Nicholas M RicciardiFlorham Park, Nj Jul 8, 202510 y0
Griffin ZahariadesGlastonbury, Ct Jan 8, 202611 y0
Amy Lynn JohnstonGlastonbury, Ct Aug 11, 202614 y4
Dylan EvartsGlastonbury, CtAug 22, 202611 y0
Andrew Charles BeckGlastonbury, Ct Sep 2, 202613 y1
Advisor movement
7 left, 4 joined in 12 months
net -3 in 12 months1 left in 90 days3 joined in 90 daysdeparture rate 27% of current headcount11 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Richard Charles Bowman · Finop, Director Of Operationscontrol
    since 07/2009 · owns less than 5%
  • Joseph John Jr Gritzer · Presidentcontrol
    since 04/2006 · owns less than 5%
  • David L Kappus · Chief Financial Officercontrol
    since 04/2021 · owns less than 5%
  • Melinda Mcdonald Robidoux · Chief Compliance Officercontrol
    since 04/2021 · owns less than 5%
  • William Michael Tremko · Chief Executive Officercontrol
    since 07/2009 · owns less than 5%
  • Ernest Joshua Newborn · Director/Secretary
    since 10/1998 · owns less than 5%
Entity owners
  • Usic Investment Group Inc. · Shareholder
    direct · owns 75% or more
  • Usir Management LLC · Class A Shareholder
    indirect · owns F of Usic Investment Group Inc.
Related persons
Schedule D 7.A
  • Usi Advisors
    investment adviserLP sponsornRAUM $56B
  • Usi Consulting Group, Inc.
    LP sponsorreal estaten
Advisers that list Usi Securities, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Glastonbury, Ct · principal2682
Bloomington, Mn211
Cleveland, Oh001
Pittsburgh, Pa002
Seattle, Wa000
Denver, Co001
Offices
Schedule D 1.F, the 25 largest
  • Fort Lauderdale, FL2 employees
  • Bloomington, MN1 employees
  • Woburn, MA1 employees
  • Austin, TX1 employees
  • Atlanta, GA1 employees
  • Charlotte, NC1 employees
  • Florham Park, NJ1 employees
  • Eugene, OR1 employees
  • Concord, CA1 employees
  • Brentwood, TN1 employees
  • Cincinnati, OH1 employees
  • Irvine, CA1 employees
  • Blue Bell, PA1 employees
  • Pittsburgh, PA1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 19 to 24
    Jan 7, 2026 to Mar 30, 2026
  • BD registered reps · 23 to 28
    Jan 7, 2026 to Mar 30, 2026
  • Pension plan clients · 139 to 163
    Jan 7, 2026 to Mar 30, 2026
  • Employees · 25 to 30
    Jan 7, 2026 to Mar 30, 2026
  • Insurance-licensed employees · 1 to 6
    Jan 7, 2026 to Mar 30, 2026
  • State-registered IARs · 19 to 24
    Jan 7, 2026 to Mar 30, 2026
  • Other offices · 15 to 21
    Jan 7, 2026 to Mar 30, 2026
  • Financial planning clients · 0 to 0
    Mar 28, 2025 to May 28, 2025
  • Accounts · unset to 0.0
    Nov 19, 2024 to Mar 28, 2025
  • Pension plan clients · 105 to 139
    Nov 19, 2024 to Mar 28, 2025
  • Employees · 24 to 25
    Nov 19, 2024 to Mar 28, 2025
  • Other offices · 14 to 15
    Nov 19, 2024 to Mar 28, 2025
  • Discretionary RAUM · unset to 0.0
    Nov 19, 2024 to Mar 28, 2025
  • Non-discretionary RAUM · unset to 0.0
    Nov 19, 2024 to Mar 28, 2025
  • RAUM · unset to 0.0
    Nov 19, 2024 to Mar 28, 2025
  • Advisory employees · 15 to 19
    Jan 31, 2024 to Mar 28, 2024
  • BD registered reps · 19 to 23
    Jan 31, 2024 to Mar 28, 2024
  • Pension plan clients · 55 to 105
    Jan 31, 2024 to Mar 28, 2024
  • Employees · 20 to 24
    Jan 31, 2024 to Mar 28, 2024
  • State-registered IARs · 15 to 19
    Jan 31, 2024 to Mar 28, 2024
  • Other offices · 10 to 14
    Jan 31, 2024 to Mar 28, 2024
  • Advisory employees · 7 to 15
    Jan 20, 2023 to Mar 30, 2023
  • BD registered reps · 11 to 19
    Jan 20, 2023 to Mar 30, 2023
  • Pension plan clients · 19 to 55
    Jan 20, 2023 to Mar 30, 2023
  • Employees · 12 to 20
    Jan 20, 2023 to Mar 30, 2023
  • State-registered IARs · 7 to 15
    Jan 20, 2023 to Mar 30, 2023
  • Other offices · 5 to 10
    Jan 20, 2023 to Mar 30, 2023
  • Advisory employees · 6 to 7
    Mar 21, 2022 to Mar 30, 2022
  • BD registered reps · 12 to 11
    Mar 21, 2022 to Mar 30, 2022
  • Individual clients · 0.0 to unset
    Mar 21, 2022 to Mar 30, 2022
  • Pension plan clients · unset to 19.0
    Mar 21, 2022 to Mar 30, 2022
  • Employees · 13 to 12
    Mar 21, 2022 to Mar 30, 2022
  • Insurance-licensed employees · 0 to 1
    Mar 21, 2022 to Mar 30, 2022
  • State-registered IARs · 6 to 7
    Mar 21, 2022 to Mar 30, 2022
  • Other offices · 4 to 5
    Mar 21, 2022 to Mar 30, 2022
  • Advisory employees · 2 to 6
    Feb 10, 2021 to Mar 30, 2021
  • BD registered reps · 9 to 12
    Feb 10, 2021 to Mar 30, 2021
  • Employees · 9 to 13
    Feb 10, 2021 to Mar 30, 2021
  • State-registered IARs · 5 to 6
    Feb 10, 2021 to Mar 30, 2021
  • Other offices · 2 to 4
    Feb 10, 2021 to Mar 30, 2021
Signals
17 dated events
  • Brendan Stewart Dailor left Usi Securities, Inc. for Hornor, Townsend & Kent, LLC (registered 2026-09-16)
    Aug 19, 2026 · Advisor changed firm · fact
  • Kimberly J Wade left Usi Securities, Inc. for Mma Securities Llc (registered 2026-06-23)
    May 18, 2026 · Advisor changed firm · fact
  • Scott Daniel Mcquillen left Usi Securities, Inc. for Assetmark, Inc. (registered 2026-06-16)
    May 6, 2026 · Advisor changed firm · fact
  • Taylor Scott Drahn left Usi Securities, Inc. for Ima Advisory Services, Inc. (registered 2026-07-23)
    Apr 13, 2026 · Advisor changed firm · fact
  • Usi Securities, Inc. reported 21 offices beyond its principal office, up from 15 (2026-01-07 to 2026-03-30)
    Mar 30, 2026 · Office count change · derived
  • Kimberly Ann Youngerman left Usi Securities, Inc. for Retirement And Wealth At Alliant, Llc (registered 2026-07-13)
    Mar 3, 2026 · Advisor changed firm · fact
  • Brian John Klecan left Usi Securities, Inc. for Cbiz Investment Advisory Services, Llc (registered 2026-09-09)
    Oct 23, 2025 · Advisor changed firm · fact
  • David Anthony Graver left Usi Securities, Inc. for Confluence Financial Partners (registered 2025-10-15)
    Oct 10, 2025 · Advisor changed firm · fact
  • Anthony V Sambrato left Usi Securities, Inc. for Mml Investors Services, Llc (registered 2025-06-19)
    Jun 2, 2025 · Advisor changed firm · fact
  • Sam Maxwell Blechman left Usi Securities, Inc. for Onedigital (registered 2025-05-05)
    Apr 17, 2025 · Advisor changed firm · fact
  • Justin Woolf left Usi Securities, Inc. for T. Rowe Price Associates, Inc. (registered 2024-11-14)
    Oct 30, 2024 · Advisor changed firm · fact
  • Christopher L Moreton left Usi Securities, Inc. for Brighton Jones Llc (registered 2024-10-22)
    Oct 4, 2024 · Advisor changed firm · fact
  • Usi Securities, Inc. reported 10 offices beyond its principal office, up from 5 (2023-01-20 to 2023-03-30)
    Mar 30, 2023 · Office count change · derived
  • Susan Meredith Fullwood (Finop) no longer on Schedule A of Usi Securities, Inc. (listed 2021-05-24, absent 2021-06-03)
    Jun 3, 2021 · Control person left · inference
  • John Frank Vaughn (Chief Compliance Officer) no longer on Schedule A of Usi Securities, Inc. (listed 2021-05-24, absent 2021-06-03)
    Jun 3, 2021 · Control person left · inference
  • David L Kappus (Chief Financial Officer) appeared on Schedule A of Usi Securities, Inc.
    Jun 3, 2021 · Control person joined · fact
  • Melinda Mcdonald Robidoux (Chief Compliance Officer) appeared on Schedule A of Usi Securities, Inc.
    Jun 3, 2021 · Control person joined · 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
860-652-3239reportedpublic 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