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.

Advisor moves

Departures from USA Financial Securities LLC

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Brian Charles StiversUSA Financial Securities LLC independent RIACorecap Advisors BD affiliatedRIA to affiliated broker-dealer or bankJan 19, 2021Jan 19, 2021
David Donald RaddeUSA Financial Securities LLC independent RIACwm, LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 18, 2020Oct 20, 2021 (306 d)
Eddy Han Tak ShumUSA Financial Securities LLC independent RIAH. Beck, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 1, 2020Dec 1, 2020
Clayton K ShumUSA Financial Securities LLC independent RIAH. Beck, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 1, 2020Dec 1, 2020
Ernest J GuerrieroUSA Financial Securities LLC independent RIAPark Avenue Securities LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 13, 2020Dec 11, 2020
Cynthia Ann KennedyUSA Financial Securities LLC independent RIACommonwealth Financial Network national BDRIA to affiliated broker-dealer or bankJun 18, 2020Jun 17, 2020
Michael Brenton MurffUSA Financial Securities LLC independent RIACommonwealth Financial Network national BDRIA to affiliated broker-dealer or bankJun 18, 2020Jun 17, 2020
Bryce Brian OosterhouseUSA Financial Securities LLC independent RIAOneamerica Securities, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 16, 2020Sep 2, 2020 (78 d)
Vicki Lynn JoernUSA Financial Securities LLC independent RIAGradient Advisors, LLC independent RIARIA to RIAApr 1, 2020Apr 1, 2020
Karl Christian JoernUSA Financial Securities LLC independent RIAGradient Advisors, LLC independent RIARIA to RIAApr 1, 2020Apr 1, 2020
Michael Joseph CajthamlUSA Financial Securities LLC independent RIAAe Wealth Management, LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 10, 2020Mar 3, 2022 (723 d)
Bradley Scott FordUSA Financial Securities LLC independent RIAMadison Avenue Securities, LLC independent RIARIA to RIASep 26, 2019Oct 13, 2019
Michael L HastingsUSA Financial Securities LLC independent RIAMadison Avenue Securities, LLC independent RIARIA to RIASep 26, 2019Oct 1, 2019
Wade D CheckettsUSA Financial Securities LLC independent RIATd Ameritrade Investment Management, LLC independent RIARIA to RIAAug 19, 2019Aug 28, 2019
Joshua ConiglioUSA Financial Securities LLC independent RIAPacific Capital independent RIARIA to RIAAug 16, 2019Sep 18, 2024 (1860 d)
Barry Alan RicheyUSA Financial Securities LLC independent RIAMadison Avenue Securities, LLC independent RIARIA to RIAAug 8, 2019Aug 12, 2019
Neal David ClemensUSA Financial Securities LLC independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 27, 2019Jun 27, 2019
Tim Lee JohnsonUSA Financial Securities LLC independent RIAVirtue Capital Management, LLC independent RIARIA to RIAMay 17, 2019May 7, 2019
Christine Renae StutzmanUSA Financial Securities LLC independent RIAMorgan Stanley wirehouseRIA to wirehouseMar 28, 2019Apr 30, 2019 (33 d)
Jason Edward CampbellUSA Financial Securities LLC independent RIAMariner Advisor Network independent RIARIA to RIAMar 14, 2019May 21, 2019 (68 d)
James Robert AllenUSA Financial Securities LLC independent RIAAnchor Bay Capital, Inc. independent RIARIA to RIAMar 1, 2019Mar 4, 2019
Jeffrey Scott BeyerUSA Financial Securities LLC independent RIAAe Wealth Management, LLC independent RIARIA to RIAMar 1, 2019Feb 28, 2019
Deanna Lynn HolmesUSA Financial Securities LLC independent RIAFirst Heartland Consultants, Inc. BD affiliatedRIA to affiliated broker-dealer or bankFeb 4, 2019May 27, 2020 (478 d)
Brian Scott StandageUSA Financial Securities LLC independent RIAFirst Heartland Consultants, Inc. BD affiliatedRIA to affiliated broker-dealer or bankFeb 4, 2019Feb 4, 2019
Edmund Ray GiffordUSA Financial Securities LLC independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankJan 28, 2019Jan 28, 2019
Erik B BowmanUSA Financial Securities LLC independent RIACreativeone Wealth, LLC independent RIARIA to RIANov 30, 2018Nov 30, 2018
Andrew M FochtUSA Financial Securities LLC independent RIASecurities America Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankNov 29, 2018Jan 15, 2019 (47 d)
Matthew John ScaranoUSA Financial Securities LLC independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankNov 1, 2018Nov 6, 2018
Samuel Andrew WilliamsUSA Financial Securities LLC independent RIAGo Long Financial unclassifiedOtherOct 22, 2018Mar 22, 2019 (151 d)
Michael Lawrence AlbertsonUSA Financial Securities LLC independent RIASecure Asset Management, L.L.C. independent RIARIA to RIAOct 16, 2018Oct 2, 2018
Arthur John BernaducciUSA Financial Securities LLC independent RIARetirement Income Advisory Group LLC state registeredRIA to a state-registered adviserJun 28, 2018Jul 17, 2018
Johnathan Michael RedmasterUSA Financial Securities LLC independent RIAConcourse Financial Group Advisors BD affiliatedRIA to affiliated broker-dealer or bankJun 25, 2018Jun 21, 2018
Martin J CarbaughUSA Financial Securities LLC independent RIAConcourse Financial Group Advisors BD affiliatedRIA to affiliated broker-dealer or bankJun 19, 2018Jun 19, 2018
Heather Lynn FosterUSA Financial Securities LLC independent RIAHarbour Investments, Inc. independent RIARIA to RIAMay 23, 2018May 22, 2018
Alexandre MaltezUSA Financial Securities LLC independent RIACorecap Advisors BD affiliatedRIA to affiliated broker-dealer or bankMay 1, 2018Jul 9, 2018 (69 d)
Mark Everett CharnetUSA Financial Securities LLC independent RIACorecap Advisors BD affiliatedRIA to affiliated broker-dealer or bankApr 26, 2018Apr 27, 2018
John Michael OxleyUSA Financial Securities LLC independent RIAOxley Capital Management, LLC state registeredRIA to a state-registered adviserApr 17, 2018Apr 4, 2023 (1813 d)
Denny FrasiolasUSA Financial Securities LLC independent RIARetirement Income Advisory Group LLC state registeredRIA to a state-registered adviserApr 9, 2018May 15, 2018 (36 d)
Gary William RonanUSA Financial Securities LLC otherHorter Investment Management, LLC otherOtherJan 31, 2018Feb 15, 2018
Todd Michael EhretUSA Financial Securities LLC otherRoyal Fund Management, LLC otherOtherDec 7, 2017Dec 10, 2017
Alan Dean CantrellUSA Financial Securities LLC otherFoundations Investment Advisors LLC independent RIAOtherNov 30, 2017Aug 2, 2018 (245 d)
Randall J. CashmoreUSA Financial Securities LLC otherBfc Planning, Inc. otherOtherNov 21, 2017Jan 5, 2018 (45 d)
Brent A PetersonUSA Financial Securities LLC otherVirtue Capital Management, LLC independent RIAOtherOct 31, 2017Oct 31, 2017
Brian Daniel ParkerUSA Financial Securities LLC otherOpen Source Investments, LLC independent RIAOtherOct 17, 2017May 10, 2018 (205 d)
Timothy Ray WhislerUSA Financial Securities LLC otherUnited Advisors America independent RIAOtherJul 31, 2017Jul 12, 2017
Barbara Jean SwiatekUSA Financial Securities LLC otherBrookstone Wealth Advisors, LLC otherOtherJul 31, 2017Jul 31, 2017
Michael B HaneyUSA Financial Securities LLC otherGradient Wealth Management otherOtherJun 29, 2017Jun 29, 2017
Elliot Thomas OmansonUSA Financial Securities LLC otherMotiv8 Investments LLC otherOtherJun 27, 2017Jun 29, 2017
Gary Joseph PreisserUSA Financial Securities LLC otherFreedom Investment Management, Inc. otherOtherApr 11, 2017Jun 29, 2017 (79 d)
Ryan Charles McdanielUSA Financial Securities LLC otherMoney Concepts Advisory Service otherOtherApr 4, 2017Apr 10, 2017
Samuel Josiah DixonUSA Financial Securities LLC otherAe Wealth Management, LLC otherOtherMar 14, 2017Jun 23, 2017 (101 d)
William Robert CunninghamUSA Financial Securities LLC otherSaxony Capital Management, LLC otherOtherJan 20, 2017Aug 17, 2017 (209 d)
James Edward EastwoodUSA Financial Securities LLC otherOneamerica Securities, Inc. otherOtherDec 22, 2016Mar 22, 2017 (90 d)
Joshua SmailUSA Financial Securities LLC otherSpc otherOtherNov 21, 2016Jun 9, 2017 (200 d)
Terry Xing-Zhao WuUSA Financial Securities LLC otherNi Advisors state registeredOtherNov 1, 2016Nov 9, 2018 (738 d)
William Dennis BurnsUSA Financial Securities LLC otherClaraphi Advisory Network, LLC otherOtherSep 30, 2016Oct 24, 2016
James Paul BallUSA Financial Securities LLC otherLPL Financial LLC otherOtherSep 29, 2016Oct 4, 2016
James Ryan MuffUSA Financial Securities LLC otherCuna Brokerage Services, Inc. otherOtherAug 29, 2016Sep 19, 2016
David William BradyUSA Financial Securities LLC otherGradient Wealth Management otherOtherJul 1, 2016Jun 30, 2016
Kevin Scott EtterUSA Financial Securities LLC otherCml Wealth Management, LLC otherOtherMay 13, 2016Aug 9, 2016 (88 d)
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183 moves match.