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 U.S. Bancorp Advisors, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Dana Rubarth | U.S. Bancorp Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 8, 2022 | Jul 13, 2022 |
| Simon Alexander Rawlinson | U.S. Bancorp Advisors, LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jun 30, 2022 | Jun 16, 2022 |
| Trajan X Sung | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 29, 2022 | Oct 21, 2022 (114 d) |
| Yuko Mihara | U.S. Bancorp Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 9, 2022 | Apr 29, 2022 |
| Asako Kanekiyo Thompson | U.S. Bancorp Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 6, 2022 | Apr 29, 2022 |
| Ryan Maley | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 19, 2022 | May 24, 2022 (35 d) |
| Jonathan Pickert | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 19, 2022 | Jun 6, 2022 (48 d) |
| Melanie White | U.S. Bancorp Advisors, LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 21, 2022 | Apr 8, 2022 |
| Ramona Janina Maior | U.S. Bancorp Advisors, LLC BD affiliated | The Wealth Consulting Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 16, 2022 | Mar 10, 2022 |
| Joseph Dane Addy | U.S. Bancorp Advisors, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 24, 2022 | Jan 14, 2022 |
| Imran Lakhany | U.S. Bancorp Advisors, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 24, 2022 | Apr 11, 2022 (77 d) |
| Ryan Gregory Wood | U.S. Bancorp Advisors, LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 24, 2022 | Feb 8, 2022 |
| Aramis Perez | U.S. Bancorp Advisors, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 13, 2022 | Jan 13, 2022 |
| Jeffrey Raymond Dockan | U.S. Bancorp Advisors, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 10, 2021 | Jun 29, 2023 (566 d) |
| Christopher B Bannon | U.S. Bancorp Advisors, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 3, 2021 | Nov 29, 2021 |
| Luis Alfonso Almendarez | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 13, 2021 | Sep 9, 2021 |
| Amy Foo | U.S. Bancorp Advisors, LLC BD affiliated | Capital Group Private Client Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2021 | Sep 20, 2021 |
| Minhlan Thi Nguyen | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 2, 2021 | Mar 3, 2023 (578 d) |
| Trung Nhu Le | U.S. Bancorp Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 26, 2021 | Sep 9, 2021 (45 d) |
| Laura Tran Dang | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 7, 2021 | Jul 26, 2021 |
| Tatyana Trapp | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 6, 2021 | Oct 24, 2022 (475 d) |
| Carrie Snyder Vilaplana | U.S. Bancorp Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 30, 2021 | Jul 8, 2021 |
| Anthony Seo Lee | U.S. Bancorp Advisors, LLC BD affiliated | Perennial Financial Services independent RIA | Affiliated broker-dealer or bank to independent RIA | May 19, 2021 | May 18, 2021 |
| O'Zell Golden | U.S. Bancorp Advisors, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 1, 2021 | Apr 29, 2021 |
| Vu Hoang Nguyen | U.S. Bancorp Advisors, LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 11, 2021 | Mar 4, 2021 |
| Mark Stephen Radesic | U.S. Bancorp Advisors, LLC BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 11, 2021 | Mar 4, 2021 |
| Yun Ze Feng | U.S. Bancorp Advisors, LLC BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2021 | Feb 17, 2021 |
| Manuel Joseph Martinho | U.S. Bancorp Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 22, 2021 | Feb 11, 2021 |
| Hisashi Sakashita | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 9, 2021 | Feb 1, 2021 |
| Mitsue Yang | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 4, 2021 | Feb 2, 2021 |
| Jason Patrick Liu | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2021 | Jan 27, 2023 (725 d) |
| Enrique Felix Cotto | U.S. Bancorp Advisors, LLC BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 1, 2021 | Jul 20, 2022 (534 d) |
| Zara Guivi | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 13, 2021 | Jan 15, 2021 |
| Cheryl Lynn Bates Rhoades | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2021 | Jun 14, 2022 (526 d) |
| Daniel John Lind | U.S. Bancorp Advisors, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 16, 2020 | Jan 26, 2021 (41 d) |
| Ronnie John Soto | U.S. Bancorp Advisors, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2020 | Mar 21, 2024 (1205 d) |
| Kevin Dean Enomoto | U.S. Bancorp Advisors, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2020 | Dec 15, 2021 (378 d) |
| Ashley Marie Gagne | U.S. Bancorp Advisors, LLC BD affiliated | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 2, 2020 | Apr 29, 2021 (148 d) |
| John Allen Carruthers | U.S. Bancorp Advisors, LLC BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2020 | Apr 6, 2021 (125 d) |
| Francisco Isaac Cossio-Franco | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2020 | Dec 8, 2020 |
| Eduardo Larios | U.S. Bancorp Advisors, LLC BD affiliated | B.B. Graham & Company, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 1, 2020 | Sep 8, 2023 (1011 d) |
| Edwardo Perez Gutierrez | U.S. Bancorp Advisors, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 1, 2020 | Dec 8, 2021 (372 d) |
| Edward A Suero | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 1, 2020 | May 21, 2021 (171 d) |
| George A Reyes | U.S. Bancorp Advisors, LLC BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Dec 1, 2020 | Dec 18, 2020 |
| John Floryan | U.S. Bancorp Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 30, 2020 | Nov 20, 2020 |
| Anthony Perez | U.S. Bancorp Advisors, LLC BD affiliated | Pnc Managed Account Solutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 9, 2020 | Dec 9, 2020 |
| Kseniya Tsipis | U.S. Bancorp Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 9, 2020 | Oct 11, 2023 (1066 d) |
| Robert Vincent Chamberlin | U.S. Bancorp Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 8, 2020 | Sep 30, 2020 |
| Christine Day-Reyes | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 31, 2020 | Sep 28, 2020 |
| Paul J Castro | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2020 | Aug 17, 2020 |
| Dawn Kim | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 9, 2020 | Jul 2, 2020 |
| Rafael Fernandes Molina | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2020 | Jun 26, 2020 |
| Andrew Ricardo Roybal | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2020 | Jun 26, 2020 |
| Kirsten Carol Roybal | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2020 | Jun 26, 2020 |
| Betsy T Edmunson | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2020 | Jun 26, 2020 |
| Jackie Lou Daclan D'Avolio-Raquidan | U.S. Bancorp Advisors, LLC BD affiliated | 5t Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2020 | Jan 5, 2026 (2021 d) |
| Besart Morina | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 29, 2020 | May 14, 2020 |
| Richard Wallace Blacharski | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 25, 2020 | Apr 21, 2020 |
| Jennifer Lee Harman | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 19, 2020 | Mar 23, 2020 |
| Sara Evans | U.S. Bancorp Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 12, 2020 | Jan 27, 2022 (686 d) |
489 moves match.