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 |
|---|---|---|---|---|---|
| James Anthony Kenison | U.S. Bancorp Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 27, 2020 | Feb 21, 2020 |
| Thatsane Souvanaphong | U.S. Bancorp Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 27, 2020 | Feb 21, 2020 |
| Michael Richard Judge | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 22, 2020 | Jan 10, 2020 |
| Marc Rodriguez | U.S. Bancorp Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 28, 2019 | Nov 8, 2019 |
| Robert Paul Kimmel | U.S. Bancorp Advisors, LLC BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 3, 2019 | Dec 2, 2019 (60 d) |
| Cameron Harrison Arm | U.S. Bancorp Advisors, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 2, 2019 | Nov 12, 2019 (41 d) |
| Steven Anthony Thu | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 25, 2019 | Sep 20, 2019 |
| Adam Michael Franklin | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 20, 2019 | Sep 20, 2019 |
| Thomas Alan Graber | U.S. Bancorp Advisors, LLC BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Sep 9, 2019 | Sep 24, 2019 |
| Simone Sabbagh Branigan | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 9, 2019 | Sep 30, 2019 |
| Christopher Joseph Calagna | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 20, 2019 | Aug 21, 2019 |
| Sabrina Noelani-Ngiau Kranz | U.S. Bancorp Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 30, 2019 | Jul 29, 2019 |
| Jiaoling Cai | U.S. Bancorp Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 26, 2019 | Jul 11, 2019 |
| Michelle Lynne Swint | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2019 | Sep 12, 2019 (99 d) |
| Margaret Caroline Ash | U.S. Bancorp Advisors, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 28, 2019 | Jun 6, 2019 |
| Kendra L. Kearney | U.S. Bancorp Advisors, LLC BD affiliated | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | May 16, 2019 | Jun 12, 2019 |
| Syed Rizvi | U.S. Bancorp Advisors, LLC BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2019 | Jun 21, 2019 (38 d) |
| Austin Park | U.S. Bancorp Advisors, LLC BD affiliated | Independent Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 13, 2019 | Apr 29, 2019 |
| Charles Nmn Lim | U.S. Bancorp Advisors, LLC BD affiliated | Mirae Asset Wealth Management (USA) Inc. unclassified | Other | May 13, 2019 | May 17, 2019 |
| Scott James Hofman | U.S. Bancorp Advisors, LLC BD affiliated | Ratio Capital state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 9, 2019 | Jan 5, 2026 (2433 d) |
| Tom Ferenczi | U.S. Bancorp Advisors, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 6, 2019 | May 31, 2019 |
| Barry Asher Wellins | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2019 | May 8, 2019 |
| Tyler Kaleiiokalani Forsythe | U.S. Bancorp Advisors, LLC BD affiliated | Wise Planning, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2019 | Apr 15, 2019 |
| Christine Paige Alexander | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2019 | Apr 15, 2019 |
| Dara A Rocchi | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 11, 2019 | Aug 16, 2019 (127 d) |
| Saksoknik Sopheak | U.S. Bancorp Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 11, 2019 | Aug 28, 2019 (139 d) |
| Kozue M Wang | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 11, 2019 | Nov 13, 2019 (216 d) |
| Michael Aaron Padilla | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 10, 2019 | May 30, 2019 (50 d) |
| Deborah Lee-Kavousi | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 9, 2019 | May 16, 2019 (37 d) |
| Sadia Hasan | U.S. Bancorp Advisors, LLC BD affiliated | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2019 | Apr 26, 2019 |
| Aimee P Grant | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2019 | Jul 1, 2019 (88 d) |
| Giulio Cannatello | U.S. Bancorp Advisors, LLC BD affiliated | Mariner Advisor Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2019 | Apr 4, 2019 |
| Yong Joon Cho | U.S. Bancorp Advisors, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 4, 2019 | May 1, 2019 |
| Robert James Gil | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2019 | Apr 26, 2019 |
| Jason Kurt Davis | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2019 | May 20, 2019 (46 d) |
| Simon Alexander Bonilla | U.S. Bancorp Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 3, 2019 | Jun 4, 2020 (428 d) |
| Mark C Chen | U.S. Bancorp Advisors, LLC BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 7, 2019 | Apr 26, 2019 (50 d) |
| Virak Mann | U.S. Bancorp Advisors, LLC BD affiliated | Financial Advocates Investment Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 25, 2019 | Mar 8, 2019 |
| Michael James Rodgers | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 21, 2019 | Feb 20, 2019 |
| Terry L Thomason | U.S. Bancorp Advisors, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 19, 2019 | Mar 7, 2019 |
| Jose Alvaro Tejada | U.S. Bancorp Advisors, LLC BD affiliated | Ratio Capital state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 5, 2019 | Mar 14, 2019 (37 d) |
| Bahram Shidoosh | U.S. Bancorp Advisors, LLC BD affiliated | Shidoosh Wealth Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 8, 2019 | Jan 9, 2019 |
| Samuel Ramos | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 7, 2019 | Jan 9, 2019 |
| Nora Kouza | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2019 | Jan 16, 2019 |
| Khanh Da Ngo | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 10, 2018 | Jun 3, 2020 (541 d) |
| Brian Alfredo Salguero | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 29, 2018 | Jan 9, 2019 (41 d) |
| Cassandra Vincent | U.S. Bancorp Advisors, LLC BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Oct 24, 2018 | Nov 14, 2018 |
| Reza Sarem Aslani | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2018 | Oct 31, 2018 |
| Dan Julius Nguyen | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2018 | Oct 26, 2018 |
| Omid Noori | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 3, 2018 | Nov 8, 2018 (36 d) |
| Tammy Ann Hospodar | U.S. Bancorp Advisors, LLC BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2018 | Sep 14, 2018 |
| Sunny James Kang | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 19, 2018 | Nov 8, 2018 (50 d) |
| Javier Guztavo Orozco | U.S. Bancorp Advisors, LLC BD affiliated | Td Ameritrade, Inc. no RAUM | Other | Sep 6, 2018 | Apr 30, 2019 (236 d) |
| Gary Le Lam | U.S. Bancorp Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 27, 2018 | Sep 17, 2018 |
| John Nathan Sinnema | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2018 | Sep 5, 2018 |
| Trisha Abad Sinouanthavysouk | U.S. Bancorp Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 26, 2018 | Aug 10, 2018 |
| Lawrence M Parente | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 25, 2018 | Jul 24, 2018 |
| Michael Barrett Metzger | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 10, 2018 | Jul 10, 2018 |
| Victor Acevedo | U.S. Bancorp Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 9, 2018 | Jul 17, 2018 |
| Joana Ramirez Youssefzadeh | U.S. Bancorp Advisors, LLC BD affiliated | Tcw Investment Management Company LLC asset manager | Other | Jun 27, 2018 | Mar 3, 2021 (980 d) |
489 moves match.