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
Shawn Huynh	U.S. Bancorp Advisors, LLC BD affiliated	Citigroup Global Markets Inc. BD affiliated	Affiliated broker-dealer or bank to another	Jun 27, 2018	Jun 19, 2018
Rebecca Morgan Busalacchi	U.S. Bancorp Advisors, LLC BD affiliated	J.P. Morgan Securities LLC wirehouse	Affiliated broker-dealer or bank to wirehouse	Jun 19, 2018	Jul 2, 2018
Richard George Engbrecht	U.S. Bancorp Advisors, LLC BD affiliated	RBC Securities, Inc. independent RIA	Affiliated broker-dealer or bank to independent RIA	May 22, 2018	May 31, 2018
Christopher Gia Nguyen	U.S. Bancorp Advisors, LLC BD affiliated	J.P. Morgan Securities LLC wirehouse	Affiliated broker-dealer or bank to wirehouse	May 14, 2018	May 25, 2018
Reynaldo Arceno	U.S. Bancorp Advisors, LLC BD affiliated	Wells Fargo Advisors wirehouse	Affiliated broker-dealer or bank to wirehouse	Mar 27, 2018	Dec 1, 2020 (980 d)
Ann Marie Coghill	U.S. Bancorp Advisors, LLC BD affiliated	U.S. Bancorp Investments, Inc. other	Other	Mar 14, 2018	Mar 12, 2018
Armando David Feighl	U.S. Bancorp Advisors, LLC BD affiliated	RBC Securities, Inc. independent RIA	Affiliated broker-dealer or bank to independent RIA	Mar 12, 2018	Mar 20, 2018
Aaron James Malardino	U.S. Bancorp Advisors, LLC BD affiliated	RBC Securities, Inc. independent RIA	Affiliated broker-dealer or bank to independent RIA	Mar 12, 2018	Mar 13, 2018
Matthew Guillory	U.S. Bancorp Advisors, LLC BD affiliated	RBC Securities, Inc. independent RIA	Affiliated broker-dealer or bank to independent RIA	Mar 12, 2018	Mar 13, 2018
Elaine Yefun Lee	U.S. Bancorp Advisors, LLC BD affiliated	Bancwest Investment Services, Inc. (Bwis) BD affiliated	Affiliated broker-dealer or bank to another	Mar 6, 2018	Mar 15, 2018
Mami Uenobo	U.S. Bancorp Advisors, LLC BD affiliated	LPL Financial LLC independent RIA	Affiliated broker-dealer or bank to independent RIA	Feb 12, 2018	Feb 9, 2018
Celine Pujol	U.S. Bancorp Advisors, LLC BD affiliated	Cetera Investment Advisers LLC BD affiliated	Affiliated broker-dealer or bank to another	Jan 3, 2018	Jun 29, 2023 (2003 d)
Jasmine Alicea	U.S. Bancorp Advisors, LLC BD affiliated	Nationwide Investment Advisors, LLC other	Other	Jan 3, 2018	Jan 18, 2018
David Jay Ohanian	U.S. Bancorp Advisors, LLC other	RBC Securities, Inc. other	Other	Nov 28, 2017	Dec 5, 2017
Susan Koron	U.S. Bancorp Advisors, LLC other	RBC Securities, Inc. independent RIA	Other	Nov 28, 2017	Aug 23, 2018 (268 d)
Rex B Ramsey	U.S. Bancorp Advisors, LLC other	Horace Mann Investors, Inc. no RAUM	Other	Nov 2, 2017	Jan 19, 2024 (2269 d)
Rose Gabrielle Odland	U.S. Bancorp Advisors, LLC other	Wells Fargo Advisors wirehouse	Other	Oct 18, 2017	Oct 20, 2017
Sophie Iliescu	U.S. Bancorp Advisors, LLC other	U.S. Bancorp Investments, Inc. other	Other	Oct 17, 2017	Oct 17, 2017
Nicholas Harvey Gums	U.S. Bancorp Advisors, LLC other	Td Ameritrade, Inc. no RAUM	Other	Oct 4, 2017	Oct 12, 2017
Erika Danina Williams	U.S. Bancorp Advisors, LLC other	Namcoa mixed wealth	Other	Sep 28, 2017	Aug 8, 2019 (679 d)
Breanna May Stott	U.S. Bancorp Advisors, LLC other	Finwell, Inc. unclassified	Other	Aug 21, 2017	Oct 19, 2017 (59 d)
Daniel Domingo Anderle	U.S. Bancorp Advisors, LLC other	Cuso Financial Services, L.P. BD affiliated	Other	Aug 2, 2017	Dec 20, 2017 (140 d)
Antonio Rafael Rosado	U.S. Bancorp Advisors, LLC other	Ameriprise Financial Services, LLC national BD	Other	Jul 10, 2017	Jun 30, 2017
Richard Yuen	U.S. Bancorp Advisors, LLC other	Citigroup Global Markets Inc. other	Other	Jul 10, 2017	Jun 20, 2017
Christopher George Muniz	U.S. Bancorp Advisors, LLC other	Creative Planning other	Other	Jun 26, 2017	Sep 26, 2017 (92 d)
Jeffery James Vandevoir	U.S. Bancorp Advisors, LLC other	Td Ameritrade, Inc. no RAUM	Other	Jun 26, 2017	Jun 20, 2017
Gavin John Carter	U.S. Bancorp Advisors, LLC other	U.S. Bancorp Investments, Inc. other	Other	Jun 22, 2017	Jun 13, 2017
Shane M Reniker	U.S. Bancorp Advisors, LLC other	Osaic Fa, Inc. other	Other	Apr 6, 2017	May 10, 2017 (34 d)
Julie Xiang	U.S. Bancorp Advisors, LLC other	LPL Financial LLC other	Other	Mar 10, 2017	Mar 1, 2017
Tasha Immacolata Mauss	U.S. Bancorp Advisors, LLC other	Tru Independence Asset Management, LLC other	Other	Mar 10, 2017	Feb 14, 2017
Mark Alan Gerardi	U.S. Bancorp Advisors, LLC other	U.S. Bancorp Investments, Inc. other	Other	Feb 16, 2017	Feb 16, 2017
Nicholas Curran Kolata	U.S. Bancorp Advisors, LLC other	Pfg Advisors other	Other	Jan 30, 2017	Mar 7, 2017 (36 d)
Rupert B Gregorio	U.S. Bancorp Advisors, LLC other	Principal Securities, Inc. other	Other	Jan 5, 2017	Jan 12, 2017
Shannon Marlene Drobny	U.S. Bancorp Advisors, LLC other	Wells Fargo Advisors wirehouse	Other	Nov 30, 2016	Dec 15, 2016
Sandy H Bayne	U.S. Bancorp Advisors, LLC other	J.P. Morgan Private Wealth Advisors LLC other	Other	Nov 29, 2016	Nov 29, 2016
Victor Emmanuel Portillo	U.S. Bancorp Advisors, LLC other	Citigroup Global Markets Inc. other	Other	Nov 17, 2016	Dec 1, 2016
Sanjay Gobind Chugani	U.S. Bancorp Advisors, LLC other	Wells Fargo Advisors wirehouse	Other	Oct 11, 2016	Oct 25, 2016
James Harold Yocom	U.S. Bancorp Advisors, LLC other	Cuso Financial Services, L.P. other	Other	Oct 5, 2016	Oct 24, 2016
Nader Hosseinzadeh	U.S. Bancorp Advisors, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 5, 2016	Oct 27, 2016
Anthony Michael Calomeni	U.S. Bancorp Advisors, LLC other	Global Retirement Partners LLC other	Other	Aug 3, 2016	Feb 22, 2018 (568 d)
Linda Rae Bruininga	U.S. Bancorp Advisors, LLC other	Fsc Securities Corporation other	Other	Jul 15, 2016	Aug 1, 2016
Salim Augustyn	U.S. Bancorp Advisors, LLC other	J.P. Morgan Securities LLC wirehouse	Other	Jun 23, 2016	Jun 2, 2016
Tony Ly	U.S. Bancorp Advisors, LLC other	J.P. Morgan Securities LLC wirehouse	Other	Jun 16, 2016	Jun 13, 2016
Blair Allan Jamieson	U.S. Bancorp Advisors, LLC other	Principal Securities, Inc. other	Other	Jun 16, 2016	Jul 21, 2016 (35 d)
Waqas Ahmad Khan	U.S. Bancorp Advisors, LLC other	LPL Financial LLC other	Other	May 2, 2016	Aug 10, 2017 (465 d)
Jeffrey Felix	U.S. Bancorp Advisors, LLC other	Wells Fargo Advisors wirehouse	Other	Mar 21, 2016	Mar 29, 2016
David Soong Park	U.S. Bancorp Advisors, LLC other	Fsc Securities Corporation other	Other	Feb 23, 2016	Feb 12, 2016
John Tijerino	U.S. Bancorp Advisors, LLC other	Citigroup Global Markets Inc. other	Other	Feb 18, 2016	Sep 8, 2017 (568 d)
Troy A Ross	U.S. Bancorp Advisors, LLC other	Bancwest Investment Services, Inc. (Bwis) other	Other	Feb 8, 2016	Mar 18, 2016 (39 d)
Karyn Erne Beltran-Medina	U.S. Bancorp Advisors, LLC other	LPL Financial LLC other	Other	Feb 2, 2016	Aug 12, 2016 (192 d)
Betty Won Lee	U.S. Bancorp Advisors, LLC other	Principal Securities, Inc. other	Other	Jan 21, 2016	Mar 14, 2016 (53 d)
Rhonda L Mills	U.S. Bancorp Advisors, LLC other	LPL Financial LLC other	Other	Jan 12, 2016	Jan 11, 2016
Dane Michael Brockman	U.S. Bancorp Advisors, LLC other	Msi Financial Services, Inc. other	Other	Dec 17, 2015	Dec 14, 2015
Andrew Charles Wheeler	U.S. Bancorp Advisors, LLC other	Wells Fargo Advisors wirehouse	Other	Dec 16, 2015	Dec 15, 2015
Linda Meejung Yang	U.S. Bancorp Advisors, LLC other	J.P. Morgan Private Wealth Advisors LLC other	Other	Dec 4, 2015	Nov 17, 2015
Neal Brian Wilson	U.S. Bancorp Advisors, LLC other	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Other	Nov 30, 2015	Nov 9, 2015
Max James Hangartner	U.S. Bancorp Advisors, LLC other	LPL Financial LLC other	Other	Nov 30, 2015	Nov 10, 2015
Marilu Hernandez	U.S. Bancorp Advisors, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Nov 30, 2015	Dec 4, 2015
Teuta Morina	U.S. Bancorp Advisors, LLC other	Wells Fargo Advisors wirehouse	Other	Nov 30, 2015	Nov 16, 2015
Ralph Vallega Ganchero	U.S. Bancorp Advisors, LLC other	Citigroup Global Markets Inc. other	Other	Nov 25, 2015	Jan 13, 2016 (49 d)

Page 5 of 9Previous Next

489 moves match.