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 Usca Ria 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
Patrick Michael MendenhallUsca Ria LLC BD affiliatedUsca Asset Management LLC otherOtherJun 30, 2021May 26, 2016
David Michael HarrisUsca Ria LLC BD affiliatedUsca Asset Management LLC otherOtherJun 30, 2021Apr 9, 2015
Steve Howell GottUsca Ria LLC BD affiliatedUsca Asset Management LLC otherOtherJun 30, 2021Mar 5, 2015
David Michael KingUsca Ria LLC BD affiliatedUsca Asset Management LLC otherOtherJun 30, 2021Mar 29, 2016
Randall Shawn JonesUsca Ria LLC BD affiliatedUsca Asset Management LLC asset managerOtherJun 30, 2021Jul 9, 2018
Davis Kelly RushingUsca Ria LLC BD affiliatedUsca Asset Management LLC otherOtherJun 30, 2021Mar 3, 2017
Kelly Albert RushingUsca Ria LLC BD affiliatedUsca Asset Management LLC otherOtherJun 30, 2021Mar 6, 2017
Michael DelafuenteUsca Ria LLC BD affiliatedMutual Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 20, 2021Apr 19, 2021
Emily Eisenhauer FrelingUsca Ria LLC BD affiliatedB. Riley Wealth Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 10, 2020Dec 9, 2020
Audrey FerstenUsca Ria LLC BD affiliatedForvis Mazars Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 24, 2020Jan 8, 2021 (168 d)
Matthew Edward AssuntoUsca Ria LLC BD affiliatedNorthwestern Mutual Investment Services,LLC no RAUMOtherJul 24, 2020Aug 20, 2020
Myles ScottUsca Ria LLC BD affiliatedB Riley Wealth Management BD affiliatedAffiliated broker-dealer or bank to anotherMay 2, 2019May 2, 2019
James Patrick DarbyUsca Ria LLC BD affiliatedUBS Financial Services Inc. wirehouseAffiliated broker-dealer or bank to wirehouseDec 18, 2018Dec 17, 2018
Stuart W HuckinUsca Ria LLC otherBb&T Securities, LLC otherOtherAug 4, 2017Feb 24, 2017
Joseph C KleinUsca Ria LLC otherComerica Securities otherOtherMay 4, 2017May 4, 2017
Kellie Lynne BlancoUsca Ria LLC otherSpc otherOtherSep 25, 2015Sep 25, 2015
Alondra RoblesUsca Ria LLC otherJ.P. Morgan Securities LLC wirehouseOtherSep 10, 2015Dec 20, 2016 (467 d)
Jack Brandon RepaUsca Ria LLC otherGfs Advisors LLC otherOtherJan 27, 2014Nov 25, 2014 (302 d)
Mark Eric DahlUsca Ria LLC otherUBS Financial Services Inc. wirehouseOtherJul 19, 2012Jul 20, 2012
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19 moves match.