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 Investments, Inc.
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 |
|---|---|---|---|---|---|
| Amanda Riley York | U.S. Bancorp Investments, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 26, 2025 | Apr 9, 2025 |
| James Charles Papas | U.S. Bancorp Investments, Inc. BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2025 | Mar 18, 2025 |
| Celestina Marie Rodriguez Mclaughlin | U.S. Bancorp Investments, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 24, 2025 | Apr 1, 2025 |
| Matthew Grossbard | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 17, 2025 | Mar 25, 2025 |
| Riley Thomas Reynolds | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 7, 2025 | Apr 9, 2025 (33 d) |
| Jordan Steven-Keith Dalton | U.S. Bancorp Investments, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2025 | Mar 3, 2025 |
| Luis Antonio Mercado | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 25, 2025 | Feb 24, 2025 |
| Troy Robert Stansbury | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 21, 2025 | Mar 31, 2025 (38 d) |
| Chance Corbot Franklin | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2025 | Feb 10, 2025 |
| Jessie J Tranchina-Satterfield | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Apr 10, 2025 (69 d) |
| Magdiel Perez Velazquez | U.S. Bancorp Investments, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2025 | Jan 28, 2025 |
| Michael H Gibbons | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2025 | Jan 14, 2025 |
| Peter Giacona | U.S. Bancorp Investments, Inc. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 8, 2025 | Jan 24, 2025 |
| Zachary Edward Chiara | U.S. Bancorp Investments, Inc. BD affiliated | Factor Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 8, 2025 | Jan 7, 2025 |
| Ramon Paul Reyes | U.S. Bancorp Investments, Inc. BD affiliated | Lsb Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 7, 2025 | Dec 19, 2024 |
| Kwabena Jamila Leek | U.S. Bancorp Investments, Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 2, 2025 | Jan 31, 2025 |
| Tyler Schaller | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 2, 2025 | Feb 4, 2025 (33 d) |
| Nicholas James Guzman | U.S. Bancorp Investments, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jan 2, 2025 | Feb 13, 2025 (42 d) |
| Sheryl Kim Devoss | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 18, 2024 | Dec 13, 2024 |
| Anne K Stclair | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 20, 2024 | Apr 10, 2025 (141 d) |
| John Matthew Pierce | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 20, 2024 | Jan 3, 2025 (44 d) |
| Patrick Michael O'Connell | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2024 | Jan 21, 2025 (62 d) |
| Jacob Joseph Meis | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2024 | May 27, 2025 (188 d) |
| Sheena Marie Rasmussen | U.S. Bancorp Investments, Inc. BD affiliated | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2024 | Apr 28, 2026 (524 d) |
| Bao-Chau T Nguyen-Sun | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 20, 2024 | Mar 7, 2025 (107 d) |
| Alexis Linderer | U.S. Bancorp Investments, Inc. BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2024 | Nov 21, 2024 |
| Christian Ayalew | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 20, 2024 | Nov 27, 2024 |
| Manuel I Magallanes | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 20, 2024 | Apr 22, 2025 (153 d) |
| Ronald Devries | U.S. Bancorp Investments, Inc. BD affiliated | Compass Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 20, 2024 | Mar 27, 2025 (127 d) |
| Brian Lopez | U.S. Bancorp Investments, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 20, 2024 | Jul 1, 2025 (223 d) |
| Zachary M Cole | U.S. Bancorp Investments, Inc. BD affiliated | Wealthcare Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 20, 2024 | Nov 5, 2025 (350 d) |
| Sierra Marne Walley | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 20, 2024 | Dec 13, 2024 |
| Samuel Nelson Pegg | U.S. Bancorp Investments, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2024 | Nov 19, 2024 |
| Robert Eugene Hammond | U.S. Bancorp Investments, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 18, 2024 | Nov 15, 2024 |
| Danae Beth Mcdaniel | U.S. Bancorp Investments, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 18, 2024 | Nov 15, 2024 |
| Michelle Arnst Slawny | U.S. Bancorp Investments, Inc. BD affiliated | Associated Investment Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2024 | Mar 18, 2025 (125 d) |
| Sarah Schechinger | U.S. Bancorp Investments, Inc. BD affiliated | Fbl Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2024 | Nov 14, 2024 |
| James Thomas Kirk | U.S. Bancorp Investments, Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Oct 24, 2024 | Apr 15, 2025 (173 d) |
| Kevin Henke | U.S. Bancorp Investments, Inc. BD affiliated | Sanctuary Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2024 | Oct 22, 2024 |
| Daniel P Stavrides | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2024 | Apr 4, 2025 (171 d) |
| Eli Taylor | U.S. Bancorp Investments, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2024 | Jan 6, 2025 (83 d) |
| Donald William Michael | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2024 | Jul 10, 2025 (268 d) |
| Jacob Thomas Gaebler | U.S. Bancorp Investments, Inc. BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Oct 15, 2024 | Oct 11, 2024 |
| Jason Lee Rennecker | U.S. Bancorp Investments, Inc. BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 4, 2024 | Aug 19, 2026 (684 d) |
| Paul Soto Mendoza | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 3, 2024 | Oct 10, 2024 |
| Nicole Marie England | U.S. Bancorp Investments, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 25, 2024 | Oct 1, 2024 |
| Michael Jason Torres | U.S. Bancorp Investments, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Sep 25, 2024 | Feb 28, 2025 (156 d) |
| Darrell T. Mcmanus | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 17, 2024 | Jul 22, 2025 (308 d) |
| Stefanie Ann Scarp | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 13, 2024 | Sep 12, 2024 |
| Nickolas Lallas | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 13, 2024 | Oct 3, 2024 |
| Brittany Reynolds | U.S. Bancorp Investments, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2024 | Nov 19, 2024 (76 d) |
| Margaret O'Kelley | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 26, 2024 | Sep 6, 2024 |
| Beau Gutierrez | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 20, 2024 | Aug 27, 2024 |
| Marilu Hernandez | U.S. Bancorp Investments, Inc. BD affiliated | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 12, 2024 | Aug 16, 2024 |
| Lauren Whitney Lunday | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2024 | Aug 13, 2024 |
| Maricela Hyatt | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 2, 2024 | Aug 1, 2024 |
| Kenneth Clark | U.S. Bancorp Investments, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jul 29, 2024 | Sep 9, 2024 (42 d) |
| Seth William Schafer | U.S. Bancorp Investments, Inc. BD affiliated | Sanctuary Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2024 | Jul 26, 2024 |
| Andrew Mitchell Cullen | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 24, 2024 | Jul 31, 2024 |
| Anthony Stavrati Patridge | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 8, 2024 | Aug 6, 2024 |
1,233 moves match.