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 |
|---|---|---|---|---|---|
| Tobias Shiner | U.S. Bancorp Investments, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 24, 2024 | Aug 16, 2024 (53 d) |
| Jonathan Matthew Rafferty | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 24, 2024 | Jul 10, 2024 |
| Benjamin C. Richards | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 13, 2024 | Jun 19, 2024 |
| Connor James Wiesner | U.S. Bancorp Investments, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2024 | May 30, 2024 |
| Jackson Keith Ringelberg | U.S. Bancorp Investments, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2024 | Jun 4, 2024 |
| Nathan James Anderson | U.S. Bancorp Investments, Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | May 28, 2024 | Jun 6, 2024 |
| Naveen Paul Sharma | U.S. Bancorp Investments, Inc. BD affiliated | Nicollet Investment Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 24, 2024 | Jun 26, 2024 (33 d) |
| Sean Douglas Ridley | U.S. Bancorp Investments, Inc. BD affiliated | Moneta Group Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 22, 2024 | May 23, 2024 |
| Kyle Steven Perisic | U.S. Bancorp Investments, Inc. BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2024 | Jun 3, 2024 |
| Francis Ronald Medley | U.S. Bancorp Investments, Inc. BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2024 | May 15, 2024 |
| Nicole Koren Clark | U.S. Bancorp Investments, Inc. BD affiliated | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2024 | Mar 10, 2025 (307 d) |
| Allison Rose Osgood | U.S. Bancorp Investments, Inc. BD affiliated | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2024 | Dec 11, 2023 |
| Saimir Astrit Prapaniku | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 22, 2024 | Mar 29, 2024 |
| Steven Edward Hauser | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 18, 2024 | Apr 16, 2024 |
| Henry Giovany Narvaez | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2024 | Apr 22, 2024 |
| Maxito Pierre Isenhower | U.S. Bancorp Investments, Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2024 | Apr 26, 2024 |
| Teodoro Uytingban | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 5, 2024 | Apr 4, 2024 |
| Enrique Andres Juarez | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 2, 2024 | Mar 29, 2024 |
| Anthony Viducic | U.S. Bancorp Investments, Inc. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 28, 2024 | Apr 19, 2024 |
| Timothy Thomas Bonk | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 28, 2024 | Apr 10, 2024 |
| Arnel Kostic | U.S. Bancorp Investments, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 22, 2024 | Apr 8, 2024 |
| Peter T Smith | U.S. Bancorp Investments, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 21, 2024 | Mar 15, 2024 |
| Ronny Inniger | U.S. Bancorp Investments, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 18, 2024 | Mar 15, 2024 |
| Jonathan Mouavangsou | U.S. Bancorp Investments, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 14, 2024 | Mar 25, 2024 |
| Frank Jerome Grossman | U.S. Bancorp Investments, Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 12, 2024 | Mar 14, 2024 |
| Barry Nelson | U.S. Bancorp Investments, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2024 | Jul 15, 2024 (125 d) |
| Vic Leung | U.S. Bancorp Investments, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2024 | Apr 11, 2024 |
| Alicia Brooke Lantz | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2024 | May 13, 2024 (62 d) |
| Erin Marie Purcell | U.S. Bancorp Investments, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 12, 2024 | May 1, 2024 (50 d) |
| Zenaida C Tsung | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 12, 2024 | Oct 21, 2024 (223 d) |
| Alexander Thomas Pedraita | U.S. Bancorp Investments, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2024 | Jul 25, 2024 (135 d) |
| Matthew Gafoa Fetui | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 16, 2024 | Feb 9, 2024 |
| Charles Ross Campbell | U.S. Bancorp Investments, Inc. BD affiliated | Blackwatch Financial Group, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 14, 2024 | Apr 26, 2024 (72 d) |
| Nathaniel P Conery | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 30, 2024 | Feb 7, 2024 |
| Christopher Grant Clauson | U.S. Bancorp Investments, Inc. BD affiliated | Nations Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2024 | Jan 19, 2024 |
| Ricky Thorson | U.S. Bancorp Investments, Inc. BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 18, 2024 | Jan 22, 2024 |
| Debby L Kurniawati | U.S. Bancorp Investments, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 9, 2024 | Sep 20, 2024 (255 d) |
| Caryn Lynell Corbin | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 20, 2023 | Jan 10, 2024 |
| Vera Jalilla Feldbusch | U.S. Bancorp Investments, Inc. BD affiliated | Mtc Wealth Management asset manager | Other | Dec 8, 2023 | Feb 19, 2025 (439 d) |
| William Harcourt Lynn | U.S. Bancorp Investments, Inc. BD affiliated | Arq Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 7, 2023 | Jan 19, 2024 (43 d) |
| Yong Joon Cho | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 1, 2023 | Dec 7, 2023 |
| Karl Diebold | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 17, 2023 | Nov 16, 2023 |
| Randal Warren Best | U.S. Bancorp Investments, Inc. BD affiliated | Planvision, LLC no RAUM | Other | Nov 10, 2023 | Apr 28, 2026 (900 d) |
| Joseph Huckleby | U.S. Bancorp Investments, Inc. BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2023 | Nov 14, 2023 |
| Ryan Martin | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 10, 2023 | Nov 6, 2023 |
| Lawrence Lam | U.S. Bancorp Investments, Inc. BD affiliated | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2023 | Nov 7, 2023 |
| Angelo Rufino | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 3, 2023 | Nov 13, 2023 |
| Theresa Anne Kumar | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 2, 2023 | Nov 3, 2023 |
| Alexandar Milovanovich | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 1, 2023 | Nov 3, 2023 |
| Ana Ha Le | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 19, 2023 | Oct 9, 2023 |
| Ryan Allen Sexson | U.S. Bancorp Investments, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2023 | Nov 1, 2023 |
| John M Thorson | U.S. Bancorp Investments, Inc. BD affiliated | Nicolet Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 4, 2023 | Oct 30, 2023 |
| Blaise Poupore | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 4, 2023 | Oct 6, 2023 |
| Lindsay Michelle Rogers | U.S. Bancorp Investments, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 21, 2023 | Oct 2, 2023 |
| Nidaa Petros Kalasho | U.S. Bancorp Investments, Inc. BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 20, 2023 | Sep 20, 2023 |
| Michael Azzaro | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 14, 2023 | Sep 8, 2023 |
| Anthony Charles Hill | U.S. Bancorp Investments, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2023 | Aug 19, 2025 (706 d) |
| Sarah Kelsey Pham | U.S. Bancorp Investments, Inc. BD affiliated | Lido independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 13, 2023 | Feb 9, 2024 (149 d) |
| Adolfo A Herrera | U.S. Bancorp Investments, Inc. BD affiliated | Wintrust Investments mixed wealth | Affiliated broker-dealer or bank to independent RIA | Sep 8, 2023 | Sep 6, 2023 |
| Ross Blount | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 8, 2023 | Sep 7, 2023 |
1,233 moves match.