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 |
|---|---|---|---|---|---|
| Michele Brehm | U.S. Bancorp Investments, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 6, 2022 | Nov 15, 2022 (40 d) |
| Celeste E. Foster | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 6, 2022 | Oct 18, 2022 |
| Joseph Lawrence Weidenbach | U.S. Bancorp Investments, Inc. BD affiliated | Calamos Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 6, 2022 | Oct 28, 2022 |
| Jens Christian Fonnesbeck | U.S. Bancorp Investments, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2022 | Oct 3, 2022 |
| Christopher William Doll | U.S. Bancorp Investments, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2022 | Oct 3, 2022 |
| Aaron Benjamin Sandry | U.S. Bancorp Investments, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2022 | Oct 3, 2022 |
| Carlos Alberto Naranjo | U.S. Bancorp Investments, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 3, 2022 | Oct 5, 2022 |
| Michael Donovan Morrison | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 3, 2022 | Oct 12, 2022 |
| Philip Matthew Mercio | U.S. Bancorp Investments, Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Sep 30, 2022 | Sep 27, 2022 |
| Phillip Jason Keen | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 30, 2022 | Nov 2, 2022 (33 d) |
| Gus James Marzavas | U.S. Bancorp Investments, Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Sep 30, 2022 | Sep 27, 2022 |
| Jeffrey Thomas Bone | U.S. Bancorp Investments, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2022 | Oct 12, 2022 |
| Leanne Kim Skelly | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 29, 2022 | Sep 28, 2022 |
| Eric Ma | U.S. Bancorp Investments, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2022 | Oct 3, 2022 |
| Melinda Simms Orozco | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 29, 2022 | Sep 28, 2022 |
| Barry William Wong | U.S. Bancorp Investments, Inc. BD affiliated | Diversify Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2022 | Oct 3, 2023 (370 d) |
| Benjamin Joseph Burkemper | U.S. Bancorp Investments, Inc. BD affiliated | Benjamin F. Edwards & Company, Incorporated BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2022 | Sep 27, 2022 |
| Jeremy Davin Hume | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 22, 2022 | Sep 29, 2022 |
| Clinton Joseph Knopp | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 22, 2022 | Sep 16, 2022 |
| Matthew Estel | U.S. Bancorp Investments, Inc. BD affiliated | Midland Wealth Management other | Other | Sep 14, 2022 | Aug 21, 2023 (341 d) |
| Michael E Williams | U.S. Bancorp Investments, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Sep 9, 2022 | Jan 1, 2025 (845 d) |
| Matthew Scott Hilton | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 9, 2022 | Sep 22, 2022 |
| Tyler Patrick Whalen | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 9, 2022 | Sep 2, 2022 |
| Troy Timothy Sharpe | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 9, 2022 | Sep 12, 2022 |
| David S. Berger | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 31, 2022 | Sep 21, 2022 |
| Elvis Ndahibeshe | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 30, 2022 | Oct 27, 2022 (58 d) |
| Carroll Mac Wilson | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 25, 2022 | Aug 19, 2022 |
| Ryan Timothy Hulslander | U.S. Bancorp Investments, Inc. BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2022 | Sep 1, 2022 |
| Joseph Edwin Stevens | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 25, 2022 | Aug 19, 2022 |
| Christopher Louis Hutson | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 19, 2022 | Aug 15, 2022 |
| Hans-George Jefferson Brase | U.S. Bancorp Investments, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 10, 2022 | Aug 19, 2022 |
| Orlearnda Hoeun | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 4, 2022 | Apr 5, 2023 (244 d) |
| Bradley John Mock | U.S. Bancorp Investments, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 4, 2022 | Sep 26, 2022 (53 d) |
| Jeffery Perkins | U.S. Bancorp Investments, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 29, 2022 | Aug 23, 2022 |
| Marcus Gregory Woodard | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 29, 2022 | Aug 9, 2022 |
| Mohammed Safieddine Ayala | U.S. Bancorp Investments, Inc. BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2022 | Jul 22, 2022 |
| Stephen Tallmadge Kernahan | U.S. Bancorp Investments, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2022 | Jan 13, 2023 (171 d) |
| Jared Michael Cox | U.S. Bancorp Investments, Inc. BD affiliated | First Horizon Advisors, Inc mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2022 | Sep 23, 2022 (63 d) |
| Derrick Michael Meier | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 19, 2022 | Jul 14, 2022 |
| Juan Ibarra | U.S. Bancorp Investments, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 12, 2022 | Jul 8, 2022 |
| Anastasia Thermos | U.S. Bancorp Investments, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2022 | Sep 13, 2022 (67 d) |
| Richard S Capitani | U.S. Bancorp Investments, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 30, 2022 | Aug 22, 2022 (53 d) |
| Michael James Castillo | U.S. Bancorp Investments, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 28, 2022 | Jul 21, 2022 |
| David Andrew Paul | U.S. Bancorp Investments, Inc. BD affiliated | Golden Reserve Retirement, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2022 | Jan 24, 2023 (210 d) |
| Thomas Gerard Rushin | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2022 | Jan 5, 2023 (191 d) |
| Vincent Michael Nerone | U.S. Bancorp Investments, Inc. BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Jun 28, 2022 | Jan 12, 2024 (563 d) |
| Franklin Cruz Santos | U.S. Bancorp Investments, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jun 28, 2022 | Jul 1, 2022 |
| Andrew Paul Thomas | U.S. Bancorp Investments, Inc. BD affiliated | Edelman Financial Engines mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2022 | Jul 21, 2022 |
| Douglas Busken | U.S. Bancorp Investments, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 28, 2022 | Sep 19, 2022 (83 d) |
| John Steven Moore | U.S. Bancorp Investments, Inc. BD affiliated | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 23, 2022 | Jun 22, 2022 |
| Joshua Nathaniel Wind | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 23, 2022 | Jun 21, 2022 |
| Seth Adam Prescott | U.S. Bancorp Investments, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 17, 2022 | Dec 26, 2023 (557 d) |
| Jeffrey Fay | U.S. Bancorp Investments, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2022 | Jun 13, 2022 |
| Deana Hyde | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 16, 2022 | Jun 22, 2022 |
| Jessica Esther Snyder | U.S. Bancorp Investments, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 16, 2022 | Jun 24, 2022 |
| Garrick Scot Sasa | U.S. Bancorp Investments, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 16, 2022 | Jul 21, 2022 (35 d) |
| Justin Lawrence Schaffer | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 10, 2022 | Dec 19, 2022 (192 d) |
| Timothy Dj Roche | U.S. Bancorp Investments, Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2022 | Jun 6, 2022 |
| John Craner | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 2, 2022 | Jun 2, 2022 |
| Brett Michael Kasak | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 13, 2022 | Aug 29, 2022 (108 d) |
1,233 moves match.