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 |
|---|---|---|---|---|---|
| Eric Sheffron | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 13, 2022 | May 6, 2022 |
| Adam Randal Floto | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 13, 2022 | May 5, 2022 |
| Juan Galaviz | U.S. Bancorp Investments, Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2022 | May 7, 2022 |
| Shawn Derek Hampton | U.S. Bancorp Investments, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | May 5, 2022 | May 11, 2022 |
| Andre Rene Ramirez | U.S. Bancorp Investments, Inc. BD affiliated | The Ameriflex Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 28, 2022 | Apr 26, 2022 |
| Timothy Carroll | U.S. Bancorp Investments, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 14, 2022 | Jun 14, 2022 (61 d) |
| Andrea Ringer Koslowsky | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 14, 2022 | Apr 7, 2022 |
| Luke Jordan Bakker | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 11, 2022 | Dec 12, 2023 (610 d) |
| Brandon G Morrell | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 31, 2022 | May 10, 2022 (40 d) |
| Mark Edward Joyner | U.S. Bancorp Investments, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2022 | Jun 29, 2023 (462 d) |
| Verna Carol Conway | U.S. Bancorp Investments, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2022 | Jun 29, 2023 (462 d) |
| Deborah Lynn Terry | U.S. Bancorp Investments, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2022 | Jun 29, 2023 (462 d) |
| Edward Rodman Titcomb | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 22, 2022 | Jul 1, 2025 (1197 d) |
| Teresa A Hayes | U.S. Bancorp Investments, Inc. BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Mar 21, 2022 | Jun 17, 2022 (88 d) |
| Solomon Lee Schmidt | U.S. Bancorp Investments, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 21, 2022 | Mar 21, 2022 |
| Jennifer Lynn Poe | U.S. Bancorp Investments, Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Mar 11, 2022 | Mar 14, 2022 |
| Erica Renee Dunn | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 11, 2022 | Mar 10, 2022 |
| Paul Arthur Goeke | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 11, 2022 | Mar 25, 2022 |
| Michael Timothy Clark | U.S. Bancorp Investments, Inc. BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Mar 11, 2022 | Nov 29, 2021 |
| Pejhmon Kalantar | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 4, 2022 | Sep 6, 2022 (186 d) |
| Chris A. Luttman | U.S. Bancorp Investments, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2022 | Apr 21, 2022 (50 d) |
| Lisa Jean Hamilton | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 25, 2022 | Feb 23, 2022 |
| Robert George Shedd | U.S. Bancorp Investments, Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Feb 18, 2022 | Feb 23, 2022 |
| Derrick Williams | U.S. Bancorp Investments, Inc. BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 4, 2022 | Jan 27, 2022 |
| Gary Hasse | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 28, 2022 | Jan 20, 2022 |
| Walt Axtell | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2022 | Jan 27, 2022 |
| Julie Christine Klimp | U.S. Bancorp Investments, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 28, 2022 | Feb 8, 2022 |
| Jonathan Russell Miller | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 19, 2022 | Jan 27, 2022 |
| Edward Jason Walter | U.S. Bancorp Investments, Inc. BD affiliated | Knights Of Columbus Asset Advisors LLC institutional | Other | Jan 14, 2022 | Jan 12, 2022 |
| Curtis Jon Vorachek | U.S. Bancorp Investments, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2022 | Jun 21, 2022 (158 d) |
| Chevonne Wrenn Farler | U.S. Bancorp Investments, Inc. BD affiliated | Tbh Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 14, 2022 | Jan 13, 2022 |
| Lora Gene Lakatos | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 10, 2022 | Jan 6, 2022 |
| Zachary L Newberg | U.S. Bancorp Investments, Inc. BD affiliated | Midwest Heritage Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 24, 2021 | Jan 18, 2022 |
| Alan Koncal | U.S. Bancorp Investments, Inc. BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 24, 2021 | Oct 5, 2023 (650 d) |
| Peter Gerard Koleske | U.S. Bancorp Investments, Inc. BD affiliated | Wintrust Investments mixed wealth | Affiliated broker-dealer or bank to independent RIA | Dec 23, 2021 | Apr 11, 2022 (109 d) |
| Bradley Joseph Lange | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 14, 2021 | Nov 19, 2021 |
| Vernos Kenneth Williams | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 10, 2021 | Dec 12, 2021 |
| Susan Kaye Dvoracek | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 10, 2021 | Dec 13, 2021 |
| Amy Sue De Haai | U.S. Bancorp Investments, Inc. BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 10, 2021 | Feb 16, 2022 (68 d) |
| Warren Mroczek | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 10, 2021 | Jan 13, 2022 (34 d) |
| Michael Sean Spangler | U.S. Bancorp Investments, Inc. BD affiliated | Sequoia Financial Group, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 26, 2021 | Feb 4, 2022 (70 d) |
| Jay-E S Emmingham | U.S. Bancorp Investments, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2021 | Nov 18, 2021 |
| Luigi R. Auriemma | U.S. Bancorp Investments, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 12, 2021 | Dec 14, 2021 (32 d) |
| Cleveland Ashley | U.S. Bancorp Investments, Inc. BD affiliated | Americafirst Wealth Management, Inc. asset manager | Other | Nov 12, 2021 | Mar 4, 2022 (112 d) |
| Julie Kathleen Mize | U.S. Bancorp Investments, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 5, 2021 | Nov 12, 2021 |
| Logan John Falk | U.S. Bancorp Investments, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 5, 2021 | Dec 22, 2021 (47 d) |
| Kristi D Hill | U.S. Bancorp Investments, Inc. BD affiliated | Tvamp, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 29, 2021 | Nov 24, 2021 |
| Steven Michael Blume | U.S. Bancorp Investments, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Oct 29, 2021 | Aug 14, 2022 (289 d) |
| Nicole Alysse Caizzo | U.S. Bancorp Investments, Inc. BD affiliated | Jfg Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2021 | Nov 24, 2021 |
| Tyler Hentges | U.S. Bancorp Investments, Inc. BD affiliated | Wambolt & Associates, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2021 | Nov 4, 2021 |
| Shannon Louise Friend | U.S. Bancorp Investments, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 22, 2021 | Oct 20, 2021 |
| Loren Jon Piotrowski | U.S. Bancorp Investments, Inc. BD affiliated | Associated Investment Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 8, 2021 | Oct 1, 2021 |
| Sarah Dupuy-Rasmussen | U.S. Bancorp Investments, Inc. BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 8, 2021 | Oct 19, 2021 |
| Lenin Ibarra | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 8, 2021 | Jan 25, 2022 (109 d) |
| Pamela Pena | U.S. Bancorp Investments, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 8, 2021 | Oct 18, 2021 |
| Richard Thomas Ferguson | U.S. Bancorp Investments, Inc. BD affiliated | Beacon Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 8, 2021 | Oct 6, 2021 |
| Brooke Lee Martinez | U.S. Bancorp Investments, Inc. BD affiliated | Western Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 8, 2021 | Oct 5, 2021 |
| Chad C Basel | U.S. Bancorp Investments, Inc. BD affiliated | Nationwide Investment Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2021 | Oct 15, 2021 |
| John Burton Rowoldt | U.S. Bancorp Investments, Inc. BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2021 | Sep 28, 2023 (727 d) |
| Olivia A Thwaits | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 1, 2021 | Aug 27, 2024 (1061 d) |
1,233 moves match.