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 |
|---|---|---|---|---|---|
| Philip Kong | U.S. Bancorp Investments, Inc. BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2021 | Sep 24, 2021 |
| Steve Lee | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 28, 2021 | Sep 30, 2021 |
| Keith Eugene Dershem | U.S. Bancorp Investments, Inc. BD affiliated | Bartlett & Co. Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 23, 2021 | Oct 21, 2021 |
| Joshua Nathanial Pauli | U.S. Bancorp Investments, Inc. BD affiliated | Benjamin F. Edwards & Company, Incorporated BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2021 | Sep 13, 2021 |
| Nicole Ann Burroughs | U.S. Bancorp Investments, Inc. BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2021 | Oct 7, 2021 (36 d) |
| Angela Y Ngan | U.S. Bancorp Investments, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 27, 2021 | Sep 28, 2021 (32 d) |
| Richard Bryan Stone | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 20, 2021 | Jul 30, 2021 |
| Daniel Lee Greer | U.S. Bancorp Investments, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2021 | Sep 13, 2021 (33 d) |
| John William Ratey | U.S. Bancorp Investments, Inc. BD affiliated | Ally Invest Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 11, 2021 | Oct 8, 2021 (58 d) |
| Andrew Charles Ruud | U.S. Bancorp Investments, Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2021 | May 16, 2022 (278 d) |
| Patrick Duggan | U.S. Bancorp Investments, Inc. BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 10, 2021 | Aug 12, 2021 |
| Robert Haug | U.S. Bancorp Investments, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 10, 2021 | Nov 17, 2021 (99 d) |
| Christina Simonyi | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 10, 2021 | Jan 3, 2022 (146 d) |
| Antonio Almaraz | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 29, 2021 | Jul 27, 2021 |
| Christopher Fetzer | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 29, 2021 | Jul 22, 2021 |
| Daniel John Dullum | U.S. Bancorp Investments, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 29, 2021 | Jul 28, 2021 |
| Dane Alden Bradford | U.S. Bancorp Investments, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2021 | Jun 29, 2023 (706 d) |
| Anna Cathleen Kupper | U.S. Bancorp Investments, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2021 | Jun 29, 2023 (706 d) |
| Victor Hugo Avila | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 16, 2021 | Jul 23, 2021 |
| Scott Matthew Biertzer | U.S. Bancorp Investments, Inc. BD affiliated | Associated Investment Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2021 | Jul 14, 2021 |
| Scott Matthew Irwin | U.S. Bancorp Investments, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2021 | Sep 14, 2023 (792 d) |
| Michael D Dunn | U.S. Bancorp Investments, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 9, 2021 | Oct 29, 2021 (112 d) |
| John Harrison Ellis | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 9, 2021 | Jun 28, 2021 |
| Jessica Sara Durand | U.S. Bancorp Investments, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 6, 2021 | Jun 3, 2022 (332 d) |
| Jeffrey D Canakes | U.S. Bancorp Investments, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 25, 2021 | Jun 18, 2021 |
| Julie L Brandt | U.S. Bancorp Investments, Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Jun 25, 2021 | Dec 7, 2022 (530 d) |
| Jacob Winstanley Schmitt | U.S. Bancorp Investments, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2021 | Dec 7, 2023 (895 d) |
| Les James Miller | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 22, 2021 | Jun 17, 2021 |
| Kyle David Appelbaum | U.S. Bancorp Investments, Inc. BD affiliated | Abraham & Co., Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 22, 2021 | Jul 22, 2021 |
| Mark Henning Anderson | U.S. Bancorp Investments, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 21, 2021 | Jul 22, 2021 (31 d) |
| Ryan Patrick Voet | U.S. Bancorp Investments, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2021 | Nov 11, 2021 (146 d) |
| Kristian Phillip Malcontento | U.S. Bancorp Investments, Inc. BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2021 | May 17, 2021 |
| Christopher Calin Mcgrann | U.S. Bancorp Investments, Inc. BD affiliated | Riverbridge mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 1, 2021 | May 25, 2021 |
| Jill Lauren Henson | U.S. Bancorp Investments, Inc. BD affiliated | Journey Advisory Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 28, 2021 | Jun 23, 2021 |
| Corina Sanda Bande-Arias | U.S. Bancorp Investments, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | May 28, 2021 | Jun 14, 2021 |
| Rozina Salim Rupani | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 28, 2021 | Jun 1, 2021 |
| Kevin Matthew Eames | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 28, 2021 | Jun 21, 2021 |
| Patrick Ryan Wilker | U.S. Bancorp Investments, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 27, 2021 | Jun 11, 2021 |
| Daniel Eugene Duran | U.S. Bancorp Investments, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 21, 2021 | Jun 7, 2021 |
| Mustafa Baghshi | U.S. Bancorp Investments, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 21, 2021 | Jun 10, 2021 |
| Anthony J Cognetta | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 20, 2021 | Mar 23, 2023 (672 d) |
| Samuel F Zabkowicz | U.S. Bancorp Investments, Inc. BD affiliated | Drake & Associates, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 18, 2021 | Jun 22, 2021 (35 d) |
| Charles D Dodds | U.S. Bancorp Investments, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | May 14, 2021 | Aug 13, 2021 (91 d) |
| Thomas Allen Barten | U.S. Bancorp Investments, Inc. BD affiliated | United Advisors America independent RIA | Affiliated broker-dealer or bank to independent RIA | May 11, 2021 | Jun 9, 2021 |
| William Robert Sample | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 30, 2021 | Oct 22, 2021 (175 d) |
| Colin J. Reilly | U.S. Bancorp Investments, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 26, 2021 | Jul 19, 2021 (84 d) |
| Alexander Mitchell Murphy | U.S. Bancorp Investments, Inc. BD affiliated | Ally Invest Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2021 | Dec 17, 2021 (238 d) |
| Richard Gaff | U.S. Bancorp Investments, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2021 | Aug 4, 2021 (106 d) |
| Savanah M Arellano | U.S. Bancorp Investments, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 16, 2021 | May 17, 2021 (31 d) |
| Jennifer Foster | U.S. Bancorp Investments, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 15, 2021 | Mar 31, 2021 |
| Linda Kay Winkelman | U.S. Bancorp Investments, Inc. BD affiliated | Northrock Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 13, 2021 | May 9, 2021 |
| Haley Davis | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 9, 2021 | Apr 6, 2021 |
| Donial Ehzar Nikooei | U.S. Bancorp Investments, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 9, 2021 | Apr 23, 2021 |
| Michael Allen Curley | U.S. Bancorp Investments, Inc. BD affiliated | Clear Perspectives Financial Planning, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 5, 2021 | Apr 16, 2021 |
| Alejandra Benavides Morin | U.S. Bancorp Investments, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 26, 2021 | Apr 27, 2021 (32 d) |
| Stephanie Michelle Patton | U.S. Bancorp Investments, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 19, 2021 | Jun 29, 2023 (832 d) |
| Anthony Paul Rahrig | U.S. Bancorp Investments, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 19, 2021 | Jun 29, 2023 (832 d) |
| Teresa Dawn Clements | U.S. Bancorp Investments, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 17, 2021 | Mar 10, 2021 |
| Benny Ellerbe | U.S. Bancorp Investments, Inc. BD affiliated | Tcfg Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 16, 2021 | Mar 11, 2021 |
| Jennifer Marie Winge | U.S. Bancorp Investments, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 15, 2021 | Mar 18, 2021 |
1,233 moves match.