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 Usi Securities, 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.

AdvisorFromToTypeLeftRegistered
Brendan Stewart DailorUsi Securities, Inc. no RAUMHornor, Townsend & Kent, LLC independent RIAOtherAug 19, 2026Sep 16, 2026
Kimberly J WadeUsi Securities, Inc. no RAUMMma Securities LLC no RAUMOtherMay 18, 2026Jun 23, 2026 (36 d)
Scott Daniel McquillenUsi Securities, Inc. no RAUMAssetmark, Inc. BD affiliatedOtherMay 6, 2026Jun 16, 2026 (41 d)
Taylor Scott DrahnUsi Securities, Inc. no RAUMIma Advisory Services, Inc. mixed wealthOtherApr 13, 2026Jul 23, 2026 (101 d)
Kimberly Ann YoungermanUsi Securities, Inc. no RAUMRetirement And Wealth At Alliant, LLC institutionalOtherMar 3, 2026Jul 13, 2026 (132 d)
Brian John KlecanUsi Securities, Inc. no RAUMCbiz Investment Advisory Services, LLC institutionalOtherOct 23, 2025Sep 9, 2026 (321 d)
David Anthony GraverUsi Securities, Inc. no RAUMConfluence Financial Partners independent RIAOtherOct 10, 2025Oct 15, 2025
Anthony V SambratoUsi Securities, Inc. no RAUMMML Investors Services, LLC BD affiliatedOtherJun 2, 2025Jun 19, 2025
Sam Maxwell BlechmanUsi Securities, Inc. no RAUMOnedigital institutionalOtherApr 17, 2025May 5, 2025
Justin WoolfUsi Securities, Inc. no RAUMT. Rowe Price Associates, Inc. asset managerOtherOct 30, 2024Nov 14, 2024
Christopher L MoretonUsi Securities, Inc. no RAUMBrighton Jones LLC independent RIAOtherOct 4, 2024Oct 22, 2024
Kevin John KocsisUsi Securities, Inc. no RAUMMorgan Stanley wirehouseOtherDec 31, 2021Feb 7, 2022 (38 d)
Austin John OrtUsi Securities, Inc. no RAUMIra Group, Inc. institutionalOtherMar 25, 2020Apr 7, 2020
Thomas Edward FayUsi Securities, Inc. no RAUMValmark Advisers, Inc. otherOtherNov 24, 2015Nov 10, 2015
Louis Michael ResslerUsi Securities, Inc. no RAUMUsi Advisors otherOtherJun 5, 2015Jun 5, 2015
Theodore E DemersUsi Securities, Inc. no RAUMCommonwealth Financial Network national BDOtherJun 11, 2013Jun 17, 2013
Steven J KaminskiUsi Securities, Inc. no RAUMHarvest Capital Advisors, LLC unclassifiedOtherJun 5, 2012Jun 5, 2012
Stephen Edward NapierUsi Securities, Inc. no RAUMNew England Securities Corporation otherOtherMar 28, 2011Mar 23, 2011
Jason Colin PatrickUsi Securities, Inc. no RAUMUsi Advisors otherOtherMar 2, 2009Mar 3, 2009
Shannon Cheri MainUsi Securities, Inc. no RAUMUsi Advisors otherOtherSep 10, 2008Jan 26, 2007
James J CiprichUsi Securities, Inc. no RAUMRegentatlantic otherOtherOct 5, 2007Oct 29, 2007
Michael RaspalloUsi Securities, Inc. no RAUMMML Investors Services, LLC otherOtherAug 3, 2007Sep 26, 2007 (54 d)
Drew Willliam PeltonUsi Securities, Inc. no RAUMUSA Wealth Management LLC otherOtherJun 29, 2007Oct 1, 2009 (825 d)
John Monroe BarryUsi Securities, Inc. no RAUMNational Planning Corporation ("Npc Of America" In Fl & Ny) otherOtherJan 3, 2007Jan 4, 2007
John Arthur O'ConnorUsi Securities, Inc. no RAUMUsi Advisors otherOtherMay 9, 2006Jan 2, 2001
John Michael MoodyUsi Securities, Inc. no RAUMMML Investors Services, LLC otherOtherApr 25, 2006Nov 1, 2006 (190 d)
Robin Diane CondonUsi Securities, Inc. no RAUMLincoln Financial Distributors, Inc. unclassifiedOtherMay 23, 2005Jun 6, 2005
Brian Norton CaineUsi Securities, Inc. no RAUMMML Investors Services, LLC BD affiliatedOtherFeb 3, 2003Apr 10, 2023 (7371 d)
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28 moves match.