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
Arrivals at Usca Ria LLC
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 |
|---|---|---|---|---|---|
| Scott Michael Selzer | UBS Financial Services Inc. wirehouse | Usca Ria LLC other | Other | Oct 15, 2010 | Oct 8, 2010 |
| Christian Chance Bauman | UBS Financial Services Inc. wirehouse | Usca Ria LLC other | Other | Oct 14, 2010 | Oct 25, 2010 |
| Daniel Wayne Vickery | UBS Financial Services Inc. wirehouse | Usca Ria LLC other | Other | Sep 30, 2010 | Nov 25, 2010 (56 d) |
| Deborah Ann Palmer | UBS Financial Services Inc. wirehouse | Usca Ria LLC other | Other | Aug 24, 2010 | Jan 3, 2012 (497 d) |
| Julieta H Sandoval | UBS Financial Services Inc. wirehouse | Usca Ria LLC other | Other | Aug 24, 2010 | Dec 22, 2011 (485 d) |
| Mark Eric Dahl | Osaic Fa, Inc. other | Usca Ria LLC other | Other | Aug 3, 2010 | Jan 19, 2012 (534 d) |
| Patrick Michael Mendenhall | UBS Financial Services Inc. wirehouse | Usca Ria LLC other | Other | Aug 17, 2009 | Jan 6, 2010 (142 d) |
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67 moves match.