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.

AdvisorFromToTypeLeftRegistered
Blake Daniel McteeWells Fargo Advisors wirehouseUsca Ria LLC BD affiliatedWirehouse to affiliated broker-dealer or bankMar 3, 2020Feb 10, 2020
David Lee SolomonUsca Asset Management LLC asset managerUsca Ria LLC otherOtherFeb 21, 2020Mar 17, 2014
Emily Eisenhauer FrelingMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseUsca Ria LLC BD affiliatedWirehouse to affiliated broker-dealer or bankJul 31, 2019Nov 1, 2019 (93 d)
Kimberly RipollRBC Capital Markets, LLC national BDUsca Ria LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 22, 2019May 14, 2019
Yona S ReauxRBC Capital Markets, LLC national BDUsca Ria LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 19, 2019Apr 24, 2019 (64 d)
Bradley Robert MillerMorgan Stanley wirehouseUsca Ria LLC BD affiliatedWirehouse to affiliated broker-dealer or bankJan 24, 2019Jan 28, 2019
Gayle Ann TerryRBC Capital Markets, LLC national BDUsca Ria LLC otherOtherNov 22, 2017Nov 10, 2017
Bradley Shannon ShieldsWells Fargo Advisors wirehouseUsca Ria LLC otherOtherApr 12, 2017Apr 5, 2017
Debra Schaper ParantUsca Asset Management LLC otherUsca Ria LLC otherOtherMar 3, 2017Mar 31, 2014
Charles Trask DixWells Fargo Advisors wirehouseUsca Ria LLC otherOtherMar 8, 2016Mar 4, 2016
Clayton Allen FisherWells Fargo Advisors wirehouseUsca Ria LLC otherOtherMar 8, 2016Mar 4, 2016
Denise Lynne CliftonWells Fargo Advisors wirehouseUsca Ria LLC otherOtherMar 8, 2016Mar 4, 2016
Megan Nicole PriceWells Fargo Advisors wirehouseUsca Ria LLC otherOtherMar 8, 2016Mar 4, 2016
Karee Hoffman SampsonWells Fargo Advisors wirehouseUsca Ria LLC otherOtherFeb 16, 2016Feb 12, 2016
Robin Christy AustinWells Fargo Advisors wirehouseUsca Ria LLC otherOtherFeb 16, 2016Feb 12, 2016
Courtney S WatsonWells Fargo Advisors wirehouseUsca Ria LLC otherOtherFeb 16, 2016Feb 12, 2016
John Olwyn DixWells Fargo Advisors wirehouseUsca Ria LLC otherOtherFeb 16, 2016Feb 12, 2016
Joseph C KleinLPL Financial LLC otherUsca Ria LLC otherOtherFeb 5, 2016Jan 21, 2016
Robert David BourlandWells Fargo Advisors wirehouseUsca Ria LLC otherOtherOct 27, 2015Oct 26, 2015
Idania Danielle ReyesUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherJul 6, 2015Jun 24, 2015
Randall Shawn JonesUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherJul 6, 2015Jun 24, 2015
Davis Kelly RushingUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherJul 6, 2015Jun 24, 2015
Kelly Albert RushingUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherJul 6, 2015Jun 24, 2015
Ashley Winkler GilesWells Fargo Advisors wirehouseUsca Ria LLC otherOtherJan 21, 2015Jan 20, 2015
Morris Scott GottesmanWells Fargo Advisors wirehouseUsca Ria LLC otherOtherDec 23, 2014Dec 16, 2014
Joshua Scott HasselbachNorthwestern Mutual Investment Services,LLC otherUsca Ria LLC otherOtherNov 6, 2014Jul 8, 2015 (244 d)
Stuart W HuckinCredit Suisse Securities (USA) LLC otherUsca Ria LLC otherOtherSep 15, 2014Aug 18, 2014
Derek SuWells Fargo Advisors wirehouseUsca Ria LLC otherOtherAug 18, 2014Aug 15, 2014
Michael DelafuenteWells Fargo Advisors wirehouseUsca Ria LLC otherOtherAug 18, 2014Aug 19, 2014
Audrey FerstenAvalon Investment & Advisory otherUsca Ria LLC BD affiliatedOtherAug 12, 2014Oct 15, 2018 (1525 d)
John Austin HowleRaymond James & Associates, Inc. national BDUsca Ria LLC otherOtherJul 14, 2014Aug 28, 2014 (45 d)
Richard Douglas SielingWells Fargo Advisors wirehouseUsca Ria LLC otherOtherJun 30, 2014Jun 27, 2014
Alondra RoblesBarclays Capital Inc. otherUsca Ria LLC otherOtherJun 13, 2014Jun 13, 2014
Gregory Todd LavergneUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherJun 5, 2014May 27, 2014
Karen Elizabeth FrankfortUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherJun 5, 2014Jun 13, 2014
Nicholas Laws ErwinUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherJun 5, 2014Jun 13, 2014
Ryan C RinguetUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherJun 5, 2014Jun 13, 2014
Amanda TonJ.P. Morgan Securities LLC wirehouseUsca Ria LLC otherOtherApr 10, 2014May 23, 2014 (43 d)
Timothy Vaughn MyersWells Fargo Advisors wirehouseUsca Ria LLC otherOtherAug 19, 2013Aug 16, 2013
Kellie Lynne BlancoWells Fargo Advisors wirehouseUsca Ria LLC otherOtherAug 19, 2013Aug 16, 2013
George Wilson HoweRaymond James & Associates, Inc. national BDUsca Ria LLC otherOtherMay 2, 2013Apr 29, 2013
Jessie TimminsNfp Advisor Services, LLC otherUsca Ria LLC otherOtherApr 8, 2013Apr 16, 2013
Myles ScottMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseUsca Ria LLC otherOtherJun 21, 2012Jun 6, 2012
Clifford Ray McteeWells Fargo Advisors wirehouseUsca Ria LLC otherOtherJun 11, 2012Jun 8, 2012
Steve Howell GottSanders Morris LLC otherUsca Ria LLC otherOtherApr 23, 2012May 1, 2012
Patricia Sue TrieglaffUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherApr 3, 2012Mar 26, 2012
Kim-Ha T NguyenUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherOct 17, 2011Oct 7, 2011
William Richard HurtSanders Morris LLC otherUsca Ria LLC otherOtherSep 8, 2011Sep 7, 2011
Titus Holliday HarrisSanders Morris LLC otherUsca Ria LLC otherOtherSep 8, 2011Sep 7, 2011
Jack Brandon RepaSanders Morris LLC otherUsca Ria LLC otherOtherMay 2, 2011May 2, 2011
David Michael KingUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherJan 21, 2011Jan 13, 2011
Leslie Woods RichUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherJan 21, 2011Jan 13, 2011
Barry Stephen GuinnUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherJan 21, 2011Jan 13, 2011
Rachel Marie BrownUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherJan 21, 2011Jan 13, 2011
Gil Aaron BeerUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherJan 11, 2011Jan 24, 2011
Ann Estelle DeatonUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherDec 7, 2010Dec 2, 2010
Elisa C FloresUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherDec 7, 2010Dec 2, 2010
David Michael HarrisUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherDec 6, 2010Jan 3, 2011
Edward RandallUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherNov 5, 2010Nov 25, 2010
Matthew Brooke WestUBS Financial Services Inc. wirehouseUsca Ria LLC otherOtherOct 15, 2010Oct 8, 2010
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67 moves match.