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 U.S. Capital Wealth Advisors, 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 |
|---|---|---|---|---|---|
| Lawrence G Mcneill | Wells Fargo Advisors wirehouse | U.S. Capital Wealth Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 14, 2026 | May 7, 2026 |
| Jake Isaiah Given | UBS Financial Services Inc. wirehouse | U.S. Capital Wealth Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 23, 2026 | Jan 7, 2026 |
| Roman Feagins Reed | Oppenheimer & Co. Inc. BD affiliated | U.S. Capital Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 5, 2025 | Dec 3, 2025 |
| Aaron Salgado | Thrivent Investment Management Inc. BD affiliated | U.S. Capital Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 4, 2025 | Oct 17, 2025 (74 d) |
| Larissa Anna Poindexter | Oppenheimer & Co. Inc. BD affiliated | U.S. Capital Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 14, 2025 | Mar 24, 2025 |
| Ben Meadows | Grace Capital Management, LLC independent RIA | U.S. Capital Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 17, 2025 | Oct 3, 2024 |
| Lavada Fulgham Waters | Inscription Capital, LLC independent RIA | U.S. Capital Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 24, 2025 | Jan 29, 2025 |
| Stephan M Farber | Inscription Capital, LLC independent RIA | U.S. Capital Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 24, 2025 | Jan 29, 2025 |
| Enrique Araiza | Titleist Asset Management, LLC independent RIA | U.S. Capital Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 21, 2025 | Jan 22, 2025 |
| Kenneth Mathieson | Laidlaw Wealth Management LLC independent RIA | U.S. Capital Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 7, 2025 | Jan 13, 2025 |
| Keith Hassan | Laidlaw Wealth Management LLC independent RIA | U.S. Capital Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2024 | Jan 7, 2025 |
| John Walter Cross | Laidlaw Wealth Management LLC independent RIA | U.S. Capital Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2024 | Jan 28, 2025 |
| John Mcdermott | Laidlaw Wealth Management LLC independent RIA | U.S. Capital Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2024 | Jan 7, 2025 |
| Samuel D Parker Jr. | UBS Financial Services Inc. wirehouse | U.S. Capital Wealth Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 3, 2024 | Jun 3, 2024 |
| Davis Kelly Rushing | Usca Asset Management LLC asset manager | U.S. Capital Wealth Advisors, LLC independent RIA | Other | Mar 13, 2024 | Jun 30, 2021 |
| Kelly Albert Rushing | Usca Asset Management LLC asset manager | U.S. Capital Wealth Advisors, LLC independent RIA | Other | Mar 13, 2024 | Jun 30, 2021 |
| David Michael Harris | Usca Asset Management LLC asset manager | U.S. Capital Wealth Advisors, LLC independent RIA | Other | Oct 5, 2023 | Jun 30, 2021 |
| Tammy Nguyen Lee | Alpha Cubed Investments, LLC independent RIA | U.S. Capital Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 22, 2022 | Dec 16, 2022 |
| Deborah L Ray | Pinnacle Private Wealth, LLC independent RIA | U.S. Capital Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 12, 2022 | Aug 31, 2022 |
| Michael Francis O'Connor | Pinnacle Private Wealth, LLC independent RIA | U.S. Capital Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 8, 2022 | Aug 29, 2022 |
| Daniel Joseph Sexton | Pinnacle Private Wealth, LLC independent RIA | U.S. Capital Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 8, 2022 | Oct 31, 2022 (53 d) |
| Hugh Patrick Maginnis | Pinnacle Private Wealth, LLC independent RIA | U.S. Capital Wealth Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 8, 2022 | Aug 30, 2022 |
| Stephen James Tolbert | UBS Financial Services Inc. wirehouse | U.S. Capital Wealth Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 6, 2022 | May 12, 2022 |
| Jesse Charles Isensee | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Capital Wealth Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 27, 2022 | Apr 25, 2022 |
| Bradley Alan Slater | Lion Street Advisors, LLC BD affiliated | U.S. Capital Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2022 | Jun 22, 2023 (470 d) |
| Patrick Michael Mendenhall | Usca Asset Management LLC asset manager | U.S. Capital Wealth Advisors, LLC independent RIA | Other | Aug 24, 2021 | Jun 30, 2021 |
| Steve Howell Gott | Usca Asset Management LLC asset manager | U.S. Capital Wealth Advisors, LLC independent RIA | Other | Aug 24, 2021 | Jun 30, 2021 |
| David Michael King | Usca Asset Management LLC asset manager | U.S. Capital Wealth Advisors, LLC independent RIA | Other | Aug 24, 2021 | Jun 30, 2021 |
| Randall Shawn Jones | Usca Asset Management LLC asset manager | U.S. Capital Wealth Advisors, LLC independent RIA | Other | Aug 24, 2021 | Jun 30, 2021 |
| Jon P Meyer | Halbert Wealth Management, Inc independent RIA | U.S. Capital Wealth Advisors, LLC independent RIA | RIA to RIA | Nov 2, 2018 | Nov 19, 2018 |
| Ransom Howard Adams | Usaa Investment Services Company BD affiliated | U.S. Capital Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 13, 2018 | Mar 1, 2018 |
| Michelle Garland Deal | Strategic Advisers LLC national BD | U.S. Capital Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 4, 2018 | Feb 5, 2019 (338 d) |
| Christi Lynn Van Rite | Raymond James & Associates, Inc. national BD | U.S. Capital Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2018 | Feb 5, 2018 |
| Kenneth Dale Cooper | Commonwealth Financial Network national BD | U.S. Capital Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 13, 2017 | Jan 8, 2018 (179 d) |
| Matthew James Shields | Pruco Securities, LLC other | U.S. Capital Wealth Advisors, LLC no RAUM | Other | Jun 21, 2017 | Jun 16, 2017 |
| Raymond Michael Massey | Commonwealth Financial Network national BD | U.S. Capital Wealth Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 2, 2017 | Jun 2, 2017 |
| Kelly Ryan Cooper | Commonwealth Financial Network national BD | U.S. Capital Wealth Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 2, 2017 | Jun 2, 2017 |
| James Mcdaniel | Commonwealth Financial Network national BD | U.S. Capital Wealth Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 2, 2017 | Jun 2, 2017 |
| Michael B Irvin | Commonwealth Financial Network national BD | U.S. Capital Wealth Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 2, 2017 | Jun 2, 2017 |
| Dallan Chris Maas | Commonwealth Financial Network national BD | U.S. Capital Wealth Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 2, 2017 | Jun 2, 2017 |
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40 moves match.