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 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
Janet Lynn MooneyTlg Advisors, Inc. BD affiliatedUsi Securities, Inc. no RAUMOtherJul 9, 2026Jul 8, 2026
Andrew Charles BeckCbiz Investment Advisory Services, LLC institutionalUsi Securities, Inc. no RAUMOtherJul 6, 2026Sep 2, 2026 (58 d)
Blake Montgomery StevensCbiz Investment Advisory Services, LLC institutionalUsi Securities, Inc. no RAUMOtherNov 4, 2025Dec 1, 2025
Brendan Stewart DailorRaymond James Financial Services Advisors, Inc BD affiliatedUsi Securities, Inc. no RAUMOtherMay 16, 2025May 20, 2025
Amy Lynn JohnstonPrime Capital Financial mixed wealthUsi Securities, Inc. no RAUMOtherMay 17, 2024Aug 11, 2026 (816 d)
Michael Dennis O'RourkeEssex Financial Services, Inc. independent RIAUsi Securities, Inc. no RAUMOtherApr 15, 2024May 17, 2024 (32 d)
Christopher L MoretonGarde Capital, Inc. independent RIAUsi Securities, Inc. no RAUMOtherJan 19, 2024Apr 8, 2024 (80 d)
Justin WoolfJohn Hancock Personal Financial Services, LLC BD affiliatedUsi Securities, Inc. no RAUMOtherJan 10, 2024Feb 15, 2024 (36 d)
Brian John KlecanLineweaver Wealth Advisors independent RIAUsi Securities, Inc. no RAUMOtherDec 20, 2023Mar 11, 2024 (82 d)
David Anthony GraverFort Pitt Capital Group, LLC independent RIAUsi Securities, Inc. no RAUMOtherApr 4, 2023Aug 18, 2023 (136 d)
Kimberly J WadeCerity Partners Ocio LLC independent RIAUsi Securities, Inc. no RAUMOtherJan 3, 2023Aug 15, 2023 (224 d)
Scott Daniel McquillenAmeritas Advisory Services, LLC BD affiliatedUsi Securities, Inc. no RAUMOtherDec 10, 2022Mar 15, 2023 (95 d)
Denise Rachelle ScherGlobal Retirement Partners LLC institutionalUsi Securities, Inc. no RAUMOtherAug 5, 2022Sep 16, 2022 (42 d)
Anthony V SambratoOsaic Fa, Inc. BD affiliatedUsi Securities, Inc. no RAUMOtherMay 16, 2022Jun 15, 2022
Sam Maxwell BlechmanAmeriprise Financial Services, LLC national BDUsi Securities, Inc. no RAUMOtherMay 13, 2022Jun 6, 2022
Krystle Ann KaufmanOnedigital institutionalUsi Securities, Inc. no RAUMOtherSep 10, 2021Sep 30, 2021
Kevin John KocsisCbiz Investment Advisory Services, LLC institutionalUsi Securities, Inc. no RAUMOtherJul 6, 2020Aug 10, 2020 (35 d)
Steven Joseph WhitmanMmc Securities LLC no RAUMUsi Securities, Inc. no RAUMOtherJan 6, 2020Jul 28, 2025 (2030 d)
Wesley Whalen DavisCenterpoint Advantage, LLC unclassifiedUsi Securities, Inc. no RAUMOtherJan 11, 2017Mar 18, 2025 (2988 d)
Brian Christopher WayNorthwestern Mutual Investment Services,LLC otherUsi Securities, Inc. no RAUMOtherSep 18, 2015Jan 8, 2024 (3034 d)
Bernard Peter LevineMorgan Stanley wirehouseUsi Securities, Inc. no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Oct 11, 2010Jul 7, 2022 (4287 d)
Rebecca Jean HilinskiSuntrust Investment Services, Inc. otherUsi Securities, Inc. no RAUMOtherJun 9, 2009Jan 4, 2024 (5322 d)
Michael RaspalloHornor, Townsend & Kent, LLC otherUsi Securities, Inc. no RAUMOtherSep 11, 2006Sep 15, 2006
Drew Willliam PeltonWalnut Street Securities, Inc. otherUsi Securities, Inc. no RAUMOtherOct 18, 2005Oct 4, 2006 (351 d)
John Michael MoodyMML Investors Services, LLC otherUsi Securities, Inc. no RAUMOtherAug 1, 2005Aug 15, 2005
John Monroe BarryAssociated Planners Investment Advisory Inc unclassifiedUsi Securities, Inc. no RAUMOtherApr 6, 2005Jul 1, 2004
Shannon Cheri MainAssociated Securities Corp. unclassifiedUsi Securities, Inc. no RAUMOtherAug 10, 2004Jun 1, 2004
Stephen Edward Napier1717 Capital Management Company unclassifiedUsi Securities, Inc. no RAUMOtherApr 9, 2004Apr 22, 2004
Robin Diane CondonTower Square Securities, Inc. otherUsi Securities, Inc. no RAUMOtherDec 3, 2003Jan 13, 2005 (407 d)
Steven J KaminskiWs Griffith Securities, Inc. unclassifiedUsi Securities, Inc. no RAUMOtherOct 16, 2003Oct 30, 2003
Thomas Edward FayEsi Financial Advisors otherUsi Securities, Inc. no RAUMOtherMay 22, 2003May 22, 2003
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31 moves match.