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.
Teams that left USA Financial Securities LLC
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | USA Financial Securities LLC independent RIA | J. W. Cole Advisors, Inc. BD affiliated | Grand Rapids, Mi +1 | RIA to affiliated broker-dealer or bank | Sep 8, 2025 |
| 6 | USA Financial Securities LLC independent RIA | Kestra Advisory Services, LLC BD affiliated | Fort Wayne, In | RIA to affiliated broker-dealer or bank | Nov 27, 2023 |
| 6 | USA Financial Securities LLC independent RIA | Centaurus Financial, Inc. BD affiliated | Tomball, Tx | RIA to affiliated broker-dealer or bank | Jan 20, 2023 |
| 4 | USA Financial Securities LLC independent RIA | Creativeone Wealth, LLC independent RIA | Traverse City, Mi | RIA to RIA | Dec 15, 2022 |
| 2 | USA Financial Securities LLC independent RIA | Hartwell & Company state registered | St Joseph, Mi | RIA to a state-registered adviser | Oct 12, 2022 |
| 3 | USA Financial Securities LLC independent RIA | Strategic Financial Group, L.L.C. state registered | Grand Rapids, Mi | RIA to a state-registered adviser | Jan 7, 2022 |
| 2 | USA Financial Securities LLC independent RIA | H. Beck, Inc. BD affiliated | San Jose, Ca | RIA to affiliated broker-dealer or bank | Dec 1, 2020 |
| 2 | USA Financial Securities LLC independent RIA | Gradient Advisors, LLC independent RIA | Ada, Mi | RIA to RIA | Apr 1, 2020 |
| 2 | USA Financial Securities LLC independent RIA | Madison Avenue Securities, LLC independent RIA | Fishers, In | RIA to RIA | Sep 26, 2019 |
| 2 | USA Financial Securities LLC independent RIA | Concourse Financial Group Advisors BD affiliated | Fort Wayne, In | RIA to affiliated broker-dealer or bank | Jun 19, 2018 over 6 d |