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 U.S. Bancorp Advisors, 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 |
|---|---|---|---|---|---|
| 3 | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Phoenix, Az +2 | Affiliated broker-dealer or bank to another | Nov 4, 2024 |
| 3 | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | San Diego, Ca +2 | Affiliated broker-dealer or bank to another | Nov 4, 2024 over 10 d |
| 39 | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | San Francisco, Ca +24 | Affiliated broker-dealer or bank to another | May 31, 2023 over 20 d |
| 2 | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Bellevue, Wa +1 | Affiliated broker-dealer or bank to another | May 31, 2023 over 1 d |
| 2 | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Sunnyvale, Ca +1 | Affiliated broker-dealer or bank to wirehouse | Feb 8, 2023 over 13 d |
| 2 | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Tustin, Ca +1 | Affiliated broker-dealer or bank to wirehouse | Jun 29, 2022 over 12 d |
| 2 | U.S. Bancorp Advisors, LLC BD affiliated | Morgan Stanley wirehouse | San Jose, Ca +1 | Affiliated broker-dealer or bank to wirehouse | May 6, 2022 over 3 d |
| 2 | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Thousand Oaks, Ca | Affiliated broker-dealer or bank to wirehouse | Apr 19, 2022 |
| 2 | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Carlsbad, Ca +1 | Affiliated broker-dealer or bank to wirehouse | Jul 6, 2021 over 1 d |
| 2 | U.S. Bancorp Advisors, LLC BD affiliated | Raymond James & Associates, Inc. national BD | Morgan Hill, Ca | Affiliated broker-dealer or bank to another | Mar 11, 2021 |
| 2 | U.S. Bancorp Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Torrance, Ca +1 | Affiliated broker-dealer or bank to wirehouse | Feb 4, 2021 over 5 d |
| 2 | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Los Angeles, Ca +1 | Affiliated broker-dealer or bank to another | Dec 1, 2020 over 1 d |
| 2 | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Chino Hills, Ca +1 | Affiliated broker-dealer or bank to another | Aug 19, 2020 over 12 d |
| 4 | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Ramona, Ca +3 | Affiliated broker-dealer or bank to another | Jul 8, 2020 over 1 d |
| 2 | U.S. Bancorp Advisors, LLC BD affiliated | Morgan Stanley wirehouse | San Diego, Ca +1 | Affiliated broker-dealer or bank to wirehouse | Feb 27, 2020 |
| 4 | U.S. Bancorp Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Lajolla, Ca +3 | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2019 over 7 d |
| 3 | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Artesia, Ca +2 | Affiliated broker-dealer or bank to another | Apr 4, 2019 over 18 d |
| 2 | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | San Diego, Ca +1 | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2019 over 4 d |
| 3 | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Woodland Hills, Ca +2 | Affiliated broker-dealer or bank to another | Oct 3, 2018 over 8 d |
| 3 | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Mission Viejo, Ca +2 | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2018 |
| 2 | U.S. Bancorp Advisors, LLC other | RBC Securities, Inc. other | San Diego, Ca +1 | Other | Nov 28, 2017 |
| 2 | U.S. Bancorp Advisors, LLC other | J.P. Morgan Securities LLC wirehouse | City Of Industry, Ca +1 | Other | Jun 16, 2016 over 7 d |