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 joined 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 |
|---|---|---|---|---|---|
| 2 | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC BD affiliated | Wayzata, Mn +1 | Wirehouse to affiliated broker-dealer or bank | May 25, 2026 over 14 d |
| 2 | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC BD affiliated | Long Beach, Ca +1 | Wirehouse to affiliated broker-dealer or bank | May 26, 2025 over 2 d |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC BD affiliated | Los Angeles, Ca +1 | Wirehouse to affiliated broker-dealer or bank | Feb 4, 2025 over 7 d |
| 2 | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC BD affiliated | Woodland Hills, Ca +1 | Wirehouse to affiliated broker-dealer or bank | Feb 24, 2022 over 4 d |
| 2 | Charles Schwab & Co., Inc. national BD | U.S. Bancorp Advisors, LLC BD affiliated | Phoenix, Az | Affiliated broker-dealer or bank to another | Jun 21, 2021 over 8 d |
| 2 | U.S. Bancorp Investments, Inc. BD affiliated | U.S. Bancorp Advisors, LLC BD affiliated | San Diego, Ca +1 | Affiliated broker-dealer or bank to another | Mar 25, 2019 over 2 d |
| 2 | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | San Francisco, Ca +1 | Other | Jan 25, 2017 over 6 d |
| 2 | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Encinitas, Ca +1 | Other | Jun 13, 2016 over 14 d |
| 2 | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Westwood, Ca +1 | Other | May 7, 2015 |