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 teams

Teams that joined U.S. Bancorp Investments, Inc.

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	LPL Financial LLC BD affiliated	U.S. Bancorp Investments, Inc. BD affiliated	Burbank, Ca +2	Affiliated broker-dealer or bank to another	Jul 26, 2024 over 14 d
3	Cetera Investment Advisers LLC BD affiliated	U.S. Bancorp Investments, Inc. BD affiliated	Los Angeles, Ca	Affiliated broker-dealer or bank to another	Oct 31, 2023 over 6 d
3	Wells Fargo Advisors wirehouse	U.S. Bancorp Investments, Inc. BD affiliated	Roseville, Ca +2	Wirehouse to affiliated broker-dealer or bank	Oct 24, 2023 over 9 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	U.S. Bancorp Investments, Inc. BD affiliated	Newport Beach, Ca +1	Wirehouse to affiliated broker-dealer or bank	Oct 16, 2023 over 9 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	U.S. Bancorp Investments, Inc. BD affiliated	Roseville, Ca +1	Wirehouse to affiliated broker-dealer or bank	Sep 21, 2023 over 5 d
2	Cetera Investment Advisers LLC BD affiliated	U.S. Bancorp Investments, Inc. BD affiliated	St Louis, Mo	Affiliated broker-dealer or bank to another	Aug 21, 2023
2	LPL Financial LLC BD affiliated	U.S. Bancorp Investments, Inc. BD affiliated	Newport Beach, Ca +1	Affiliated broker-dealer or bank to another	Aug 10, 2023 over 6 d
2	Fidelity Personal And Workplace Advisors BD affiliated	U.S. Bancorp Investments, Inc. BD affiliated	San Jose, Ca +1	Affiliated broker-dealer or bank to another	Jul 28, 2023 over 4 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	J.P. Morgan Securities LLC wirehouse	U.S. Bancorp Investments, Inc. BD affiliated	Albany, Or +1	Wirehouse to affiliated broker-dealer or bank	Oct 30, 2022 over 7 d
3	Wells Fargo Advisors wirehouse	U.S. Bancorp Investments, Inc. BD affiliated	San Diego, Ca +2	Wirehouse to affiliated broker-dealer or bank	Jun 23, 2022 over 28 d
2	Formula Financial LLC unclassified	U.S. Bancorp Investments, Inc. BD affiliated	Crowley, Tx	Other	Dec 31, 2021
2	Stifel, Nicolaus & Company, Incorporated national BD	U.S. Bancorp Investments, Inc. BD affiliated	St Louis, Mo	Affiliated broker-dealer or bank to another	Dec 3, 2021 over 14 d
2	Pnc Managed Account Solutions, Inc. BD affiliated	U.S. Bancorp Investments, Inc. BD affiliated	Northglenn, Co +1	Affiliated broker-dealer or bank to another	Aug 17, 2021 over 6 d
2	Wells Fargo Advisors wirehouse	U.S. Bancorp Investments, Inc. BD affiliated	Roseville, Ca +1	Wirehouse to affiliated broker-dealer or bank	Jul 20, 2021 over 14 d
2	Citigroup Global Markets Inc. BD affiliated	U.S. Bancorp Investments, Inc. BD affiliated	San Francisco, Ca +1	Affiliated broker-dealer or bank to another	Jun 1, 2021 over 8 d
2	Advice And Planning Services BD affiliated	U.S. Bancorp Investments, Inc. BD affiliated	Madison, Wi +1	Affiliated broker-dealer or bank to another	Nov 13, 2020
3	Fidelity Personal And Workplace Advisors BD affiliated	U.S. Bancorp Investments, Inc. BD affiliated	Boston, Ma	Affiliated broker-dealer or bank to another	Jun 27, 2019 over 21 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	Wells Fargo Advisors wirehouse	U.S. Bancorp Investments, Inc. BD affiliated	Milwaukee, Wi	Wirehouse to affiliated broker-dealer or bank	Mar 26, 2019 over 10 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
2	J.P. Morgan Securities LLC wirehouse	U.S. Bancorp Investments, Inc. BD affiliated	Aurora, Il +1	Wirehouse to affiliated broker-dealer or bank	May 15, 2018
2	Edward Jones national BD	U.S. Bancorp Investments, Inc. BD affiliated	St Louis, Mo	Affiliated broker-dealer or bank to another	Apr 18, 2018 over 9 d
2	Scottrade Investment Management BD affiliated	U.S. Bancorp Investments, Inc. other	Saint Louis, Mo	Other	Mar 7, 2018 over 1 d
2	Ameriprise Financial Services, LLC national BD	U.S. Bancorp Investments, Inc. other	Minneapolis, Mn +1	Other	Dec 5, 2017 over 13 d
2	Wells Fargo Advisors wirehouse	U.S. Bancorp Investments, Inc. other	San Diego, Ca +1	Other	May 13, 2016 over 4 d
2	J.P. Morgan Securities LLC wirehouse	U.S. Bancorp Investments, Inc. other	Granite Bay, Ca +1	Other	Oct 7, 2015
2	J.P. Morgan Securities LLC wirehouse	U.S. Bancorp Investments, Inc. other	Santa Paula, Ca +1	Other	Mar 11, 2015 over 8 d
2	J.P. Morgan Securities LLC wirehouse	U.S. Bancorp Investments, Inc. other	Sidney, Oh	Other	Jan 15, 2015

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31 teams match.derived from registration dates