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.

Registered advisor

Charles Carlos Estes

Principal Securities, Inc.BD affiliatedDes Moines, Ia dual registrantIAPD 5903937

Feed of 09/14/2026

Also filed as Chuck Estes

At current firm

2 y

since May 22, 2024

In the industry

15 y

since Jun 13, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Principal Securities, Inc. BD affiliated current
since May 22, 2024 · Cincinnati, Oh
Principal Asset Management other
Aug 19, 2021 to May 2, 2024 · Cincinatti, Oh
Stancorp Investment Advisers, Inc. other
Feb 17, 2020 to Oct 30, 2020 · Portland, Or
Fidelity Personal And Workplace Advisors former
Jul 13, 2018 to Nov 28, 2018 · Boston, Ma
Strategic Advisers LLC national BD
Jan 5, 2017 to Jul 13, 2018 · Covington, Ky

Moves

a registration end followed by a registration begin elsewhere

Principal Asset Management to Principal Securities, Inc.
left May 2, 2024, registered May 22, 2024 (20 days) · Other
Stancorp Investment Advisers, Inc. to Principal Asset Management
left Oct 30, 2020, registered Aug 19, 2021 (293 days) · Other
Fidelity Personal And Workplace Advisors to Stancorp Investment Advisers, Inc.
left Nov 28, 2018, registered Feb 17, 2020 (446 days) · Other
Strategic Advisers LLC to Fidelity Personal And Workplace Advisors
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

Charles Carlos Estes left Principal Asset Management for Principal Securities, Inc. (registered 2024-05-22)
May 2, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address