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

Joshua A Hutt

Principal Securities, Inc.BD affiliatedPlano, Txdual registrantIAPD 7509462

Feed of 09/14/2026

Also filed as Joshua Hutt

At current firm

1 y

since Jun 4, 2025

In the industry

15 y

since Apr 1, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

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 Jun 4, 2025 · Plano, Tx
Hornor, Townsend & Kent, LLC independent RIA
Dec 18, 2024 to Jun 5, 2025 · Dallas, Tx
Stirlingshire Investments independent RIA
May 22, 2024 to Nov 5, 2024 · New York, Ny
Charles Schwab & Co., Inc. national BD
May 2, 2023 to Feb 9, 2024 · Westlake, Tx
Orion Wealth Management LLC state registered
Nov 3, 2022 to Jul 25, 2023 · Richardson, Tx

Moves

a registration end followed by a registration begin elsewhere

Hornor, Townsend & Kent, LLC to Principal Securities, Inc.
left Jun 5, 2025, registered Jun 4, 2025 (-1 days) · Affiliated broker-dealer or bank to another
Stirlingshire Investments to Hornor, Townsend & Kent, LLC
left Nov 5, 2024, registered Dec 18, 2024 (43 days) · RIA to affiliated broker-dealer or bank
Charles Schwab & Co., Inc. to Stirlingshire Investments
left Feb 9, 2024, registered May 22, 2024 (103 days) · Affiliated broker-dealer or bank to independent RIA
Orion Wealth Management LLC to Charles Schwab & Co., Inc.
left Jul 25, 2023, registered May 2, 2023 (-84 days) · Other

Signals

Joshua A Hutt no longer holds an investment adviser registration (last listed at Principal Securities, Inc. on the 2026-09-15 feed)
Sep 15, 2026 · Advisor registration ended · derived
Joshua A Hutt left Hornor, Townsend & Kent, Llc for Principal Securities, Inc. (registered 2025-06-04)
Jun 5, 2025 · Advisor changed firm · fact
Joshua A Hutt left Stirlingshire Investments for Hornor, Townsend & Kent, Llc (registered 2024-12-18)
Nov 5, 2024 · Advisor changed firm · fact
Joshua A Hutt left Charles Schwab & Co., Inc. for Stirlingshire Investments (registered 2024-05-22)
Feb 9, 2024 · Advisor changed firm · fact
Joshua A Hutt left Orion Wealth Management Llc for Charles Schwab & Co., Inc. (registered 2023-05-02)
Jul 25, 2023 · 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