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 moves

Departures from Principal Asset Management

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Grace Dawn KlopstadPrincipal Asset Management otherWestend Advisors, LLC independent RIAOtherSep 1, 2026Sep 14, 2026
Jeffrey Alan TrierPrincipal Asset Management otherIntegrity Alliance, LLC BD affiliatedOtherAug 27, 2026Sep 1, 2026
Emily Joyce MarrPrincipal Asset Management otherPrincipal Securities, Inc. BD affiliatedOtherAug 27, 2026Aug 27, 2026
Trevor William DeubnerPrincipal Asset Management otherWestend Advisors, LLC independent RIAOtherJun 23, 2026Jul 14, 2026
Michelle Renee StockmanPrincipal Asset Management otherIntegrity Advisory Solutions independent RIAOtherApr 24, 2026Apr 24, 2026
Sumit AgarwalPrincipal Asset Management otherProshare Advisors LLC asset managerOtherJan 13, 2026Mar 30, 2026 (76 d)
Thomas Scott HendricksPrincipal Asset Management otherFoster Group, Inc. independent RIAOtherNov 4, 2025Nov 21, 2025
Henry Mccomb WinchesterPrincipal Asset Management otherColumbia Management Investment Advisers, LLC asset managerOtherOct 7, 2025Oct 15, 2025
Christian James SiebertPrincipal Asset Management otherIntegrity Alliance, LLC BD affiliatedOtherSep 23, 2025Sep 15, 2025
Lauren Kathryn MatteoPrincipal Asset Management otherBlackrock Investment Management, LLC otherOtherSep 8, 2025Sep 23, 2025
Tyler DubayPrincipal Asset Management otherCohen & Steers Capital Management Inc. asset managerOtherAug 13, 2025Aug 15, 2025
Jessica Ann HenricksenPrincipal Asset Management otherOnedigital institutionalOtherMar 27, 2025May 23, 2025 (57 d)
Kate A DavidsonPrincipal Asset Management otherT. Rowe Price Associates, Inc. asset managerOtherJan 17, 2025Mar 19, 2025 (61 d)
Lauren Elizabeth MillerPrincipal Asset Management otherJohn Hancock Investment Management LLC asset managerOtherOct 9, 2024Oct 29, 2024
Wesley A UrickPrincipal Asset Management otherNorthern Trust Investments, Incorporated asset managerOtherSep 11, 2024Oct 28, 2024 (47 d)
Bradley James HanusPrincipal Asset Management otherCache Advisors LLC asset managerOtherAug 14, 2024Aug 26, 2024
Scott Michael SamsPrincipal Asset Management otherNorth Capital independent RIAOtherAug 1, 2024Jun 17, 2026 (685 d)
Jason Lee MillerPrincipal Asset Management otherThornburg Investment Management Inc asset managerOtherJun 21, 2024Dec 2, 2025 (529 d)
Charles Carlos EstesPrincipal Asset Management otherPrincipal Securities, Inc. BD affiliatedOtherMay 2, 2024May 22, 2024
Paul SchieberPrincipal Asset Management otherFidelity Personal And Workplace Advisors BD affiliatedOtherApr 1, 2024Sep 24, 2024 (176 d)
Ian B WetherellPrincipal Asset Management otherLPL Financial LLC BD affiliatedOtherMar 1, 2024Mar 12, 2024
Alisa Lauren GuetzkowPrincipal Asset Management otherFidelity Institutional Wealth Adviser LLC mixed wealthOtherMar 1, 2024Oct 8, 2024 (221 d)
Douglas Michael BeardPrincipal Asset Management otherFidelity Personal And Workplace Advisors BD affiliatedOtherNov 1, 2023Sep 11, 2024 (315 d)
Hubert Waldo StokesPrincipal Asset Management otherEdward Jones national BDOtherNov 1, 2023Feb 12, 2024 (103 d)
Glenn Eric RaesePrincipal Asset Management otherMariner Advisor Network BD affiliatedOtherOct 24, 2023Jan 12, 2024 (80 d)
Luke Joseph VandermillenPrincipal Asset Management otherMariner BD affiliatedOtherOct 17, 2023Jan 8, 2024 (83 d)
Grant Patrick RedingPrincipal Asset Management otherPrincipal Securities, Inc. BD affiliatedOtherOct 2, 2023Sep 22, 2023
Peter PerezPrincipal Asset Management otherPark Avenue Securities LLC BD affiliatedOtherSep 6, 2023Nov 15, 2023 (70 d)
Mark P WitterPrincipal Asset Management otherRobert W. Baird & Co. Incorporated mixed wealthOtherJul 18, 2023Jul 18, 2023
Joshua Matthew MathiasPrincipal Asset Management otherThe Ameriflex Group BD affiliatedOtherApr 17, 2023Apr 18, 2023
Sidney Davenport LordPrincipal Asset Management otherProshare Advisors LLC asset managerOtherApr 5, 2023Dec 11, 2024 (616 d)
Nathaniel D WhitakerPrincipal Asset Management otherMorgan Stanley wirehouseOtherMar 6, 2023Mar 21, 2023
Robert NodarPrincipal Asset Management otherCharles Schwab & Co., Inc. national BDOtherMar 2, 2023Jul 10, 2024 (496 d)
Nathan Frederick PaulsenPrincipal Asset Management otherVoya Investment Management Co. LLC otherOtherDec 31, 2022Feb 9, 2023 (40 d)
Andrew Robert WilsonPrincipal Asset Management otherFidelity Personal And Workplace Advisors BD affiliatedOtherJun 14, 2022Aug 18, 2022 (65 d)
Jesse S FroningPrincipal Asset Management otherPrincipal Advised Services independent RIAOtherDec 31, 2021Jan 20, 2022
Jeffrey David BrodersPrincipal Asset Management otherRunning Oak Capital LLC independent RIAOtherOct 4, 2021Dec 7, 2021 (64 d)
Trenton James HolecPrincipal Asset Management otherNewport Group Consulting, LLC institutionalOtherSep 20, 2021Feb 25, 2022 (158 d)
Mark A NelsonPrincipal Asset Management otherCambridge Investment Research Advisors, Inc. BD affiliatedOtherFeb 18, 2021Jan 5, 2022 (321 d)
Mathew JohnsonPrincipal Asset Management otherFarmers Asset Management, LLC state registeredOtherFeb 2, 2021Jan 14, 2026 (1807 d)
Arik Kermit PetersonPrincipal Asset Management otherNectarine no RAUMOtherJan 16, 2020Jan 29, 2025 (1840 d)
Wesley Thomas HolcombPrincipal Asset Management otherLPL Financial LLC BD affiliatedOtherFeb 15, 2019Mar 5, 2020 (384 d)
David Jacques MoretPrincipal Asset Management otherWellesley Asset Management, Inc. mixed wealthOtherJan 30, 2017Jan 14, 2025 (2906 d)
Kevin Francis CrookPrincipal Asset Management otherRaymond James & Associates, Inc. national BDOtherJan 26, 2017Mar 29, 2021 (1523 d)
Paul David ChamberlainPrincipal Asset Management otherWellesley Asset Management, Inc. otherOtherJan 26, 2017Dec 21, 2017 (329 d)
Kevin Shane McmahonPrincipal Asset Management otherCambridge Investment Research Advisors, Inc. BD affiliatedOtherApr 25, 2016Apr 16, 2025 (3278 d)
Jamie Patrick LynchPrincipal Asset Management otherCaptrust institutionalOtherOct 24, 2014Oct 26, 2021 (2559 d)
Efrem D JacksonPrincipal Asset Management otherBancwest Investment Services, Inc. (Bwis) otherOtherFeb 8, 2013Feb 25, 2013
Gregory John BonzagniPrincipal Asset Management otherSpc otherOtherOct 20, 2011Oct 3, 2013 (714 d)
Stephen John CowiePrincipal Asset Management otherNeuberger Berman Bd LLC otherOtherOct 8, 2010Oct 4, 2010
Carl Eric TerzerPrincipal Asset Management otherCapvisor Associates, LLC otherOtherSep 11, 2008Aug 12, 2009 (335 d)
Nichole Larae CoonsPrincipal Asset Management otherPrincipal Securities, Inc. otherOtherOct 15, 2007Jan 3, 2014 (2272 d)
Robert Gregory AnnexstadPrincipal Asset Management otherPrincipal Advised Services BD affiliatedOtherMar 16, 2007Aug 28, 2024 (6375 d)
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53 moves match.