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 Securities, Inc.
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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| John Brian Franklin | Principal Securities, Inc. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2026 | Sep 4, 2026 |
| Jeffery A. Okafor | Principal Securities, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 13, 2026 | Aug 21, 2026 |
| Timothy M Vollrath | Principal Securities, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 12, 2026 | Aug 10, 2026 |
| Lawrence Graham Stidham | Principal Securities, Inc. BD affiliated | Andrew Garrett, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 10, 2026 | Aug 7, 2026 |
| Clovis Aaron Russell | Principal Securities, Inc. BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2026 | Aug 21, 2026 |
| Bryan Joseph Persak | Principal Securities, Inc. BD affiliated | Accelerate Retirement independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 7, 2026 | Sep 1, 2026 |
| Brooke E Sandstoe | Principal Securities, Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 24, 2026 | Aug 19, 2026 |
| Jason Miller | Principal Securities, Inc. BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Jul 21, 2026 | Jul 31, 2026 |
| Patrick R Donlan | Principal Securities, Inc. BD affiliated | T. Rowe Price Associates, Inc. asset manager | Other | Jul 15, 2026 | Sep 2, 2026 (49 d) |
| Mark Robert Hanson | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2026 | Jul 8, 2026 |
| Michael James Murphy | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2026 | Jul 8, 2026 |
| Rachel Lin Witt | Principal Securities, Inc. BD affiliated | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2026 | Aug 11, 2026 (41 d) |
| Damien Michael Cannaday | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2026 | Jul 6, 2026 |
| Amber M Amidon | Principal Securities, Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2026 | Jul 6, 2026 |
| Steven Rex Cook | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2026 | Jun 22, 2026 |
| David Malcolm Serposs | Principal Securities, Inc. BD affiliated | Balefire, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 25, 2026 | Jun 29, 2026 |
| Trevor William Deubner | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Other | Jun 23, 2026 | Feb 9, 2026 |
| Dale Branden Arrants | Principal Securities, Inc. BD affiliated | Skyline Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 16, 2026 | Jun 22, 2026 |
| Ethan Thomas Mechling | Principal Securities, Inc. BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 15, 2026 | Jun 24, 2026 |
| Andrew Lawrence Cole | Principal Securities, Inc. BD affiliated | Sound Income Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2026 | Jun 10, 2026 |
| Grady Holt | Principal Securities, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 3, 2026 | Jun 26, 2026 |
| Ryan Alexander Kuhn | Principal Securities, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 12, 2026 | Jul 15, 2026 (64 d) |
| Sarah Marie Schmitz | Principal Securities, Inc. BD affiliated | Balefire, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 11, 2026 | May 11, 2026 |
| Lisa Marie Vachalek | Principal Securities, Inc. BD affiliated | Onedigital institutional | Other | May 5, 2026 | May 18, 2026 |
| Michael Dm Yoffee | Principal Securities, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 28, 2026 | Aug 17, 2026 (111 d) |
| Allison Hope Tuthill | Principal Securities, Inc. BD affiliated | Mwa Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2026 | Jul 20, 2026 (87 d) |
| Joseph M Norton | Principal Securities, Inc. BD affiliated | Capital And Planning, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2026 | May 15, 2026 |
| Darren B Washington | Principal Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2026 | Apr 16, 2026 |
| Danila Vasiukou | Principal Securities, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2026 | Jun 2, 2026 (42 d) |
| Joshua Vernon | Principal Securities, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2026 | May 13, 2026 |
| Joshua Myles Burchfield | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 7, 2026 | Mar 26, 2026 |
| Wendy Kay Bryant | Principal Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 1, 2026 | Jul 8, 2026 (98 d) |
| David James T Ong-Guan Pun | Principal Securities, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2026 | Mar 31, 2026 |
| Dawn Aglae Spaulding | Principal Securities, Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2026 | Jun 29, 2026 (91 d) |
| James Walton Park | Principal Securities, Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2026 | Apr 13, 2026 |
| Neil Patrick Stapish | Principal Securities, Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 27, 2026 | Apr 15, 2026 |
| Robert Benton Penn | Principal Securities, Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2026 | Mar 30, 2026 |
| Matthew Marcus | Principal Securities, Inc. BD affiliated | Arkadios Wealth Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 16, 2026 | Mar 10, 2026 |
| Min Sub Song | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2026 | Mar 12, 2026 |
| Nile C Mclaughlin | Principal Securities, Inc. BD affiliated | Wealthspan Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 3, 2026 | Feb 27, 2026 |
| Monica Shavers | Principal Securities, Inc. BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Feb 18, 2026 | Apr 22, 2026 (63 d) |
| Terrington Myles | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2026 | Feb 9, 2026 |
| Justin Michael Oldham | Principal Securities, Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Feb 5, 2026 | Feb 3, 2026 |
| Rafael De Oliveira | Principal Securities, Inc. BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2026 | Jan 21, 2026 |
| William Florentino Saccone Rodriguez | Principal Securities, Inc. BD affiliated | Usaa Investment Services Company no RAUM | Other | Jan 28, 2026 | May 12, 2026 (104 d) |
| Derek Drushel | Principal Securities, Inc. BD affiliated | Washington Avenue Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 16, 2026 | Jan 22, 2026 |
| Ryan Oneil Marsh | Principal Securities, Inc. BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2026 | Jun 4, 2026 (140 d) |
| Katherine Jacobson | Principal Securities, Inc. BD affiliated | Alliancebernstein L.P. asset manager | Other | Jan 15, 2026 | Jan 21, 2026 |
| Candace Lenae Lathan | Principal Securities, Inc. BD affiliated | Yarash Global Solutions Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 15, 2026 | Jul 15, 2026 (181 d) |
| Bobby Hilton Christian | Principal Securities, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2026 | Jan 21, 2026 |
| Lee Wesley Wadkins | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2026 | Jan 6, 2026 |
| Louis C Benton | Principal Securities, Inc. BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2026 | Mar 4, 2026 (54 d) |
| Jeffrey Lee Mayes | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2026 | Jan 5, 2026 |
| Randall Louis Blanchetti | Principal Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Dec 31, 2025 | Mar 9, 2026 (68 d) |
| Christopher Warren Bibow | Principal Securities, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2025 | Jan 27, 2026 (41 d) |
| Sasha Jannel Roberts-Alston | Principal Securities, Inc. BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2025 | Aug 5, 2026 (232 d) |
| Peter D Seltz | Principal Securities, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2025 | Jan 20, 2026 (42 d) |
| Georgia Elizabeth Taylor Bahn | Principal Securities, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 10, 2025 | Dec 8, 2025 |
| Page Grant Pittman | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2025 | Nov 4, 2025 |
| Michael Thomas Kidd | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2025 | Nov 5, 2025 |
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1,560 moves match.