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 |
|---|---|---|---|---|---|
| Jeremy Munter | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Other | Sep 30, 2019 | Sep 30, 2019 |
| Stephanie Ann Wagner | Principal Securities, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 25, 2019 | Oct 9, 2019 |
| Erika F Kam | Principal Securities, Inc. BD affiliated | Bci Securities, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Sep 19, 2019 | Sep 13, 2019 |
| Michael Scott Wehner | Principal Securities, Inc. BD affiliated | Financial Advocates Investment Management other | Other | Sep 11, 2019 | Feb 5, 2015 |
| Ann Kay Slechta | Principal Securities, Inc. BD affiliated | Gladstone Wealth Partners BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2019 | Feb 14, 2024 (1622 d) |
| Lawrence A Tantilla | Principal Securities, Inc. BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2019 | Sep 6, 2019 |
| Ryan John Barnes | Principal Securities, Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2019 | Oct 9, 2019 (34 d) |
| Sara Elizabeth Buffington | Principal Securities, Inc. BD affiliated | Morningstar Investment Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2019 | Dec 9, 2019 (116 d) |
| Joshua Thomas Lieder | Principal Securities, Inc. BD affiliated | Valmark Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2019 | Jul 18, 2019 |
| Kristy Lyn Peters | Principal Securities, Inc. BD affiliated | Valmark Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2019 | Jul 18, 2019 |
| Jacob John Welch | Principal Securities, Inc. BD affiliated | Valmark Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2019 | Jul 18, 2019 |
| John Robert Hoffman | Principal Securities, Inc. BD affiliated | Balefire, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 23, 2019 | Mar 25, 2020 (246 d) |
| Eric Scott Garofalo | Principal Securities, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 15, 2019 | Oct 22, 2019 (99 d) |
| Matthew J Thomas | Principal Securities, Inc. BD affiliated | Greenrock Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 2, 2019 | Jul 8, 2019 |
| Randall Robert Murphy | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2019 | May 28, 2020 (337 d) |
| Richard Thomas Koch | Principal Securities, Inc. BD affiliated | Mutual Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 19, 2019 | Feb 4, 2026 (2422 d) |
| Michael James Follese | Principal Securities, Inc. BD affiliated | Mutual Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2019 | Jun 3, 2019 |
| Matthew James Donnelly | Principal Securities, Inc. BD affiliated | Mutual Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2019 | Jun 3, 2019 |
| Mason Thomas Sheehy | Principal Securities, Inc. BD affiliated | Mutual Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 10, 2019 | Jun 3, 2019 |
| William Leo Leclair | Principal Securities, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2019 | Jun 4, 2019 |
| Michelle M Merkel | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2019 | May 1, 2019 |
| Cynthia Diane Rivas | Principal Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2019 | Apr 24, 2019 |
| Richard Jason Mojica | Principal Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2019 | Apr 24, 2019 |
| Kenneth Andrew Hoiland | Principal Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2019 | Apr 22, 2019 |
| Christopher L Albonetti | Principal Securities, Inc. BD affiliated | Td Ameritrade Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 22, 2019 | Apr 17, 2019 |
| Christabelle Joy Cook | Principal Securities, Inc. BD affiliated | Hartford Funds asset manager | Other | Apr 11, 2019 | Apr 16, 2019 |
| Susan Lee Bell | Principal Securities, Inc. BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2019 | Apr 15, 2019 |
| Brandy Sue Lamp | Principal Securities, Inc. BD affiliated | Principal Advised Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 5, 2019 | Apr 26, 2019 |
| Rea Ptacin | Principal Securities, Inc. BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2019 | Mar 25, 2019 |
| Jordan Lauber | Principal Securities, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2019 | Mar 22, 2019 |
| Christopher Duke Butcher | Principal Securities, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2019 | Apr 16, 2019 |
| Nathan Donald Rock | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2019 | Jun 3, 2019 (60 d) |
| Brad Michael Schlichte | Principal Securities, Inc. BD affiliated | Principal Advised Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 2, 2019 | Apr 25, 2019 |
| Patrick Michael Mccabe | Principal Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 2, 2019 | Apr 5, 2019 |
| Thomas Anthony Balistreri | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 26, 2019 | Mar 8, 2019 |
| Malcolm Charles Beard | Principal Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2019 | Feb 26, 2019 |
| Timothy Ray Blackham | Principal Securities, Inc. BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 26, 2019 | Apr 6, 2020 (405 d) |
| Jason Stewart Kehler | Principal Securities, Inc. BD affiliated | Madison Avenue Securities, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 22, 2019 | Feb 11, 2019 |
| Jennifer Lynn Cramer | Principal Securities, Inc. BD affiliated | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 21, 2019 | Feb 12, 2019 |
| Jaisy Prem | Principal Securities, Inc. BD affiliated | Northstar Investment Advisory LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 13, 2019 | Apr 11, 2022 (1153 d) |
| Blayde Duane Gardner | Principal Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 11, 2019 | Feb 6, 2019 |
| Douglas Eugene Grove | Principal Securities, Inc. BD affiliated | Rmr Wealth Builders, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Feb 7, 2019 | Jan 6, 2021 (699 d) |
| Stanley Howard Barker | Principal Securities, Inc. BD affiliated | Voya Retirement Advisors, LLC other | Other | Feb 5, 2019 | Jul 10, 2023 (1616 d) |
| Kevin Patrick Newman | Principal Securities, Inc. BD affiliated | Ausdal Financial Partners, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2019 | Feb 11, 2019 |
| Joseph Anthony Cravotta | Principal Securities, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | Feb 4, 2019 | Feb 21, 2019 |
| Jordan Janene Ireland | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 4, 2019 | Jan 31, 2019 |
| Timothy Brian Neer | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 30, 2019 | Jan 30, 2019 |
| James Wesley Thompson | Principal Securities, Inc. BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2019 | Jan 16, 2019 |
| David Ray Sims | Principal Securities, Inc. BD affiliated | Householder Group Estate & Retirement Specialists independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2019 | Jan 23, 2019 |
| Kent B Smothers | Principal Securities, Inc. BD affiliated | Tpg Financial Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 14, 2019 | Jan 28, 2019 |
| Andrew Mecham | Principal Securities, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 14, 2019 | Jan 23, 2019 |
| Peter Lloyd Robinson | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 2, 2019 | Dec 18, 2018 |
| Kevin Suen | Principal Securities, Inc. BD affiliated | Capital Client Group, Inc. no RAUM | Other | Jan 2, 2019 | Jan 15, 2019 |
| Rodolfo Allan Troy Argosino | Principal Securities, Inc. BD affiliated | Aventine Wealth Management LLC unclassified | Other | Dec 31, 2018 | Apr 24, 2019 (114 d) |
| Christopher Adam Wolfgram | Principal Securities, Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Aug 19, 2020 (597 d) |
| John A Balster | Principal Securities, Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Jan 10, 2019 |
| Kornmueng Eric Baccam | Principal Securities, Inc. BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Jan 7, 2020 (372 d) |
| Saurav Ryan Bhattacharyya | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 19, 2018 | Dec 7, 2018 |
| Gregg Woolven | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 17, 2018 | Jul 1, 2019 (196 d) |
| Michael Joseph Villanueva | Principal Securities, Inc. BD affiliated | Comerica Securities bank affiliated | Other | Dec 12, 2018 | Dec 12, 2018 |
1,561 moves match.