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 |
|---|---|---|---|---|---|
| Bruce A Shay | Principal Securities, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Oct 30, 2025 | Nov 14, 2025 |
| Timothy Gish | Principal Securities, Inc. BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 29, 2025 | Oct 27, 2025 |
| James Jay Ganther | Principal Securities, Inc. BD affiliated | Brookstone Wealth Advisors, LLC no RAUM | Other | Oct 28, 2025 | Mar 12, 2026 (135 d) |
| Amy Catherine Speas | Principal Securities, Inc. BD affiliated | Onedigital institutional | Other | Oct 20, 2025 | Dec 12, 2025 (53 d) |
| Maraud Jamal Pemberton | Principal Securities, Inc. BD affiliated | Usaa Investment Services Company no RAUM | Other | Oct 17, 2025 | Feb 5, 2026 (111 d) |
| Rustin Derek Young | Principal Securities, Inc. BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 14, 2025 | Dec 8, 2025 (55 d) |
| Jacob Robert Vanhousen | Principal Securities, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 14, 2025 | Nov 12, 2025 |
| Mitchell Stewart | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 8, 2025 | Nov 11, 2025 (34 d) |
| Gary H Ford | Principal Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2025 | Oct 14, 2025 |
| Tucker T Hanson | Principal Securities, Inc. BD affiliated | Focus Partners Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 24, 2025 | Oct 15, 2025 |
| Taylor Heifetz | Principal Securities, Inc. BD affiliated | World Equity Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 18, 2025 | Oct 20, 2025 (32 d) |
| Jacqueline Alberte Gilbert | Principal Securities, Inc. BD affiliated | Valley Wealth Managers, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 10, 2025 | Oct 7, 2025 |
| Andrew Mitchell Scott | Principal Securities, Inc. BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2025 | Sep 8, 2025 |
| Kenneth Charles Wohlberg | Principal Securities, Inc. BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2025 | Sep 8, 2025 |
| Jamer Yaggie | Principal Securities, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Sep 10, 2025 | Oct 23, 2025 (43 d) |
| Mark Cernicky | Principal Securities, Inc. BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2025 | Oct 9, 2025 (36 d) |
| Donovan Dsean Love | Principal Securities, Inc. BD affiliated | Ascensus Investment Advisors, LLC institutional | Other | Aug 26, 2025 | Sep 2, 2026 (372 d) |
| Timothy Cody Listermann | Principal Securities, Inc. BD affiliated | Voya Retirement Advisors, LLC other | Other | Aug 26, 2025 | Sep 9, 2025 |
| Ashley Lee Maher-Widen | Principal Securities, Inc. BD affiliated | Foster Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 18, 2025 | Sep 10, 2025 |
| Yuang Xia | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 18, 2025 | Sep 2, 2025 |
| Brian Lee Klitzke | Principal Securities, Inc. BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 6, 2025 | Aug 12, 2025 |
| James Christopher Anselmo | Principal Securities, Inc. BD affiliated | The Baldwin Group Wealth Advisors, LLC other | Other | Aug 4, 2025 | Sep 17, 2025 (44 d) |
| Joseph Gerard Pometto | Principal Securities, Inc. BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 29, 2025 | Sep 2, 2025 (35 d) |
| Dalton Stockton | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 25, 2025 | Aug 6, 2025 |
| Grayeson Thomas Griess | Principal Securities, Inc. BD affiliated | Independent Wealth Network, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 24, 2025 | Jul 29, 2025 |
| Connor James Wiesner | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 22, 2025 | Jul 28, 2025 |
| Robert J Mccarey | Principal Securities, Inc. BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2025 | Aug 12, 2025 (32 d) |
| Bradley G. Sofonia | Principal Securities, Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 27, 2025 | Aug 12, 2025 (46 d) |
| Andrew Karrmann | Principal Securities, Inc. BD affiliated | Mutual Of Omaha Investor Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 19, 2025 | Jun 16, 2025 |
| Ryan Patrick Norman | Principal Securities, Inc. BD affiliated | Captar Private Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | May 14, 2025 | Jun 23, 2026 (405 d) |
| Peyton Asbury Smith | Principal Securities, Inc. BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2025 | Jun 23, 2025 (47 d) |
| Lynn Marie Elmer | Principal Securities, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2025 | May 5, 2025 |
| Mark Robert Calaci | Principal Securities, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2025 | Apr 28, 2025 |
| James Michael Anderer | Principal Securities, Inc. BD affiliated | 4thought Financial Group Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2025 | May 30, 2025 (37 d) |
| Blake Anthony Maly | Principal Securities, Inc. BD affiliated | Lutz Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 22, 2025 | Jul 18, 2025 (87 d) |
| Michael Alan Hecker | Principal Securities, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2025 | Apr 16, 2025 |
| Timothy Phillip Haygood | Principal Securities, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2025 | Apr 16, 2025 |
| Jeffery M Duytschaver | Principal Securities, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 21, 2025 | Jul 18, 2025 (88 d) |
| Kristina Baumann | Principal Securities, Inc. BD affiliated | T. Rowe Price Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2025 | May 5, 2025 |
| Megan Margaret Conwell | Principal Securities, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2025 | Apr 30, 2025 |
| Michelle Marie Klass | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2025 | Mar 31, 2025 |
| Kari Judson | Principal Securities, Inc. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2025 | Apr 3, 2025 |
| Grant M Cozzi | Principal Securities, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 4, 2025 | Dec 4, 2025 (275 d) |
| Andrew Louis Wilson | Principal Securities, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 25, 2025 | Feb 18, 2025 |
| Rafael De Oliveira | Principal Securities, Inc. BD affiliated | Strategic Wealth Investment Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 25, 2025 | Mar 19, 2025 |
| Philip Jordan Olstein | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2025 | Feb 6, 2025 |
| Jorge A Garcia | Principal Securities, Inc. BD affiliated | Gallagher Fiduciary Advisors, LLC institutional | Other | Feb 11, 2025 | Apr 23, 2025 (71 d) |
| Debra Anderson | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 11, 2025 | May 2, 2025 (80 d) |
| Bryce Jerred Gartman | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 11, 2025 | Jan 31, 2025 |
| Howard Arthur Riemann | Principal Securities, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2025 | Feb 21, 2025 |
| Heidi Droel | Principal Securities, Inc. BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2025 | Jan 28, 2025 |
| Sidra Charity Freeman | Principal Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 24, 2025 | Jan 21, 2025 |
| Shane M Baack | Principal Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 7, 2025 | Jan 7, 2025 |
| Renee Charlene De Haan | Principal Securities, Inc. BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 7, 2025 | Aug 12, 2026 (582 d) |
| Kevin Bryan Barajas | Principal Securities, Inc. BD affiliated | Oneamerica Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 7, 2025 | Feb 18, 2025 (42 d) |
| Darrell Randolph Manning | Principal Securities, Inc. BD affiliated | Jeffrey Matthews Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2024 | May 28, 2026 (513 d) |
| Joseph A Pallet | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2024 | Jan 23, 2025 (31 d) |
| Daniel Stephen Vosskuhler | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2024 | Dec 6, 2024 |
| Brandon Lee Van Nevel | Principal Securities, Inc. BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2024 | Dec 18, 2024 |
| Reid Michael Fiorio | Principal Securities, Inc. BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2024 | Dec 10, 2024 |
1,560 moves match.