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 |
|---|---|---|---|---|---|
| Christopher Aaron May | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2024 | Dec 9, 2024 |
| Elijah J Black | Principal Securities, Inc. BD affiliated | J. W. Cole Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 18, 2024 |
| Michael Chandler Ingram | Principal Securities, Inc. BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2024 | Nov 4, 2024 |
| Jorge Aldana | Principal Securities, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 8, 2024 | Nov 12, 2024 |
| Anees Ahmed Akhund | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 6, 2024 | Nov 4, 2024 |
| Bella Khamitsaeva | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 4, 2024 | Dec 20, 2024 (46 d) |
| Keyton Presley Elmore | Principal Securities, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 4, 2024 | Nov 18, 2024 |
| Todd Matthew Reamann | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2024 | Oct 19, 2024 |
| Matthew Thomas Demaster | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2024 | Oct 29, 2024 |
| Erin Marie Freund | Principal Securities, Inc. BD affiliated | Great Valley Advisor Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 28, 2024 | Oct 17, 2024 |
| Vivia Cristal Strome | Principal Securities, Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 22, 2024 | Nov 20, 2024 |
| Devon B Inman | Principal Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 22, 2024 | Oct 16, 2024 |
| Taylor Archer | Principal Securities, Inc. BD affiliated | Mwa Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 15, 2024 | Oct 21, 2024 |
| David Wayne Mcelroy | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 9, 2024 | Sep 16, 2024 |
| Daniel Bryan Clements | Principal Securities, Inc. BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 4, 2024 | Sep 16, 2024 |
| Charles David Roberts | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 24, 2024 | Sep 16, 2024 |
| Kathryn Bierschwale | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 24, 2024 | Sep 13, 2024 |
| Ben Oliver Moore | Principal Securities, Inc. BD affiliated | Lincoln Investment independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 24, 2024 | Dec 2, 2024 (69 d) |
| Nicholas Ricci | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2024 | Sep 6, 2024 |
| Andrew John Mongeon | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 20, 2024 | Sep 16, 2024 |
| Timothy Carl Snyder | Principal Securities, Inc. BD affiliated | Rfg Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 19, 2024 | Oct 1, 2024 |
| Pablo Gentile | Principal Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 19, 2024 | Feb 24, 2025 (158 d) |
| Bret L Whiteley | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Aug 22, 2024 |
| Cory James Mccune | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Aug 23, 2024 |
| Oxana Lichinsky | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 10, 2024 | Sep 23, 2024 |
| Rebecca Lynn Clauer | Principal Securities, Inc. BD affiliated | Level Four Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2024 | Sep 23, 2024 (32 d) |
| Spencer W Gardner | Principal Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 15, 2024 | Aug 9, 2024 |
| Graciela Pilar Van Wyk | Principal Securities, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Aug 13, 2024 | Aug 23, 2024 |
| Michael D Bird | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2024 | Jul 22, 2024 |
| Gregory Scott Shuman | Principal Securities, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 22, 2024 | Jul 12, 2024 |
| Guy Pate Ridout | Principal Securities, Inc. BD affiliated | Integrated Wealth Concepts LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 17, 2024 | Jul 23, 2024 |
| Michael James Mcgowen | Principal Securities, Inc. BD affiliated | Tribridge Partners Financial LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 15, 2024 | Oct 7, 2024 (84 d) |
| Ashley Drury | Principal Securities, Inc. BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 13, 2024 | Jan 9, 2026 (545 d) |
| Thomas Henry Stapleton | Principal Securities, Inc. BD affiliated | Applied Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 10, 2024 | Jul 26, 2024 |
| Mandi Jo Freeman Dillon | Principal Securities, Inc. BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2024 | Jul 10, 2024 |
| Michael Oliver Doty | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2024 | Jun 14, 2024 |
| Erik Michael Bagley | Principal Securities, Inc. BD affiliated | Kotys Wealth Professionals independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 13, 2024 | Jun 4, 2024 |
| John Babu | Principal Securities, Inc. BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2024 | Aug 22, 2024 (71 d) |
| Susan Erin Lubeck | Principal Securities, Inc. BD affiliated | Captrust institutional | Other | Jun 5, 2024 | Jul 1, 2024 |
| Justin Benedict Murphy | Principal Securities, Inc. BD affiliated | Flexible Plan Investments Ltd mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2024 | Jun 4, 2024 |
| Mason Mckinnie | Principal Securities, Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2024 | Jul 25, 2024 (65 d) |
| Jesus Manuel Beltran | Principal Securities, Inc. BD affiliated | Seaside Wealth Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 14, 2024 | Apr 22, 2025 (343 d) |
| Alfred Ronald Santo | Principal Securities, Inc. BD affiliated | Global Retirement Partners LLC institutional | Other | May 13, 2024 | Jun 26, 2024 (44 d) |
| David Manjarres | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 3, 2024 | May 15, 2024 |
| Christian Shipman | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2024 | Jun 25, 2024 (69 d) |
| Mark Allan Foster | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2024 | Mar 28, 2024 |
| Richard Wilkins | Principal Securities, Inc. BD affiliated | Thepartners Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2024 | Jan 1, 2025 (272 d) |
| Alec August Engman | Principal Securities, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 21, 2024 | Apr 1, 2024 |
| Ian Hetzer Lewis | Principal Securities, Inc. BD affiliated | Legacybridge Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 19, 2024 | Dec 5, 2024 (261 d) |
| Anthony Conde | Principal Securities, Inc. BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2024 | Mar 18, 2024 |
| James Andrew Holroyd | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2024 | Mar 4, 2024 |
| Kyle Spencer Winder | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2024 | Mar 1, 2024 |
| Betty Won Lee | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 24, 2024 | Jan 16, 2024 |
| Sam Gene Anderson | Principal Securities, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 24, 2024 | Feb 22, 2024 |
| Paul Groeschel-Johnson | Principal Securities, Inc. BD affiliated | Creativeone Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2024 | Jan 29, 2025 (371 d) |
| Vincent Dagnese | Principal Securities, Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 11, 2024 | May 28, 2025 (503 d) |
| Nicholas Miller | Principal Securities, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 8, 2024 | May 15, 2025 (493 d) |
| James Paul Huber | Principal Securities, Inc. BD affiliated | Onedigital institutional | Other | Dec 31, 2023 | Jan 30, 2024 |
| James Douglas Odonnell | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2023 | Dec 14, 2023 |
| Hunter Steven Vanderwaal | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 12, 2023 | May 9, 2024 (149 d) |
1,560 moves match.