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 |
|---|---|---|---|---|---|
| Robert Joseph Fremont | Principal Securities, Inc. BD affiliated | Intellicapital Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 18, 2023 | Jan 28, 2023 |
| Arnold R Eichhof | Principal Securities, Inc. BD affiliated | Cornerstone Financial Group no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 12, 2023 | Jan 3, 2023 |
| Jeffrey Alan Bishop | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2023 | Nov 17, 2023 (310 d) |
| Troy Michael Leonard | Principal Securities, Inc. BD affiliated | Cornerstone Financial Group no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 6, 2023 | Jan 3, 2023 |
| Guy Mccauley | Principal Securities, Inc. BD affiliated | Cornerstone Financial Group no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 6, 2023 | Jan 3, 2023 |
| Chad Edward Vergason | Principal Securities, Inc. BD affiliated | Siler Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 6, 2023 | Feb 23, 2023 (48 d) |
| Bolan Michael Montgomery | Principal Securities, Inc. BD affiliated | Cornerstone Financial Group no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 6, 2023 | Jan 3, 2023 |
| Conway Porter | Principal Securities, Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 21, 2022 | Jan 4, 2023 |
| Chelsey Kastrup | Principal Securities, Inc. BD affiliated | Retirement And Wealth At Alliant, LLC institutional | Other | Dec 21, 2022 | Mar 26, 2026 (1191 d) |
| John David Kann | Principal Securities, Inc. BD affiliated | Twinleaf Financial Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 21, 2022 | Feb 8, 2023 (49 d) |
| Christopher Stockstrom | Principal Securities, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2022 | Dec 19, 2022 |
| Jeremy Lee Jensen | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 8, 2022 | Dec 8, 2022 |
| Stephanie Warywoda | Principal Securities, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 8, 2022 | Jun 29, 2023 (203 d) |
| Bradford John Combes | Principal Securities, Inc. BD affiliated | Virtus Financial Partners no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 8, 2022 | Dec 5, 2022 |
| Stanley Porter Stewart | Principal Securities, Inc. BD affiliated | Virtus Financial Partners no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 8, 2022 | Dec 5, 2022 |
| David Robert Whaley | Principal Securities, Inc. BD affiliated | Horse Cove Partners LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Dec 8, 2022 | Jan 1, 2026 (1120 d) |
| Allan John Stevenson | Principal Securities, Inc. BD affiliated | Virtus Financial Partners no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 8, 2022 | Dec 5, 2022 |
| James Panowicz | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 7, 2022 | Dec 7, 2022 |
| Stephen Richard Mueller | Principal Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Dec 5, 2022 | May 4, 2023 (150 d) |
| Jason Randall Musante-Klumb | Principal Securities, Inc. BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 28, 2022 | Nov 15, 2022 |
| Charles A Hurst | Principal Securities, Inc. BD affiliated | Mma Securities LLC no RAUM | Other | Nov 22, 2022 | Jan 6, 2023 (45 d) |
| Scott Tracy Harris | Principal Securities, Inc. BD affiliated | The Ameriflex Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 16, 2022 | Nov 9, 2022 |
| Mary Catherine Harris | Principal Securities, Inc. BD affiliated | The Ameriflex Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 16, 2022 | Nov 7, 2022 |
| Michael B Hadley | Principal Securities, Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 11, 2022 | Nov 17, 2022 |
| Carrie Ann Baker | Principal Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 11, 2022 | Nov 1, 2022 |
| James Leonard Burgett | Principal Securities, Inc. BD affiliated | The Ameriflex Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 10, 2022 | Nov 7, 2022 |
| John Robert Ledesma | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 8, 2022 | Jan 19, 2023 (72 d) |
| Tabitha H Marks | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 3, 2022 | Nov 21, 2022 |
| Ryan Bradley Smith | Principal Securities, Inc. BD affiliated | The Ameriflex Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2022 | Oct 26, 2022 |
| Derrick Louis Sweeney | Principal Securities, Inc. BD affiliated | The Ameriflex Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2022 | Oct 26, 2022 |
| Kenneth Joseph Bart | Principal Securities, Inc. BD affiliated | Nationwide Investment Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2022 | Dec 22, 2023 (415 d) |
| Zachary J Weimann | Principal Securities, Inc. BD affiliated | The Ameriflex Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2022 | Oct 27, 2022 |
| Michele Marie Farfan | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2022 | Nov 1, 2022 |
| Alister B Huss | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2022 | Oct 30, 2022 |
| Stephanie Kay Goins | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2022 | Oct 30, 2022 |
| William Stephen Taylor | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2022 | Oct 30, 2022 |
| Luke W Ripienski | Principal Securities, Inc. BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2022 | Oct 5, 2022 |
| Richard Diaz | Principal Securities, Inc. BD affiliated | Md Advice Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 11, 2022 | Jan 1, 2026 (1178 d) |
| Keola Jordan Elobt | Principal Securities, Inc. BD affiliated | Mai Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 11, 2022 | Nov 2, 2022 |
| Lindsay Powell Sawicki | Principal Securities, Inc. BD affiliated | Mai Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 11, 2022 | Nov 30, 2022 (50 d) |
| Chad A Bunnell | Principal Securities, Inc. BD affiliated | Img Wealth Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 7, 2022 | Oct 17, 2022 |
| Meredith Jane Ferguson | Principal Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 5, 2022 | Oct 3, 2022 |
| Katherine Jean Perkner | Principal Securities, Inc. BD affiliated | Mai Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 5, 2022 | Jan 3, 2023 (90 d) |
| Scott Taylor Ririe | Principal Securities, Inc. BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 4, 2022 | May 1, 2023 (209 d) |
| Nicolas Andrew Rhodes | Principal Securities, Inc. BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 4, 2022 | Oct 7, 2022 |
| Charles Clayton Perry | Principal Securities, Inc. BD affiliated | Mai Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 30, 2022 | Jan 15, 2023 (107 d) |
| Nichola Shea Peacock | Principal Securities, Inc. BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 24, 2022 | Dec 16, 2022 (83 d) |
| Adam Gary Helm | Principal Securities, Inc. BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2022 | Sep 30, 2022 |
| Albert Kolb Maixner | Principal Securities, Inc. BD affiliated | Stancorp Investment Advisers, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Sep 23, 2022 | Feb 8, 2024 (503 d) |
| Jennifer Rebekka Moston | Principal Securities, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2022 | Sep 20, 2022 |
| Ryan Nicholas Noto | Principal Securities, Inc. BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2022 | Nov 3, 2022 (49 d) |
| Zachariah Curry | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2022 | Sep 2, 2022 |
| Austin Bunch Ayers | Principal Securities, Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2022 | Oct 7, 2022 |
| Matthew Geoffrey Buetow | Principal Securities, Inc. BD affiliated | Midwestern Securities Trading Co.,LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 1, 2022 | Apr 5, 2023 (216 d) |
| Manuel J. Provedor | Principal Securities, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2022 | Sep 13, 2022 |
| Joseph A Stephens | Principal Securities, Inc. BD affiliated | Rfg Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 29, 2022 | Aug 11, 2022 |
| Shane Michael Myas | Principal Securities, Inc. BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2022 | Aug 26, 2022 |
| Maryury Burbano Montano | Principal Securities, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 29, 2022 | Oct 6, 2022 (38 d) |
| Anthony Michael Niedert | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Aug 24, 2022 | Aug 9, 2022 |
| Brandon Anton Garva | Principal Securities, Inc. BD affiliated | Jrs Investments And Wealth Preservation, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 24, 2022 | Aug 29, 2022 |
1,561 moves match.