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.

AdvisorFromToTypeLeftRegistered
Joseph Alan SorrellPrincipal Securities, Inc. BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseJun 25, 2021Jul 1, 2021
Earl Cameron JohnsonPrincipal Securities, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJun 15, 2021Aug 9, 2021 (55 d)
Jeffrey Douglas BrechtPrincipal Securities, Inc. BD affiliatedPure Financial Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 11, 2021Jun 18, 2021
Jose Manuel GarciaPrincipal Securities, Inc. BD affiliatedCharles Schwab & Co., Inc. national BDAffiliated broker-dealer or bank to anotherJun 10, 2021Jun 23, 2021
Marco Enrique TejadaPrincipal Securities, Inc. BD affiliatedAdvice And Planning Services BD affiliatedAffiliated broker-dealer or bank to anotherJun 4, 2021Jun 21, 2021
Sean Alan SunderlagePrincipal Securities, Inc. BD affiliatedAllstate Financial Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 25, 2021Jun 15, 2021
Joshua Andrew MedvidofskyPrincipal Securities, Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 7, 2021May 5, 2021
Christopher Joseph DorffPrincipal Securities, Inc. BD affiliatedOsaic Fa, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 7, 2021May 5, 2021
Luis Orlando BarrionuevoPrincipal Securities, Inc. BD affiliatedAmeritas Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 29, 2021Nov 1, 2021 (186 d)
Elias DauPrincipal Securities, Inc. BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseApr 12, 2021Dec 20, 2021 (252 d)
Mark Andrew GelbmanPrincipal Securities, Inc. BD affiliatedKestra Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 12, 2021Apr 30, 2021
Eric KautzmanPrincipal Securities, Inc. BD affiliatedBalefire, LLC otherOtherApr 12, 2021Apr 8, 2021
Barrington BoydPrincipal Securities, Inc. BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseMar 31, 2021May 4, 2021 (34 d)
Rob Nicholas StonePrincipal Securities, Inc. BD affiliatedNorthwestern Mutual Investment Services,LLC no RAUMOtherMar 31, 2021Feb 1, 2023 (672 d)
Theologos Stavros BasisPrincipal Securities, Inc. BD affiliatedVanderbilt Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherMar 30, 2021Apr 6, 2021
Kristin Ashley AfelumoPrincipal Securities, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherMar 24, 2021Mar 12, 2021
Lukas McelheniePrincipal Securities, Inc. BD affiliatedMML Investors Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMar 24, 2021Apr 14, 2021
Todd Patrick ObrienPrincipal Securities, Inc. BD affiliatedTranscend Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 23, 2021Jan 1, 2025 (1380 d)
Jonathan Edward GrabePrincipal Securities, Inc. BD affiliatedSb Advisory, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 22, 2021Jan 1, 2025 (1381 d)
Charles Russell EichnerPrincipal Securities, Inc. BD affiliatedTranscend Advisor Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 17, 2021Jan 1, 2026 (1751 d)
Michael Charles BurroughsPrincipal Securities, Inc. BD affiliatedNorthwestern Mutual Investment Services,LLC no RAUMOtherMar 5, 2021Apr 16, 2021 (42 d)
Michael Scott BenoitPrincipal Securities, Inc. BD affiliatedBankers Life Advisory Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 1, 2021Aug 16, 2022 (533 d)
Laura Thai StenbergPrincipal Securities, Inc. BD affiliatedMma Securities LLC no RAUMOtherFeb 26, 2021Mar 2, 2021
Marc David GoldsteinPrincipal Securities, Inc. BD affiliatedKestra Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 23, 2021Feb 20, 2021
Gina Danelle EanesPrincipal Securities, Inc. BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 23, 2021Feb 25, 2021
Gregory Russell BremerPrincipal Securities, Inc. BD affiliatedOnedigital institutionalOtherFeb 11, 2021Feb 8, 2021
Pedro L TorresPrincipal Securities, Inc. BD affiliatedHornor, Townsend & Kent, LLC BD affiliatedAffiliated broker-dealer or bank to anotherFeb 3, 2021Feb 17, 2021
David L TippetsPrincipal Securities, Inc. BD affiliatedSoltis Investment Advisors, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAFeb 1, 2021May 19, 2021 (107 d)
Kirk Allen SadilekPrincipal Securities, Inc. BD affiliatedBasepoint Wealth, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 27, 2021Jan 15, 2021
Dorothy Helen WhitmanPrincipal Securities, Inc. BD affiliatedAllstate Financial Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJan 27, 2021Feb 10, 2021
Tracee J SappPrincipal Securities, Inc. BD affiliatedSummit Financial Group Inc BD affiliatedAffiliated broker-dealer or bank to anotherJan 26, 2021Jan 21, 2021
Jeffery James QuickPrincipal Securities, Inc. BD affiliatedPaladin Financial independent RIAAffiliated broker-dealer or bank to independent RIAJan 25, 2021Jan 19, 2021
Seth Adam FinemanPrincipal Securities, Inc. BD affiliatedMma Securities LLC no RAUMOtherJan 21, 2021Feb 23, 2021 (33 d)
Christina Alita FloresPrincipal Securities, Inc. BD affiliatedState Farm Investment Management Corp. asset managerOtherJan 21, 2021May 12, 2021 (111 d)
Christian James SiebertPrincipal Securities, Inc. BD affiliatedPrincipal Asset Management otherOtherJan 8, 2021Jan 13, 2021
Andrea LewisPrincipal Securities, Inc. BD affiliatedSummit Financial Group Inc BD affiliatedAffiliated broker-dealer or bank to anotherJan 2, 2021Dec 18, 2020
Atmaram D VaravadekarPrincipal Securities, Inc. BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2020Mar 9, 2021 (68 d)
Richard HunterPrincipal Securities, Inc. BD affiliatedIpi Wealth Management, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 31, 2020Aug 10, 2021 (222 d)
Echo Wreatha PelsterPrincipal Securities, Inc. BD affiliatedEagle Strategies LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 23, 2020Feb 5, 2021 (44 d)
Mark Thomas WeeksPrincipal Securities, Inc. BD affiliatedSummit Financial Group Inc BD affiliatedAffiliated broker-dealer or bank to anotherDec 17, 2020Dec 7, 2020
Jacob FussellPrincipal Securities, Inc. BD affiliatedSummit Financial Group Inc BD affiliatedAffiliated broker-dealer or bank to anotherDec 17, 2020Dec 11, 2020
Matthew James LovellPrincipal Securities, Inc. BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseDec 16, 2020Jan 26, 2022 (406 d)
Karen Marie StarrPrincipal Securities, Inc. BD affiliatedStifel, Nicolaus & Company, Incorporated national BDAffiliated broker-dealer or bank to anotherDec 15, 2020Jan 4, 2021
Thomas James OgradyPrincipal Securities, Inc. BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 8, 2020Dec 2, 2020
Christopher D PhillipsPrincipal Securities, Inc. BD affiliatedWorld Investment Advisors, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 4, 2020Dec 8, 2020
Peyton WilliamsPrincipal Securities, Inc. BD affiliatedNorthwestern Mutual Investment Services,LLC no RAUMOtherDec 4, 2020May 26, 2021 (173 d)
Anthony KinziePrincipal Securities, Inc. BD affiliatedCetera Advisors LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 1, 2020Nov 20, 2020
Ryan John DelcarloPrincipal Securities, Inc. BD affiliatedNext Financial Group, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 25, 2020Nov 13, 2020
John GinsburgPrincipal Securities, Inc. BD affiliatedOsaic Fs, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 24, 2020Dec 21, 2020
Matthew R StangePrincipal Securities, Inc. BD affiliatedPruco Securities, LLC BD affiliatedAffiliated broker-dealer or bank to anotherNov 24, 2020Jan 27, 2021 (64 d)
James Richard HillPrincipal Securities, Inc. BD affiliatedGatehill Financial Consulting, LLC state registeredAffiliated broker-dealer or bank to a state-registered adviserNov 23, 2020Mar 16, 2021 (113 d)
Alex Matthew AvilaPrincipal Securities, Inc. BD affiliatedFidelity Personal And Workplace Advisors BD affiliatedAffiliated broker-dealer or bank to anotherNov 19, 2020Jan 20, 2021 (62 d)
Nyisha Patrice BellPrincipal Securities, Inc. BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseNov 10, 2020Jan 11, 2021 (62 d)
Rajkumar Namomal MotwaniPrincipal Securities, Inc. BD affiliatedFidelity Personal And Workplace Advisors BD affiliatedAffiliated broker-dealer or bank to anotherNov 4, 2020Sep 27, 2022 (692 d)
Kyle James PetersonPrincipal Securities, Inc. BD affiliatedChoreo, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 9, 2020May 15, 2025 (1679 d)
Darian HoglePrincipal Securities, Inc. BD affiliatedBancwest Investment Services, Inc. (Bwis) BD affiliatedAffiliated broker-dealer or bank to anotherOct 9, 2020Dec 11, 2020 (63 d)
Matthew Ronald SchultzPrincipal Securities, Inc. BD affiliatedPlan Group Financial, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAOct 8, 2020Oct 2, 2020
Jeffery Allen EynetichPrincipal Securities, Inc. BD affiliatedPlan Group Financial, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAOct 8, 2020Oct 20, 2020
Timothy Daniel HardenPrincipal Securities, Inc. BD affiliatedRetirement Plan Advisors, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAOct 5, 2020Oct 22, 2020
Scott Wade SummerlinPrincipal Securities, Inc. BD affiliatedPfg Advisors independent RIAAffiliated broker-dealer or bank to independent RIASep 24, 2020Sep 18, 2020
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1,561 moves match.