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 Advised Services
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 |
|---|---|---|---|---|---|
| Thomas Alexander Strouse | Principal Advised Services BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2026 | Sep 11, 2026 |
| John Michael Jacobsen | Principal Advised Services BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Aug 4, 2026 | Aug 17, 2026 |
| Grant Thomas Booterbaugh | Principal Advised Services BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2026 | Jul 28, 2026 |
| Cameron Joe Mckee | Principal Advised Services BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2026 | Jul 24, 2026 |
| David Andrew Wynstra | Principal Advised Services BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 13, 2026 | Jul 8, 2026 |
| Thomas Edward Murray | Principal Advised Services BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2026 | Aug 3, 2026 (34 d) |
| Jonathan Taylor Helak | Principal Advised Services BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2026 | Jun 30, 2026 |
| Jacob Albert Smith | Principal Advised Services BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2026 | Jul 24, 2026 (43 d) |
| Scott Jeffrey Breitkreutz | Principal Advised Services BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2026 | Jun 25, 2026 (35 d) |
| Benjamin Scott Topping | Principal Advised Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | May 13, 2026 | May 15, 2026 |
| Amanda Louise Pritchard | Principal Advised Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | May 13, 2026 | Jun 12, 2026 |
| Crysta Larae Berry | Principal Advised Services BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2026 | Apr 8, 2026 |
| Ian Michael Stratman | Principal Advised Services BD affiliated | Stonebridge Wealth Systems LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 16, 2026 | Apr 16, 2026 |
| Austin M Siefers | Principal Advised Services BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 13, 2026 | Apr 13, 2026 |
| Patrick Muaba Kapiamba | Principal Advised Services BD affiliated | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Apr 10, 2026 | Apr 22, 2026 |
| Kathleen Germain Saba | Principal Advised Services BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 8, 2026 | Jul 30, 2026 (113 d) |
| Heidi Breitkreutz | Principal Advised Services BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2026 | Apr 2, 2026 |
| Jacob Michael Bugica | Principal Advised Services BD affiliated | Nuveen Asset Management, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 26, 2026 | Feb 20, 2026 |
| Nicholas Gorham | Principal Advised Services BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 21, 2026 | Mar 27, 2026 (65 d) |
| Nora Kaye Hans | Principal Advised Services BD affiliated | Foundations Investment Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2026 | Feb 20, 2026 |
| Stephen Hynes Muldrow | Principal Advised Services BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2026 | Dec 24, 2025 |
| Isabelle Kling | Principal Advised Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 7, 2026 | Apr 29, 2026 (112 d) |
| Brendan Cole | Principal Advised Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 18, 2025 | Feb 26, 2026 (70 d) |
| Kathleen M Korman | Principal Advised Services BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Nov 4, 2025 | Jan 24, 2026 (81 d) |
| William Carroll | Principal Advised Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 7, 2025 | Sep 4, 2025 |
| Reid Benjamin Johnson | Principal Advised Services BD affiliated | Principal Asset Management other | Other | Jul 14, 2025 | Jul 22, 2025 |
| Robert Gregory Annexstad | Principal Advised Services BD affiliated | Foster Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 8, 2025 | Jul 17, 2025 |
| Daniel Jessei Arostegui | Principal Advised Services BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 4, 2025 | Aug 15, 2025 (72 d) |
| William Stephen Taylor | Principal Advised Services BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 2, 2025 | Jun 3, 2025 |
| Westin James Kaser | Principal Advised Services BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2025 | Aug 14, 2025 (104 d) |
| Stephanie Kay Goins | Principal Advised Services BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 17, 2025 | Apr 28, 2025 |
| Peter Kendrick | Principal Advised Services BD affiliated | Sofi Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2025 | Apr 8, 2025 |
| Ryan A Black | Principal Advised Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 13, 2025 | May 28, 2025 (76 d) |
| Caleb A Stekl | Principal Advised Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 14, 2025 | Feb 14, 2025 |
| Jorge Aldana | Principal Advised Services BD affiliated | Nationwide Investment Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 9, 2025 | Jul 17, 2026 (554 d) |
| Charles W Sleeth | Principal Advised Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 7, 2025 | Feb 11, 2025 (35 d) |
| Clarissa Marie Rasmussen | Principal Advised Services BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2024 | Sep 23, 2024 |
| Alister B Huss | Principal Advised Services BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Sep 17, 2024 | Sep 30, 2024 |
| Rajwinder Kaur | Principal Advised Services BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2024 | Nov 4, 2025 (432 d) |
| Emmanuel F Mamuya | Principal Advised Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 15, 2024 | Aug 27, 2024 (43 d) |
| Marlene Dixon | Principal Advised Services independent RIA | Principal Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 21, 2024 | Mar 21, 2024 |
| Brendon Louis Smith | Principal Advised Services independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jan 26, 2024 | Mar 8, 2024 (42 d) |
| Jada Rain Cardwell | Principal Advised Services independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 8, 2024 | Oct 20, 2025 (651 d) |
| Fernando Martin Davila | Principal Advised Services independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 29, 2023 | Dec 18, 2023 (111 d) |
| Michele Marie Farfan | Principal Advised Services independent RIA | World Investment Advisors, LLC institutional | Other | Jan 23, 2023 | Jan 26, 2023 |
| Bradley James Hanus | Principal Advised Services independent RIA | Principal Asset Management other | Other | Feb 25, 2022 | Feb 16, 2022 |
| Jesse S Froning | Principal Advised Services independent RIA | Principal Asset Management other | Other | May 28, 2021 | Jun 9, 2021 |
| Brad Michael Schlichte | Principal Advised Services independent RIA | Principal Asset Management other | Other | Apr 13, 2021 | Jun 9, 2021 (57 d) |
| Andrea Lea Benson | Principal Advised Services no RAUM | Principal Securities, Inc. BD affiliated | Other | Nov 6, 2019 | Nov 11, 2019 |
| Jessica Ann Henricksen | Principal Advised Services no RAUM | Robustwealth, Inc. asset manager | Other | Oct 16, 2019 | Oct 17, 2019 |
| Ryan Gerardy | Principal Advised Services no RAUM | Thrivent Investment Management Inc. BD affiliated | Other | Aug 30, 2019 | Aug 30, 2019 |
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51 moves match.