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

Arrivals at Principal Asset Management

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
Russell John Anthofer	Principal Securities, Inc. other	Principal Asset Management other	Other	Feb 23, 2017	Jan 11, 2019 (687 d)
Juliana Rae Pearson Thomas	Principal Securities, Inc. other	Principal Asset Management other	Other	Feb 8, 2017	Jan 20, 2017
Kevin Robert Hansen	Principal Securities, Inc. other	Principal Asset Management other	Other	Jan 30, 2017	Mar 8, 2017 (37 d)
Kraig Lee Kuhlers	Principal Securities, Inc. other	Principal Asset Management other	Other	Jan 30, 2017	Feb 24, 2017
Bret James Bussanmas	Principal Securities, Inc. other	Principal Asset Management other	Other	Jan 30, 2017	Mar 22, 2017 (51 d)
Joshua Matthew Mathias	Principal Securities, Inc. other	Principal Asset Management other	Other	Jan 30, 2017	Feb 16, 2017
Christopher Jorgensen	Principal Securities, Inc. other	Principal Asset Management other	Other	Jan 26, 2017	Feb 14, 2017
Kirk Albin	Principal Securities, Inc. other	Principal Asset Management other	Other	Jan 25, 2017	Feb 10, 2017
Matthew Quick	Principal Securities, Inc. other	Principal Asset Management other	Other	Jan 20, 2017	Jan 20, 2017
Matthew Tyne Raynor	Blackrock Fund Advisors other	Principal Asset Management other	Other	Nov 11, 2016	Oct 6, 2025 (3251 d)
Mathew Johnson	Principal Securities, Inc. other	Principal Asset Management other	Other	Nov 4, 2016	Nov 4, 2016
Laura K Mastin	Principal Securities, Inc. other	Principal Asset Management other	Other	Aug 12, 2016	Aug 12, 2016
Justin Stephen Vaught	Principal Securities, Inc. other	Principal Asset Management other	Other	Feb 2, 2016	Feb 10, 2017 (374 d)
Lauren Kathryn Matteo	UBS Financial Services Inc. wirehouse	Principal Asset Management other	Other	Jul 24, 2015	Jan 12, 2022 (2364 d)
Brett Cortelezzi	Nationwide Securities, LLC no RAUM	Principal Asset Management other	Other	Jul 21, 2015	May 11, 2026 (3947 d)
Arik Kermit Peterson	Principal Securities, Inc. other	Principal Asset Management other	Other	Mar 19, 2015	Aug 4, 2016 (504 d)
Richard D Webb	Principal Securities, Inc. other	Principal Asset Management other	Other	Oct 22, 2014	Feb 17, 2016 (483 d)
Kevin Francis Crook	Principal Securities, Inc. other	Principal Asset Management other	Other	Sep 9, 2014	Sep 9, 2014
Mark A Nelson	Principal Securities, Inc. other	Principal Asset Management other	Other	Sep 2, 2014	Sep 3, 2015 (366 d)
Jason D Topp	Morgan Stanley wirehouse	Principal Asset Management other	Other	May 14, 2014	Jan 21, 2022 (2809 d)
Benjamin Daniel Totel	Principal Securities, Inc. other	Principal Asset Management other	Other	Jul 25, 2012	Dec 21, 2021 (3436 d)
Erik Miller Tetmeyer	Voya Financial Advisors, Inc. other	Principal Asset Management other	Other	Jul 20, 2012	Jul 30, 2012
James Emerson Lange	Principal Securities, Inc. other	Principal Asset Management other	Other	Nov 8, 2011	Nov 8, 2011
Jeffrey Clark Davison	Delaware Capital Management Advisers, Inc no RAUM	Principal Asset Management other	Other	Oct 18, 2011	Dec 20, 2021 (3716 d)
Trenton James Holec	Investment Advisors Corp other	Principal Asset Management other	Other	Sep 12, 2011	Sep 19, 2011
Michael Christopher Schaefer	Delaware Capital Management Advisers, Inc no RAUM	Principal Asset Management other	Other	Jul 5, 2011	Jan 14, 2022 (3846 d)
Jay Thomas Harbison	Principal Securities, Inc. other	Principal Asset Management other	Other	Apr 4, 2011	Apr 4, 2011
Andrew Robert Wilson	Clarion Advisors Inc. independent RIA	Principal Asset Management other	Other	Mar 10, 2011	Nov 12, 2021 (3900 d)
Gregory John Bonzagni	Directed Services LLC other	Principal Asset Management other	Other	Dec 15, 2010	Jun 14, 2011 (181 d)
Andrew Thomas Turcotte	Principal Securities, Inc. other	Principal Asset Management other	Other	Dec 10, 2010	Nov 11, 2021 (3989 d)
John Winston Crandell	Principal Securities, Inc. other	Principal Asset Management other	Other	Dec 10, 2010	Jan 3, 2022 (4042 d)
Stephen John Cowie	Principal Securities, Inc. other	Principal Asset Management other	Other	Apr 6, 2010	Apr 6, 2010
Christopher Coffin Wilson	Principal Securities, Inc. other	Principal Asset Management other	Other	Apr 15, 2009	Apr 14, 2009
Paul David Chamberlain	Principal Securities, Inc. other	Principal Asset Management other	Other	Apr 15, 2009	Apr 14, 2009
Jason Lee Miller	Principal Securities, Inc. other	Principal Asset Management other	Other	Apr 15, 2009	Apr 15, 2009
Anthony Blake Hood	Transamerica Investment Management, LLC unclassified	Principal Asset Management other	Other	Feb 6, 2009	Jan 14, 2022 (4725 d)
Ian B Wetherell	Manulife Investment Management (US) LLC other	Principal Asset Management other	Other	Jan 9, 2009	Dec 20, 2021 (4728 d)
William Harvey Glover	Amg Distributors, Inc. unclassified	Principal Asset Management other	Other	Nov 19, 2008	Mar 2, 2022 (4851 d)
Eric Gene Forret	Principal Securities, Inc. other	Principal Asset Management other	Other	Sep 22, 2008	Sep 22, 2008
Efrem D Jackson	Principal Securities, Inc. other	Principal Asset Management other	Other	Jul 16, 2008	Jul 16, 2008
Clint Kelly Anderson	Bancwest Investment Services, Inc. (Bwis) other	Principal Asset Management other	Other	Jul 8, 2008	Dec 7, 2020 (4535 d)
David Edward Willy	Brecek & Young Advisors, Inc. other	Principal Asset Management other	Other	Jul 1, 2008	Feb 14, 2022 (4976 d)
Stacy Renee Heger	Russell Investments other	Principal Asset Management other	Other	May 30, 2008	Dec 20, 2021 (4952 d)
Ryan John Carroll	New York Life Investment Management LLC other	Principal Asset Management other	Other	May 27, 2008	Dec 21, 2021 (4956 d)
Louis Hollingsworth Dworsky	Banc Of America Investment Services, Inc. unclassified	Principal Asset Management other	Other	Mar 31, 2008	Sep 18, 2025 (6380 d)
Nathaniel D Whitaker	J.P. Morgan Investment Management Inc. other	Principal Asset Management other	Other	Mar 27, 2008	Feb 14, 2022 (5072 d)
Sophie Khommarath Tenaglia	UBS Financial Services Inc. wirehouse	Principal Asset Management other	Other	Feb 27, 2008	Mar 23, 2022 (5138 d)
Carl Eric Terzer	Principal Securities, Inc. other	Principal Asset Management other	Other	Jan 7, 2008	Jan 7, 2008
Paul Schieber	Lord, Abbett & Co. LLC other	Principal Asset Management other	Other	Dec 3, 2007	Dec 21, 2021 (5132 d)
Hubert Waldo Stokes	LPL Financial LLC other	Principal Asset Management other	Other	Jul 30, 2007	May 27, 2022 (5415 d)
Andrew Christian Reilly	Lord, Abbett & Co. LLC other	Principal Asset Management other	Other	Jul 9, 2007	Jan 10, 2022 (5299 d)
Andrew Clifford Miller	Waddell & Reed other	Principal Asset Management other	Other	Jan 8, 2007	Dec 21, 2021 (5461 d)
Michael Edward Burke	Lord, Abbett & Co. LLC other	Principal Asset Management other	Other	Oct 25, 2006	Jun 16, 2022 (5713 d)
William Nickolas Lefler	Principal Securities, Inc. other	Principal Asset Management other	Other	Jun 20, 2006	Mar 28, 2025 (6856 d)
Matthew Merrick Huyett	Equitable Advisors, LLC national BD	Principal Asset Management other	Other	Feb 23, 2004	Dec 23, 2021 (6513 d)
David Jacques Moret	Calamos Advisors LLC other	Principal Asset Management other	Other	Feb 11, 2004	Sep 23, 2008 (1686 d)
Sadie Lynn Johnson	Ameriprise Financial Services, LLC national BD	Principal Asset Management other	Other	Apr 30, 2003	Mar 6, 2023 (7250 d)

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117 moves match.