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 Principle Wealth

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
David C CopelandMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehousePrinciple Wealth independent RIAWirehouse to independent RIAMay 6, 2026May 14, 2026
Tracy Ane PiersonCommonwealth Financial Network national BDPrinciple Wealth independent RIAAffiliated broker-dealer or bank to independent RIADec 18, 2024Jun 4, 2025 (168 d)
June Lori BerglundJanney Montgomery Scott LLC BD affiliatedPrinciple Wealth independent RIAAffiliated broker-dealer or bank to independent RIAApr 12, 2023May 9, 2023
Glenn Simon ZavorskasRBC Capital Markets, LLC national BDPrinciple Wealth independent RIAAffiliated broker-dealer or bank to independent RIADec 20, 2021Jan 7, 2022
Joseph Addison McarawNorthstar Wealth Partners LLC independent RIAPrinciple Wealth independent RIARIA to RIAFeb 10, 2021Dec 8, 2020
Theresa Vivian DonatelliNorthstar Wealth Partners LLC independent RIAPrinciple Wealth independent RIARIA to RIAJan 8, 2021Dec 8, 2020
Amy Alisia LawlerNorthstar Wealth Partners LLC independent RIAPrinciple Wealth independent RIARIA to RIADec 14, 2020Dec 8, 2020
Lizabeth L DregaNorthstar Wealth Partners LLC independent RIAPrinciple Wealth independent RIARIA to RIADec 14, 2020Dec 8, 2020
Martin J WollackEssex Financial Services, Inc. independent RIAPrinciple Wealth independent RIARIA to RIASep 30, 2020Oct 2, 2020
Christopher Joseph MaccaTrinitypoint Wealth, LLC independent RIAPrinciple Wealth independent RIARIA to RIAJun 1, 2020Feb 25, 2021 (269 d)
Margaret Omarra MaruzoOneamerica Securities, Inc. BD affiliatedPrinciple Wealth independent RIAAffiliated broker-dealer or bank to independent RIASep 16, 2019Sep 23, 2019
Patricia Lynn BradyDynasty Wealth Management, LLC independent RIAPrinciple Wealth independent RIARIA to RIAJan 11, 2019Mar 12, 2019 (60 d)
Colin Michael DuganNorthstar Wealth Partners LLC independent RIAPrinciple Wealth independent RIARIA to RIAJul 2, 2018Jul 2, 2018
John Patrick HanniganEssex Financial Services, Inc. otherPrinciple Wealth no RAUMOtherOct 30, 2017Oct 31, 2017
Kevin Joseph LoobyEssex Financial Services, Inc. otherPrinciple Wealth no RAUMOtherOct 30, 2017Oct 31, 2017
Robert Santino PaolucciEssex Financial Services, Inc. otherPrinciple Wealth no RAUMOtherOct 30, 2017Oct 31, 2017
Michael Joseph CastielloEssex Financial Services, Inc. otherPrinciple Wealth no RAUMOtherOct 30, 2017Oct 31, 2017
Joshua R OuellettePutnam Investment Management, LLC otherPrinciple Wealth independent RIAOtherFeb 14, 2017Apr 28, 2023 (2264 d)
Julina Lee OgilvieLord, Abbett & Co. LLC otherPrinciple Wealth independent RIAOtherJul 27, 2011Apr 17, 2020 (3187 d)
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19 moves match.