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 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 |
|---|---|---|---|---|---|
| Kyle Joseph Machiz | Wells Fargo Advisors wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 13, 2026 | Jul 28, 2026 |
| Joshua Matthew Hurt | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 1, 2026 | Jul 28, 2026 |
| Yesenia Denisse Burgos | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 5, 2026 | Jun 1, 2026 |
| Adam Lucart | LPL Enterprise, LLC BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2026 | Jun 25, 2026 |
| Devin Michael Young | Goldman Sachs Wealth Services, L.P. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2026 | May 26, 2026 |
| Draven Henderson | Edward Jones national BD | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2026 | May 29, 2026 |
| Michael Alan Maddock | Ameriprise Financial Services, LLC national BD | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 25, 2026 | Jun 15, 2026 (82 d) |
| William Robert Grace | Vanguard Advisers, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 25, 2026 | May 4, 2026 (40 d) |
| Bryan Repishti | Strategic Advisers LLC national BD | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Feb 5, 2026 | Mar 20, 2026 (43 d) |
| Christopher Michael Stokes | J.P. Morgan Securities LLC wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 28, 2026 | May 4, 2026 (96 d) |
| Silas Paul Winders | Thrivent Investment Management Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2026 | May 4, 2026 (96 d) |
| Alec Luna | Bankers Life Advisory Services, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Dec 26, 2025 | Jan 23, 2026 |
| Thomas J Riggers | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2025 | Jun 2, 2026 (181 d) |
| Timothy E Moore | Vanguard Advisers, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2025 | Nov 19, 2025 |
| Gregory Klibanov | LPL Financial LLC BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Oct 17, 2025 | Oct 28, 2025 |
| Robert L Reece | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2025 | Mar 23, 2026 (189 d) |
| Cameron Joe Mckee | Park Avenue Securities LLC BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2025 | Aug 4, 2025 (81 d) |
| Bacilia Gomez | Transamerica Retirement Advisors, LLC BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Apr 14, 2025 | May 9, 2025 |
| Shaun Michael Felber | Fidelity Personal And Workplace Advisors BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2025 | Feb 6, 2026 (340 d) |
| Laura Jeannine Fellows | Mwa Financial Services, Inc. independent RIA | Principal Advised Services BD affiliated | RIA to affiliated broker-dealer or bank | Jan 22, 2025 | Feb 6, 2025 |
| Kyle Matthew Sellers | Florida Financial Advisors, LLC BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 22, 2025 | Jul 31, 2025 (190 d) |
| Patrick Muaba Kapiamba | Fidelity Personal And Workplace Advisors BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2025 | Feb 18, 2025 (43 d) |
| Daniel Jessei Arostegui | J.P. Morgan Securities LLC wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 19, 2024 | Feb 20, 2025 (93 d) |
| Zachary Shibe Macfarland | Florida Financial Advisors, LLC BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 18, 2024 | Apr 15, 2025 (148 d) |
| Jorge Aldana | Principal Securities, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 8, 2024 | Nov 12, 2024 |
| Yolanda Goodwin | Pruco Securities, LLC BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2024 | Feb 5, 2025 (97 d) |
| Ryan Michael Trenz | Citigroup Global Markets Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Oct 14, 2024 | Oct 21, 2024 |
| Benjamin Scott Topping | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 2, 2024 | Oct 21, 2024 |
| Nora Kaye Hans | First Command Advisory Services BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Sep 25, 2024 | Jan 28, 2025 (125 d) |
| Stephen Parker Clapp | Fidelity Personal And Workplace Advisors BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Aug 9, 2024 | Sep 16, 2024 (38 d) |
| Ryan A Black | Citigroup Global Markets Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2024 | Sep 5, 2024 |
| Tyrin Ladell Mcrae | Fidelity Personal And Workplace Advisors BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2024 | Oct 23, 2024 (76 d) |
| Sean Michael Wiegert | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 29, 2024 | Oct 22, 2024 (85 d) |
| Armani Cortez | Onedigital institutional | Principal Advised Services BD affiliated | Other | May 22, 2024 | Aug 2, 2024 (72 d) |
| Chaundra Kay Straker | Cetera Investment Advisers LLC BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Apr 11, 2024 | Mar 13, 2025 (336 d) |
| Claude Daniel Gianetto | Citigroup Global Markets Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2024 | Oct 14, 2024 (192 d) |
| Chase T Jackson | Citigroup Global Markets Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2024 | Aug 14, 2024 (132 d) |
| Kathleen M Korman | Kestra Advisory Services, LLC BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2024 | Sep 12, 2024 (227 d) |
| Catherine Emily Wanjiru Muturi | Charles Schwab & Co., Inc. national BD | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 18, 2024 | Aug 14, 2024 (209 d) |
| Jonathan Gregory Dahl | Charles Schwab & Co., Inc. national BD | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2024 | Aug 20, 2024 (223 d) |
| Dallin Jack Davis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 5, 2024 | Oct 21, 2024 (290 d) |
| Eric John Hollister | Cambridge Investment Research Advisors, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2023 | Aug 12, 2024 (225 d) |
| Charles W Sleeth | Principal Securities, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2023 | Jun 25, 2024 (212 d) |
| Rajwinder Kaur | Principal Securities, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2023 | Aug 12, 2024 (260 d) |
| Peter Kendrick | Principal Securities, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2023 | Aug 9, 2024 (257 d) |
| Ian Michael Stratman | Principal Securities, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2023 | Aug 14, 2024 (262 d) |
| Amanda Louise Pritchard | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 26, 2023 | Feb 21, 2024 (87 d) |
| Jacob Michael Bugica | Principal Securities, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2023 | Aug 15, 2024 (263 d) |
| William Carroll | Principal Securities, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2023 | Aug 6, 2024 (254 d) |
| Stuart Roy Van Ess | Transamerica Retirement Advisors, LLC BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 22, 2023 | Feb 5, 2024 (75 d) |
| Leevens Cherisma | Fidelity Personal And Workplace Advisors BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2023 | Jul 30, 2025 (618 d) |
| Lyle F Terry | Morgan Stanley wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 29, 2023 | Aug 20, 2024 (326 d) |
| Grant Thomas Booterbaugh | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 27, 2023 | Aug 31, 2023 |
| Jada Rain Cardwell | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2023 | Jul 28, 2023 |
| Fernando Martin Davila | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 4, 2023 | Jul 31, 2023 |
| Kathleen Germain Saba | Vanguard Advisers, Inc. BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Jul 13, 2023 | Feb 13, 2025 (581 d) |
| Bryan H Hermosillo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Principal Advised Services BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 16, 2023 | Jan 13, 2025 (608 d) |
| Paul Noble Gould | Osaic Fa, Inc. BD affiliated | Principal Advised Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2023 | Sep 27, 2023 (190 d) |
| Ivan Mitchell Gutierrez | Primerica Advisors national BD | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 15, 2023 | Oct 21, 2024 (586 d) |
| Darnel D'Von James | Empower Advisory Group, LLC BD affiliated | Principal Advised Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 8, 2022 | Oct 10, 2024 (702 d) |
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105 moves match.