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 teams
Teams that left Principal Securities, Inc.
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Edmond, Ok +1 | Affiliated broker-dealer or bank to another | Jan 9, 2026 |
| 2 | Principal Securities, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Kahului, Hi | Affiliated broker-dealer or bank to another | Apr 21, 2025 |
| 2 | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Fort Worth, Tx | Affiliated broker-dealer or bank to another | Sep 13, 2024 |
| 5 | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Charlotte, Nc | Affiliated broker-dealer or bank to independent RIA | Nov 26, 2023 |
| 3 | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Phoenix, Az | Affiliated broker-dealer or bank to another | Nov 8, 2023 over 1 d |
| 2 | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Murrieta, Ca +1 | Affiliated broker-dealer or bank to another | Nov 8, 2023 over 1 d |
| 2 | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Lebanon, Tn +1 | Affiliated broker-dealer or bank to another | Nov 1, 2023 |
| 4 | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Omaha, Ne | Affiliated broker-dealer or bank to another | Sep 29, 2023 |
| 2 | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Melville, Ny | Affiliated broker-dealer or bank to another | Aug 31, 2023 over 5 d |
| 3 | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Raleigh, Nc +1 | Affiliated broker-dealer or bank to another | Aug 11, 2023 |
| 3 | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | New York, Ny +1 | Affiliated broker-dealer or bank to another | Aug 4, 2023 over 7 d |
| 2 | Principal Securities, Inc. BD affiliated | Next Financial Group, Inc. BD affiliated | Grand Rapids, Mi | Affiliated broker-dealer or bank to another | Jul 17, 2023 over 3 d |
| 3 | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Fresno, Ca | Affiliated broker-dealer or bank to another | May 8, 2023 over 14 d |
| 3 | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Melville, Ny +1 | Affiliated broker-dealer or bank to another | May 8, 2023 over 3 d |
| 2 | Principal Securities, Inc. BD affiliated | The Ameriflex Group BD affiliated | Phoenix, Az +1 | Affiliated broker-dealer or bank to another | May 5, 2023 over 14 d |
| 3 | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Modesto, Ca +1 | Affiliated broker-dealer or bank to another | Apr 19, 2023 over 2 d |
| 2 | Principal Securities, Inc. BD affiliated | Integrated Planning & Investments state registered | Fresno, Ca | Affiliated broker-dealer or bank to a state-registered adviser | Apr 10, 2023 over 1 d |
| 3 | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Fort Worth, Tx | Affiliated broker-dealer or bank to another | Feb 15, 2023 |
| 2 | Principal Securities, Inc. BD affiliated | Cornerstone Financial Group no RAUM | Marathon, Fl +1 | Affiliated broker-dealer or bank to a newly registered adviser | Jan 6, 2023 over 6 d |
| 2 | Principal Securities, Inc. BD affiliated | Cornerstone Financial Group no RAUM | Appleton, Wi +1 | Affiliated broker-dealer or bank to a newly registered adviser | Jan 6, 2023 |
| 3 | Principal Securities, Inc. BD affiliated | Virtus Financial Partners no RAUM | Maitland, Fl | Affiliated broker-dealer or bank to a newly registered adviser | Dec 8, 2022 |
| 2 | Principal Securities, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Grand Island, Ne | Affiliated broker-dealer or bank to wirehouse | Dec 7, 2022 over 1 d |
| 2 | Principal Securities, Inc. BD affiliated | The Ameriflex Group independent RIA | Phoenix, Az | Affiliated broker-dealer or bank to independent RIA | Nov 10, 2022 over 6 d |
| 3 | Principal Securities, Inc. BD affiliated | The Ameriflex Group independent RIA | Columbus, Oh | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2022 |
| 2 | Principal Securities, Inc. BD affiliated | Principal Advised Services independent RIA | Des Moines, Ia | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2022 |
| 4 | Principal Securities, Inc. BD affiliated | Mai Capital Management, LLC independent RIA | Jacksonville, Fl | Affiliated broker-dealer or bank to independent RIA | Sep 30, 2022 over 11 d |
| 5 | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | West Des Moines, Ia | Affiliated broker-dealer or bank to another | Aug 16, 2022 over 8 d |
| 6 | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Cedar Rapids, Ia | Affiliated broker-dealer or bank to another | Jun 22, 2022 over 6 d |
| 3 | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Mckinney, Tx +1 | Affiliated broker-dealer or bank to another | Feb 14, 2022 |
| 4 | Principal Securities, Inc. BD affiliated | Commonwealth Financial Network national BD | Adell, Wi | Affiliated broker-dealer or bank to another | Nov 10, 2021 over 6 d |
| 3 | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Grand Island, Ne | Affiliated broker-dealer or bank to another | Nov 10, 2021 |
| 3 | Principal Securities, Inc. BD affiliated | The Ameriflex Group independent RIA | Denver, Co | Affiliated broker-dealer or bank to independent RIA | Nov 9, 2021 |
| 2 | Principal Securities, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Columbia, Mo | Affiliated broker-dealer or bank to another | Sep 21, 2021 |
| 2 | Principal Securities, Inc. BD affiliated | LPL Financial LLC BD affiliated | Parsippany, Nj | Affiliated broker-dealer or bank to another | Sep 21, 2021 |
| 2 | Principal Securities, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Tigard, Or | Affiliated broker-dealer or bank to another | Jul 23, 2021 over 3 d |
| 2 | Principal Securities, Inc. BD affiliated | Transcend Advisor Group, LLC independent RIA | Mt Pleasant, Wi +1 | Affiliated broker-dealer or bank to independent RIA | Mar 17, 2021 over 6 d |
| 2 | Principal Securities, Inc. BD affiliated | Summit Financial Group Inc BD affiliated | Atlanta, Ga | Affiliated broker-dealer or bank to another | Dec 17, 2020 |
| 2 | Principal Securities, Inc. BD affiliated | Plan Group Financial, Inc. independent RIA | Grand Island, Ne | Affiliated broker-dealer or bank to independent RIA | Oct 8, 2020 |
| 2 | Principal Securities, Inc. BD affiliated | Balefire, LLC mixed wealth | Minnetonka, Mn | Affiliated broker-dealer or bank to independent RIA | Sep 16, 2020 |
| 2 | Principal Securities, Inc. BD affiliated | Osaic Advisory Services, LLC BD affiliated | Bend, Or | Affiliated broker-dealer or bank to another | Jun 11, 2020 |
| 4 | Principal Securities, Inc. BD affiliated | Washington Avenue Advisors independent RIA | Lansing, Mi | Affiliated broker-dealer or bank to independent RIA | Apr 27, 2020 over 10 d |
| 2 | Principal Securities, Inc. BD affiliated | Investacorp Advisory Services Inc BD affiliated | Sunrise, Fl +1 | Affiliated broker-dealer or bank to another | Jan 14, 2020 over 14 d |
| 3 | Principal Securities, Inc. BD affiliated | Valmark Advisers, Inc. BD affiliated | Onalaska, Wi +1 | Affiliated broker-dealer or bank to another | Jul 24, 2019 over 2 d |
| 3 | Principal Securities, Inc. BD affiliated | Mutual Advisors, LLC BD affiliated | Minneapolis, Mn +2 | Affiliated broker-dealer or bank to another | Jun 10, 2019 over 9 d |
| 2 | Principal Securities, Inc. BD affiliated | LPL Financial LLC independent RIA | El Paso, Tx | Affiliated broker-dealer or bank to independent RIA | May 2, 2019 |
| 2 | Principal Securities, Inc. BD affiliated | Principal Advised Services no RAUM | Des Moines, Ia | Affiliated broker-dealer or bank to a newly registered adviser | Apr 2, 2019 over 3 d |
| 2 | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Downers Grove, Il | Other | Oct 30, 2018 over 1 d |
| 2 | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Des Moines, Ia +1 | Other | Oct 23, 2018 over 8 d |
| 3 | Principal Securities, Inc. BD affiliated | Principal Advised Services no RAUM | Des Moines, Ia | Affiliated broker-dealer or bank to a newly registered adviser | Oct 17, 2018 over 14 d |
| 2 | Principal Securities, Inc. BD affiliated | Pgi Wealth Management independent RIA | Minnetonka, Mn +1 | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2018 |
| 2 | Principal Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Yakima, Wa +1 | Affiliated broker-dealer or bank to another | Aug 2, 2018 over 12 d |
| 2 | Principal Securities, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Eagle, Id | Affiliated broker-dealer or bank to another | Jun 13, 2018 |
| 2 | Principal Securities, Inc. BD affiliated | Principal Asset Management other | Des Moines, Ia | Other | May 2, 2018 over 7 d |
| 3 | Principal Securities, Inc. other | Psi Advisors, LLC other | Tampa, Fl | Other | Mar 7, 2018 |
| 2 | Principal Securities, Inc. other | Balefire, LLC other | Sioux Falls, Sd +1 | Other | Dec 14, 2017 |
| 2 | Principal Securities, Inc. other | Regal Investment Advisors LLC other | Plantation, Fl | Other | Sep 27, 2017 over 13 d |
| 2 | Principal Securities, Inc. other | Woodbury Financial Services, Inc. other | Overland Park, Ks | Other | Jul 19, 2017 over 9 d |
| 2 | Principal Securities, Inc. other | Wealthshield Partners, LLC other | Raleigh, Nc | Other | May 10, 2017 |
| 4 | Principal Securities, Inc. other | Principal Asset Management other | Des Moines, Ia | Other | Feb 23, 2017 over 21 d |
| 7 | Principal Securities, Inc. other | Principal Asset Management other | Des Moines, Ia | Other | Jan 20, 2017 over 19 d |
Page 1 of 2Next
63 teams match.derived from registration dates