PRINCIPAL ADVISED SERVICES

Latest filing: Nov 05, 2024 (165 days ago)
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AUM

$569,489,941
0% change vs. 1 year ago
118% change vs. 3 years ago
1827% change vs. 5 years ago
0% change vs. 10 years ago

Employee Count

140
0% change vs. 1 year ago
57% change vs. 3 years ago
109% change vs. 5 years ago
0% change vs. 10 years ago

Main Office

DES MOINES, IA
655 9TH STREET, DES MOINES, IA, UNITED STATES, 50309

Client AUM

Discretion AUM
Discretionary $0.6
Non-Discretionary $0.0
Total $0.6
Client AUM
Retail $0.6
Pooled $0.0
Institutional $0.0
Total $0.6
Retail Accounts AUM
Individual 11,786 $0.5
Average Individual AUM $46,375
HNW 15 $0.0
Average HNW AUM $1,527,872
Retail Total 11,801 $0.6
Average Retail AUM $48,258

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM
APEX CLEARING CORPORATION DALLAS-TX-USA $0.6

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $0.6
Retail SMA AUM $0.6
Institutional SMA AUM $0.0
Asset Class % AUM
Equity Exch 0% $0.0
Equity Non-Exch 0% $0.0
Govt Agency 0% $0.0
Municipal 0% $0.0
Sovereign 0% $0.0
IG Credit 0% $0.0
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 98% $0.6
Other Pools 0% $0.0
Cash 2% $0.0
Other 0% $0.0
Total 100% $0.6

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
PRINCIPAL GLOBAL INVESTORS, LLC $377.2 109002
PRINCIPAL SECURITIES, INC. $12.1 broker-dealer 1137
PREFERRED PRODUCT NETWORK, INC. $0.0 -
PRINCIPAL GLOBAL INVESTORS (IRELAND) LIMITED $0.0 -
PRINCIPAL SHAREHOLDER SERVICES INC $0.0 trust company -
PRINCIPAL BANK $0.0 -
PRINCIPAL GLOBAL INVESTORS TRUST COMPANY $0.0 trust company -
PRINCIPAL NATIONAL LIFE INSURANCE COMPANY $0.0 -
PRINCIPAL LIFE INSURANCE COMPANY $0.0 -
DELAWARE CHARTER GUARANTEE & TRUST COMPANY $0.0 trust company -

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

21 active

Name Title
FOSSELL, JANET, LORETTA CHIEF OPERATIONS OFFICER
CHRISTENSEN, SCOTT, ALLEN CHIEF INVESTMENT OFFICER
WINSTON, HEATHER, BLAKE CHIEF PRODUCT OFFICER
WIENER, SARA, JO DIRECTOR
NESS, BRIAN, STEVEN DIRECTOR
WINTERHOF, JANIS, JEAN DIRECTOR
MONTFORD, AMY, M CHIEF EXECUTIVE OFFICER
DOWNING, RYAN, DOUGLAS DIRECTOR
LONG, GREGORY, SCOTT CHIEF MARKETING OFFICER
DEASY, JUSTIN, MILLER ASSISTANT GENERAL COUNSEL
ROBINSON SAATHOFF, DANNA, M CHIEF LEARNING OFFICER
WENIG, BARBARA DIRECTOR
SARKAR, ANIKET CHIEF INFORMATION OFFICER
CUSICK, KORI, DIANE CHIEF SUPERVISION OFFICER
VANDERLEEK, ERIC CHIEF SALES OFFICER
JENNINGS, MEGAN, ELIZABETH CHIEF COMPLIANCE OFFICER
RIGLER, DAVID, ANDREW CHIEF FINANCIAL OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

82 active representatives found, showing 20 random

Name City State Exams Designations
EMMANUEL MAMUYA DES MOINES IA S63|2022-05-10|S66|2024-05-23
DONABEL TRIPLETT DES MOINES IA S63|2017-04-13|S66|2024-05-06
STANLEY POORMAN DES MOINES IA S66|2008-04-29 CERTIFIED FINANCIAL PLANNER
JANET FOSSELL DES MOINES IA S66|2004-11-19
CRYSTA BERRY DES MOINES IA S63|2021-11-08|S66|2024-05-16
SCOTT MUELLER DES MOINES IA S65|2016-07-12|S63|2014-05-29
SCOTT KOEHLER DES MOINES IA S63|2022-06-24|S66|2024-05-02
ERIC MOHAMMED DES MOINES IA S63|2015-03-02|S66|2024-05-15
JENNIFER SCHUMANN DES MOINES IA S63|1998-04-15|S65|2005-02-01 CHARTERED FINANCIAL CONSULTANT
ZION OROMO DES MOINES IA S63|2023-02-04|S66|2024-05-18
SCOTT CHRISTENSEN DES MOINES IA CHARTERED FINANCIAL ANALYST
JAMES WINTERS DES MOINES IA S63|2023-02-24|S66|2024-05-24
JEREMY SMALLEY DES MOINES IA S66|2005-03-23
ISABELLE KLING DES MOINES IA S63|2022-08-29|S66|2024-05-24
RYAN STEFFEN DES MOINES IA S63|2021-07-26|S66|2023-12-20
ELI GREUFE DES MOINES IA S63|2022-03-18|S66|2024-05-09
ADAM BLOCK DES MOINES IA S63|2018-12-21|S66|2023-05-05
CRAIG ENGEL DES MOINES IA S65|2012-12-29|S63|2013-11-02
SIGNE NELSON-COMBS DES MOINES IA S63|2010-12-04|S65|2016-05-13
JESSE FRONING DES MOINES IA S65|2019-04-04|S63|2021-05-14

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2025-03-06 $0.6 $0.0 0% 140 0 0%
2024-04-02 $0.6 $0.0 0% 140 0 0%
2023-04-04 $0.4 $0.2 62% 115 25 22%
2022-04-01 $0.3 $0.3 118% 89 51 57%
2021-04-05 $0.1 $0.5 420% 69 71 103%
2020-04-01 $0.0 $0.5 1827% 67 73 109%
2019-04-01 $0.0 $0.0 0% 46 94 204%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
IA, AK-12/14/2018, AL-12/14/2018, AR-12/14/2018, AZ-12/14/2018, CA-12/14/2018, CO-12/14/2018, CT-12/14/2018, DC-12/14/2018, DE-12/14/2018, FL-12/14/2018, GA-12/14/2018, HI-12/14/2018, IA-12/14/2018, ID-12/14/2018, IL-12/14/2018, IN-12/14/2018, KS-12/14/2018, KY-12/14/2018, LA-12/14/2018, MA-12/14/2018, MD-12/14/2018, ME-12/14/2018, MI-12/14/2018, MN-12/14/2018, MO-12/14/2018, MS-12/14/2018, MT-12/14/2018, NC-12/14/2018, ND-12/14/2018, NE-12/14/2018, NH-12/14/2018, NJ-12/14/2018, NM-12/14/2018, NV-12/14/2018, NY-12/14/2018, OH-12/14/2018, OK-12/14/2018, OR-12/14/2018, PA-12/14/2018, RI-12/14/2018, SC-12/14/2018, SD-12/14/2018, TN-12/14/2018, TX-12/14/2018, UT-12/14/2018, VA-12/14/2018, VT-12/14/2018, WA-12/14/2018, WI-12/14/2018, WV-12/14/2018, WY-12/14/2018
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT
MANAGER SELECTION
OTHER ACTIVITIES

ADVDB.CO • SOURCE: SEC FORM ADV