PRINCIPAL ASSET MANAGEMENT
Latest filing: Mar 04, 2025 (48 days ago)
AUM
$377,222,976,882
0% change vs. 1 year ago
11% change vs. 3 years ago
8% change vs. 5 years ago
125% change vs. 10 years ago
Employee Count
1,955
0% change vs. 1 year ago
7% change vs. 3 years ago
8% change vs. 5 years ago
172% change vs. 10 years ago
Main Office
DES MOINES, IA
801 GRAND AVE, DES MOINES, IA, UNITED STATES, 50392-0001
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $369.0 |
| Non-Discretionary | $8.2 |
| Total | $377.2 |
| Client | AUM |
|---|---|
| Retail | $2.5 |
| Pooled | $180.7 |
| Institutional | $194.0 |
| Total | $377.2 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 5,476 | $1.7 |
| Average Individual AUM | $301,645 | |
| HNW | 324 | $0.9 |
| Average HNW AUM | $2,705,910 | |
| Retail Total | 5,800 | $2.5 |
| Average Retail AUM | $435,952 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| STATE STREET BANK & TRUST | BOSTON-MA-USA | $110.3 |
| CITIBANK NA | NEW YORK-NY-USA | $29.3 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $196.5 |
| Retail SMA AUM | $2.5 |
| Institutional SMA AUM | $194.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 46% | $90.4 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 5% | $9.8 |
| Municipal | 3% | $5.9 |
| Sovereign | 0% | $0.0 |
| IG Credit | 20% | $39.3 |
| HY Credit | 3% | $5.9 |
| Derivatives | 1% | $2.0 |
| Investment Companies | 2% | $3.9 |
| Other Pools | 0% | $0.0 |
| Cash | 4% | $7.9 |
| Other | 16% | $31.4 |
| Total | 100% | $196.5 |
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 REAL ESTATE INVESTORS, LLC | $93.9 | 109008 | |
| SPECTRUM ASSET MANAGEMENT, INC. | $19.0 | 300463 | |
| POST ADVISORY GROUP, LLC | $16.7 | 108860 | |
| PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED | $12.4 | 322390 | |
| PRINCIPAL SECURITIES, INC. | $12.1 | broker-dealer | 1137 |
| ORIGIN ASSET MANAGEMENT LLP | $4.6 | 139897 | |
| PRINCIPAL ADVISED SERVICES, LLC | $0.6 | 297324 | |
| EQUITY FC, LTD. | $0.0 | broker-dealer | - |
| CLARITAS ADMINISTRAÇÃO DE RECURSOS LTDA. | $0.0 | - | |
| BRASILPREV SEGUROS E PREVIDENCIA S.A. | $0.0 | - | |
| EMPLOYERS DENTAL SERVICES, INC. | $0.0 | - | |
| PRINCIPAL REINSURANCE COMPANY OF DELAWARE II | $0.0 | - | |
| PETULA ASSOCIATES, LLC | $0.0 | - | |
| PRINCIPAL FINANCIAL GROUP, INC. | $0.0 | - | |
| PRINCIPAL ISLAMIC ASSET MANAGEMENT SDN. BHD. | $0.0 | - | |
| PRINCIPAL NATIONAL LIFE INSURANCE COMPANY | $0.0 | - | |
| PRINCIPAL NOMINEE COMPANY (HONG KONG) LIMITED | $0.0 | trust company | - |
| PRINCIPAL GLOBAL INVESTORS (EUROPE) LIMITED | $0.0 | - | |
| PRINCIPAL AFORE, S.A. DE C.V., PRINCIPAL GRUPO FINANCIERO | $0.0 | - | |
| PRINCIPAL AHORRO E INVERSIONES S.A. | $0.0 | - | |
| PRINCIPAL DENTAL SERVICES, INC. | $0.0 | - | |
| PRINCIPAL REINSURANCE COMPANY OF VERMONT II | $0.0 | - | |
| PRINCIPAL ASSET MANAGEMENT (S) PTE. LTD. | $0.0 | - | |
| FINISTERRE EMD TOTAL RETURN FUND GP, LLC | $0.0 | - | |
| PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED (THAILAND) | $0.0 | - | |
| PRINCIPAL INTERNATIONAL, LLC | $0.0 | - | |
| PRINCIPAL INVESTMENT & RETIREMENT SERVICES LIMITED | $0.0 | - | |
| PRINCIPAL TRUST COMPANY (ASIA) LIMITED | $0.0 | trust company | - |
| PRINCIPAL ASSET MANAGEMENT BERHAD | $0.0 | - | |
| PRINCIPAL REAL ESTATE S.A.R.L. | $0.0 | - | |
| CLARITAS INVESTMENTS LTD. | $0.0 | - | |
| DIVERSIFIED DENTAL SERVICES, INC. A NEVADA CLOSE CORPORATION | $0.0 | - | |
| FIRST DENTAL HEALTH | $0.0 | - | |
| PRINCIPAL SERVICIOS CORPORATIVOS CHILE LTDA. | $0.0 | - | |
| PRINCIPAL FINANCIAL SERVICES, INC. | $0.0 | - | |
| PRINCIPAL ADMINISTRADORA GENERAL DE FONDOS S.A | $0.0 | - | |
| PRINCIPAL ALTERNATIVE CREDIT FUND GP, LLC | $0.0 | - | |
| PRINCIPAL REAL ESTATE EUROPE LIMITED | $0.0 | - | |
| PRINCIPAL REAL ESTATE B.V. | $0.0 | - | |
| THE PRINCIPAL FINANCIAL GROUP FOUNDATION, INC. | $0.0 | - | |
| PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED | $0.0 | - | |
| PRINCIPAL SHAREHOLDER SERVICES, INC. | $0.0 | trust company | - |
| PT PRINCIPAL ASSET MANAGEMENT | $0.0 | - | |
| PRINCIPAL REAL ESTATE SAS | $0.0 | - | |
| PRINCIPAL FONDOS DE INVERSIÓN, S.A. DE C.V., OPERADORA DE FONDOS DE INVERSIÓN, PRINCIPAL GRUPO FINANCIERO | $0.0 | - | |
| PRINCIPAL INSURANCE COMPANY (HONG KONG) LIMITED | $0.0 | - | |
| PRINCIPAL REINSURANCE COMPANY OF DELAWARE | $0.0 | - | |
| PRINCIPAL GLOBAL INVESTORS (AUSTRALIA) LTD. | $0.0 | - | |
| PRINCIPAL GLOBAL INVESTORS (JAPAN) LTD. | $0.0 | - | |
| PRINCIPAL TRUST COMPANY (HONG KONG) LIMITED | $0.0 | trust company | - |
| PRINCIPAL REINSURANCE COMPANY OF VERMONT | $0.0 | - | |
| PRINCIPAL SEGUROS, S.A. DE C.V., PRINCIPAL GRUPO FINANCIERO | $0.0 | - | |
| PRINCIPAL COMPANIA DE SEGUROS DE VIDA CHILE S.A. | $0.0 | - | |
| PRINCIPAL REAL ESTATE GMBH | $0.0 | - | |
| PRINCIPAL REAL ESTATE S.L.U. | $0.0 | - | |
| PRINCIPAL FUNDS DISTRIBUTOR, INC. | $0.0 | broker-dealer | 43261 |
| PRINCIPAL BANK | $0.0 | - | |
| PRINCIPAL GLOBAL INVESTORS (SINGAPORE) LIMITED | $0.0 | - | |
| PRINCIPAL GLOBAL INVESTORS TRUST COMPANY | $0.0 | trust company | - |
| PRINCIPAL GLOBAL INVESTORS (SWITZERLAND) GMBH | $0.0 | - | |
| PRINCIPAL REAL ESTATE FUND INVESTORS, LLC | $0.0 | - | |
| PRINCIPAL GLOBAL INVESTORS (IRELAND) LIMITED | $0.0 | - | |
| DELAWARE CHARTER GUARANTEE & TRUST COMPANY | $0.0 | trust company | - |
| PRINCIPAL REAL ESTATE LIMITED | $0.0 | - | |
| PRINCIPAL LIFE INSURANCE COMPANY | $0.0 | - | |
| PRINCIPAL REAL ESTATE SPEZIALFONDSGESELLSCHAFT MBH | $0.0 | - | |
| SAMI BROKERAGE LLC | $0.0 | broker-dealer | 18217 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
18 active
| Name | Title |
|---|---|
| HITTNER, JILL, MARIE | EXECUTIVE DIRECTOR/CHIEF FINANCIAL OFFICER PGI |
| HOUSTON, DANIEL, JOSEPH | DIRECTOR |
| SHUMWAY, ELLEN, WILSON | GLOBAL HEAD OF PRODUCT |
| BHATIA, KAMAL | CHIEF EXECUTIVE OFFICER & PRESIDENT |
| MCCULLUM, KENNETH, ALLEN | SVP & CHIEF RISK OFFICER |
| JABLONSKI, TODD, ANTHONY | CIO-PGAA |
| NESS, BRIAN, STEVEN | EXECUTIVE DIRECTOR & CIO PGAM & PI |
| STRABLE-SOETHOUT, DEANNA, DAWNETTE | DIRECTOR |
| LANGE, JUSTIN, THOMAS | CHIEF COMPLIANCE OFFICER |
| EVERETT, TODD, EUGENE | GLOBAL HEAD OF PRIVATE MARKETS |
| MARIS, GEORGE, PETER | CIO & GLOBAL HEAD OF EQUITIES |
| GOOSAY, MICHAEL, JASON | CIO & GLOBAL HEAD OF FIXED INCOME |
| DJURASOVIC, GEORGE | GENERAL COUNSEL |
| WENIG, BARBARA | GLOBAL HEAD OF OPERATIONS |
| HILL, TIMOTHY, ALLEN | SENIOR EXECUTIVE MANAGING DIRECTOR |
ADVDB.CO • SOURCE: SEC
Representatives
129 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| JESSICA HENRICKSEN | DES MOINES | IA | S66|2018-10-15 | ||||||
| BRAD SCHLICHTE | DES MOINES | IA | S65|2006-09-21|S63|2021-05-17 | CHARTERED FINANCIAL CONSULTANT | |||||
| ERIC FORRET | DES MOINES | IA | S63|1999-12-13|S65|2004-08-23 | ||||||
| JASON MILLER | DES MOINES | IA | S66|2005-01-11 | ||||||
| LAURA MASTIN | DES MOINES | IA | S66|2004-11-18 | ||||||
| HUNTER FOUBERT | DES MOINES | IA | S63|2021-07-07|S66|2022-07-25 | ||||||
| RHONDA HOLMES | DES MOINES | IA | S63|2005-06-25|S65|2016-02-01 | ||||||
| MITCHELL CURTIS | DES MOINES | IA | S66|2003-12-01 | ||||||
| JEFFREY TRIER | DES MOINES | IA | CHARTERED FINANCIAL CONSULTANT | ||||||
| ROBERT LOGAN | DES MOINES | IA | S63|2002-04-02|S66|2005-08-11 | ||||||
| ALEXANDER YEE | DES MOINES | IA | S63|2014-02-08|S66|2022-11-18 | ||||||
| BRADLEY HANUS | DES MOINES | IA | S66|2008-11-26 | ||||||
| TOBIN CHAKEEN | DES MOINES | IA | S63|1988-02-16|S66|2021-12-31 | ||||||
| JUSTIN VAUGHT | DES MOINES | IA | S63|2008-08-01|S66|2011-01-11 | ||||||
| JENNIFER GRAVES | DES MOINES | IA | S63|2015-11-10|S66|2017-04-21 | ||||||
| CASEY MCFARLAND | DES MOINES | IA | S63|2001-02-16|S65|2005-06-07|S66|2022-01-13 | ||||||
| SEAN O'MALLEY | DES MOINES | IA | S66|2024-04-15 | ||||||
| CLINT ANDERSON | DES MOINES | IA | S66|2004-10-04 | ||||||
| GREGORY SEAVER | DES MOINES | IA | S63|1998-07-27|S66|2024-01-19 | ||||||
| KRISTOPHER GOEDEN | DES MOINES | IA | S66|2006-07-14 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $377.2 | $0.0 | 0% | 1,955 | 0 | 0% |
| 2024-04-02 | $377.2 | $0.0 | 0% | 1,955 | 0 | 0% |
| 2023-04-04 | $279.1 | $98.1 | 35% | 1,925 | 30 | 2% |
| 2022-04-01 | $340.2 | $37.0 | 11% | 1,835 | 120 | 7% |
| 2021-04-05 | $392.0 | -$14.7 | -4% | 1,775 | 180 | 10% |
| 2020-04-01 | $349.2 | $28.1 | 8% | 1,810 | 145 | 8% |
| 2019-04-01 | $296.0 | $81.2 | 27% | 1,776 | 179 | 10% |
| 2018-04-02 | $352.9 | $24.3 | 7% | 1,049 | 906 | 86% |
| 2017-04-01 | $194.0 | $183.2 | 94% | 1,089 | 866 | 80% |
| 2016-04-01 | $177.0 | $200.2 | 113% | 1,156 | 799 | 69% |
| 2015-04-01 | $167.8 | $209.4 | 125% | 718 | 1,237 | 172% |
| 2014-04-01 | $156.8 | $220.4 | 141% | 557 | 1,398 | 251% |
| 2013-04-01 | $137.3 | $240.0 | 175% | 557 | 1,398 | 251% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| IA, AK-01/27/2006, AL-01/23/2006, AR-01/25/2006, AZ-01/23/2006, CA-01/23/2006, CO-01/23/2006, CT-01/23/2006, DC-01/23/2006, DE-01/30/2006, FL-01/24/2006, GA-01/23/2006, HI-01/23/2006, IA-03/31/2005, ID-01/23/2006, IL-02/01/2006, IN-01/23/2006, KS-01/23/2006, KY-01/23/2006, LA-01/23/2006, MA-01/23/2006, MD-01/23/2006, ME-01/23/2006, MI-01/23/2006, MN-01/31/2006, MO-01/23/2006, MS-01/23/2006, MT-01/23/2006, NC-01/23/2006, ND-01/23/2006, NE-01/23/2006, NH-01/23/2006, NJ-02/28/2006, NM-01/23/2006, NV-01/23/2006, NY-01/23/2006, OH-01/23/2006, OK-01/23/2006, OR-01/23/2006, PA-01/23/2006, PR-01/23/2006, RI-01/23/2006, SC-01/23/2006, SD-01/25/2006, TN-01/24/2006, TX-01/23/2006, UT-01/23/2006, VA-01/23/2006, VT-01/23/2006, WA-01/23/2006, WI-01/23/2006, WV-01/23/2006, WY-03/29/2018 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV