AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $11.8 |
| Non-Discretionary | $0.6 |
| Total | $12.4 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $10.3 |
| Institutional | $2.1 |
| Total | $12.4 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| CITIBANK NA | NEW YORK-NY-USA | $12.4 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $2.1 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $2.1 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 9% | $0.2 |
| Municipal | 0% | $0.0 |
| Sovereign | 1% | $0.0 |
| IG Credit | 7% | $0.1 |
| HY Credit | 1% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 78% | $1.7 |
| Other Pools | 0% | $0.0 |
| Cash | 3% | $0.1 |
| Other | 1% | $0.0 |
| Total | 100% | $2.1 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| PRINCIPAL GLOBAL INVESTORS, LLC | $377.2 | 109002 | |
| PRINCIPAL REAL ESTATE INVESTORS, LLC | $93.9 | 109008 | |
| SPECTRUM ASSET MANAGEMENT, INC. | $19.0 | 300463 | |
| POST ADVISORY GROUP, LLC | $16.7 | 108860 | |
| PRINCIPAL SECURITIES, INC. | $12.1 | broker-dealer | 1137 |
| ORIGIN ASSET MANAGEMENT LLP | $4.6 | 139897 | |
| PRINCIPAL ADVISED SERVICES, LLC | $0.6 | 297324 | |
| PRINCIPAL GLOBAL INVESTORS (AUSTRALIA) LIMITED | $0.0 | - | |
| PRINCIPAL NATIONAL LIFE INSURANCE COMPANY | $0.0 | - | |
| PRINCIPAL INVESTMENT & RETIREMENT SERVICES LIMITED | $0.0 | - | |
| CLARITAS ADMINISTRACADO DE RECURSOS LTDA. | $0.0 | - | |
| PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED (THAILAND) | $0.0 | - | |
| PRINCIPAL REAL ESTATE S.L.U. | $0.0 | - | |
| PRINCIPAL REAL ESTATE LIMITED | $0.0 | - | |
| PRINCIPAL INTERNATIONAL, LLC | $0.0 | - | |
| PRINCIPAL GLOBAL INVESTORS (IRELAND) LIMITED | $0.0 | - | |
| DELAWARE CHARTER GUARANTEE & TRUST COMPANY | $0.0 | trust company | - |
| PRINCIPAL FONDOS DE INVERSIÓN, S.A. DE C.V., OPERADORA DE FONDOS DE INVERSIÓN, PRINCIPAL GRUPO FINANCIERO | $0.0 | - | |
| PRINCIPAL ADMINISTRADORA GENERAL DE FONDOS S.A. | $0.0 | - | |
| CLARITAS INVESTMENTS LTD | $0.0 | - | |
| EMPLOYERS DENTAL SERVICES, INC. | $0.0 | - | |
| EQUITY FC, LTD. | $0.0 | broker-dealer | - |
| PETULA ASSOCIATES, LLC | $0.0 | - | |
| PRINCIPAL REINSURANCE COMPANY OF DELAWARE | $0.0 | - | |
| PRINCIPAL REINSURANCE COMPANY OF DELAWARE II | $0.0 | - | |
| PRINCIPAL DENTAL SERVICES, INC. | $0.0 | - | |
| DIVERSIFIED DENTAL SERVICES, INC. A NEVADA CLOSE CORPORATION | $0.0 | - | |
| FIRST DENTAL HEALTH | $0.0 | - | |
| PRINCIPAL FINANCIAL SERVICES, INC. | $0.0 | - | |
| PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED | $0.0 | - | |
| PRINCIPAL REINSURANCE COMPANY OF VERMONT | $0.0 | - | |
| PRINCIPAL REINSURANCE COMPANY OF VERMONT II | $0.0 | - | |
| PRINCIPAL SERVICIOS CORPORATIVOS CHILE LTDA. | $0.0 | - | |
| PRINCIPAL SEGUROS, S.A. DE C.V., PRINCIPAL GRUPO FINANCIERO | $0.0 | - | |
| PRINCIPAL FINANCIAL GROUP, INC. | $0.0 | - | |
| PRINCIPAL REAL ESTATE B.V. | $0.0 | - | |
| PRINCIPAL REAL ESTATE EUROPE LIMITED | $0.0 | - | |
| THE PRINCIPAL FINANCIAL GROUP FOUNDATION, INC. | $0.0 | - | |
| PRINCIPAL REAL ESTATE FUND INVESTORS, LLC | $0.0 | - | |
| PRINCIPAL TRUST COMPANY (ASIA) LIMITED | $0.0 | trust company | - |
| PRINCIPAL FUNDS DISTRIBUTOR, INC. | $0.0 | broker-dealer | 43261 |
| PRINCIPAL BANK | $0.0 | - | |
| PRINCIPAL REAL ESTATE SPEZIALFONDSGESELLSCHAFT MBH | $0.0 | - | |
| PRINCIPAL LIFE INSURANCE COMPANY | $0.0 | - | |
| PRINCIPAL REAL ESTATE SAS | $0.0 | - | |
| PRINCIPAL GLOBAL INVESTORS (EUROPE) LIMITED | $0.0 | - | |
| PRINCIPAL GLOBAL INVESTORS TRUST COMPANY | $0.0 | trust company | - |
| SAMI BROKERAGE LLC | $0.0 | broker-dealer | 18217 |
| PRINCIPAL COMPANIA DE SEGUROS DE VIDA CHILE S.A. | $0.0 | - | |
| PRINCIPAL GLOBAL INVESTORS (JAPAN) LTD | $0.0 | - | |
| PRINCIPAL GLOBAL INVESTORS (SWITZERLAND) GMBH | $0.0 | - | |
| PRINCIPAL GLOBAL INVESTORS (SINGAPORE) LTD | $0.0 | - | |
| PRINCIPAL ASSET MANAGEMENT BERHAD | $0.0 | - | |
| PRINCIPAL NOMINEE COMPANY (HONG KONG) LIMITED | $0.0 | trust company | - |
| PRINCIPAL ISLAMIC ASSET MANAGEMENT SDN. BHD. | $0.0 | - | |
| PRINCIPAL ASSET MANAGEMENT (S) PTE LIMITED | $0.0 | - | |
| PRINCIPAL REAL ESTATE S.A.R.L. | $0.0 | - | |
| PRINCIPAL INSURANCE COMPANY (HONG KONG) LIMITED | $0.0 | - | |
| PRINCIPAL TRUST COMPANY (HONG KONG) LIMITED | $0.0 | trust company | - |
| PRINCIPAL AFORE, S.A. DE C.V., PRINCIPAL GRUPO FINANCIERO | $0.0 | - | |
| PT PRINCIPAL ASSET MANAGEMENT | $0.0 | - | |
| PRINCIPAL SHAREHOLDER SERVICES, INC. | $0.0 | trust company | - |
| BRASILPREV SEGUROS E PREVIDENCIA S.A. | $0.0 | - | |
| PRINCIPAL REAL ESTATE GMBH | $0.0 | - | |
| PRINCIPAL AHORRO E INVERSIONES S.A. | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
14 active
| Name | Title |
|---|---|
| WU, MICHELE, XIAOMING | OFFICER |
| WEST, KENNETH, KIRK | DIRECTOR |
| CHING, DEREK, HO YIN | DIRECTOR |
| SARAN, PHILLIP, HOWARD HASENFUS | OFFICER |
| ECHEGORRI RODRIGUEZ, ALEJANDRO, ELIAS | DIRECTOR |
| LANGE, JUSTIN, THOMAS | CHIEF COMPLIANCE OFFICER |
| CHIU, STEVE, PO SLU | CHIEF EXECUTIVE OFFICER |
| VOHRA, ROHIT | DIRECTOR |
| ZHONG, RONGSA | DIRECTOR |
| DJURASOVIC, GEORGE | GENERAL COUNSEL |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $12.4 | $0.0 | 0% | 41 | 0 | 0% |
| 2024-04-02 | $12.4 | $0.0 | 0% | 41 | 0 | 0% |
| 2023-04-04 | $14.2 | -$1.7 | -12% | 15 | 26 | 173% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV