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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

Mason McKinnie

Advisor at PRINCIPAL ASSET MANAGEMENT

Des Moines, IA

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Search this name across graphsid dfx:ria:260a156d-1b86-8cfd-df18-8b896324aed2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Feb 21, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PRINCIPAL ASSET MANAGEMENT
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 18, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 18, 2005
First registration: Feb 21, 2005
Dual registered: yes, broker-dealer
Other names: Mason Marion McKinnie
IAPD individual key: 4835436

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PRINCIPAL ASSET MANAGEMENT	Other adviser	Aug 26, 2026	n/a	yes	Des Moines, IA	Current employment
TLG ADVISORS, INC.	Bd affiliated wealth	Jul 25, 2024	Aug 4, 2026	no	Providence, RI\|SUMMIT, NJ	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jul 10, 2007	May 21, 2024	no	DES MOINES, IA\|CHICAGO, IL\|DOWNERS GROVE, IL\|DES MOINES, IA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 12, 2006	Apr 12, 2007	no	WEST DES MOINES, IA\|WEST DES MOINES, IA	Previous registration
PIPER SANDLER & CO.	Institutional manager	Feb 21, 2005	Aug 12, 2006	no	MINNEAPOLIS, MN\|WEST DES MOINES, IA\|W DES MOINES, IA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TLG ADVISORS, INC.	PRINCIPAL ASSET MANAGEMENT	Aug 4, 2026	Aug 26, 2026	22	Firm change	Other
PRINCIPAL SECURITIES, INC.	TLG ADVISORS, INC.	May 21, 2024	Jul 25, 2024	65	Firm change	Ibd to ibd
UBS FINANCIAL SERVICES INC.	PRINCIPAL SECURITIES, INC.	Apr 12, 2007	Jul 10, 2007	89	Firm change	Other
PIPER SANDLER & CO.	UBS FINANCIAL SERVICES INC.	Aug 12, 2006	Aug 12, 2006	0	Bulk transfer	Other

Relationships

Registered with (5)

→ PRINCIPAL ASSET MANAGEMENTRegistered adviserregistration: current employment
Aug 26, 2026 to presentfactForm ADV
→ TLG ADVISORS, INC.Registered adviserregistration: previous registration
Jul 25, 2024 to Aug 4, 2026factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Jul 10, 2007 to May 21, 2024factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 12, 2006 to Apr 12, 2007factForm ADV
→ PIPER SANDLER & CO.Registered adviserregistration: previous registration
Feb 21, 2005 to Aug 12, 2006factForm ADV

Dated events

Occurred
Aug 4, 2026
Advisor changed firm
Mason Mckinnie left Tlg Advisors, Inc. for Principal Asset Management (registered 2026-08-26)
Form ADVobserved 6 days ago
Occurred
May 21, 2024
Advisor changed firm
Mason Mckinnie left Principal Securities, Inc. for Tlg Advisors, Inc. (registered 2024-07-25)
Form ADVobserved 6 days ago