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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM over $100B

PRINCIPAL MANAGEMENT CORP

CRD 105641

DES MOINES, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3c02438b-29c8-d05a-0299-bf664f54a5c7

Data as of Mar 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to Mar 29, 2017
18 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $183BItem 5.F on the latest filing (2017-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $183B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 178
Advisory employees: 24
Accounts: 148
SEC number: 801-8144
CRD: 105641
Filings on the tape: 18
First filed: Mar 26, 2012
Latest filed: Mar 29, 2017
Organised: Corporation, Iowa

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BEER, MICHAEL, JON	PRESIDENT, DIRECTOR AND CEO	Na	yes	02/2002	Mar 26, 2012	Mar 29, 2017
BOLLIN, TRACY, WAYNE	SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR	Na	yes	10/2015	Mar 26, 2012	Mar 29, 2017
BROWN, DAVID, JAMES	SENIOR VICE PRESIDENT	Na	yes	09/2004	Mar 26, 2012	Mar 29, 2017
MCCAUGHAN, JAMES, PATRICK	Director	Na	yes	11/2016	Dec 19, 2016	Mar 29, 2017
PRINCIPAL FINANCIAL GROUP, INC.	100% STOCKHOLDER	E	yes	04/2001	Mar 26, 2012	Mar 29, 2017
PRINCIPAL FINANCIAL SERVICES, INC.	100% STOCKHOLDER	E	yes	12/2006	Mar 26, 2012	Mar 29, 2017
ROOT, TERI, RENAE	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	yes	10/2015	Nov 4, 2015	Mar 29, 2017
SCHOLTEN, MICHAEL, JOSEPH	CHIEF FINANCIAL OFFICER	Na	yes	03/2015	Apr 1, 2015	Mar 29, 2017
SHAFF, KAREN, ELIZABETH	DIRECTOR, EXECUTIVE VICE PRESIDENT/GENERAL COUNSEL AND SECRETARY	Na	yes	11/2016	May 17, 2016	Mar 29, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PRINCIPAL GLOBAL INVESTORS, LLC	n/a	Other adviser	$428B	N	yes	n/a
PRINCIPAL REAL ESTATE INVESTORS LLC	n/a	Institutional manager	$106B	N	yes	n/a
EDGE ASSET MANAGEMENT, INC.	n/a	Former SEC adviser	$33B	Y	yes	n/a
SPECTRUM ASSET MANAGEMENT, INC.	n/a	Former SEC adviser	$24B	N	yes	n/a
PRINCIPAL SECURITIES, INC.	n/a	Bd affiliated wealth	$17B	N	yes	n/a
MORLEY CAPITAL MANAGEMENT, INC.	n/a	Former SEC adviser	$17B	N	yes	n/a
POST ADVISORY GROUP, LLC	n/a	Other adviser	$13B	N	yes	n/a
PRINCIPAL FINANCIAL ADVISORS, INC.	n/a	Former SEC adviser	$9.0B	Y	yes	n/a
ORIGIN ASSET MANAGEMENT LLP	n/a	Former SEC adviser	$4.6B	N	yes	n/a
FINISTERRE CAPITAL LLP	n/a	Former SEC adviser	$3.2B	N	yes	n/a
COLUMBUS CIRCLE INVESTORS	n/a	Former SEC adviser	$2.3B	N	yes	n/a
DELAWARE CHARTER GUARANTEE & TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL BANK	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL ENTERPRISE CAPITAL, LLC	n/a	Former SEC adviser	n/a	N	yes	n/a
PRINCIPAL FUNDS DISTRIBUTOR, INC.	n/a	n/a	n/a	Y	yes	n/a
PRINCIPAL GLOBAL INVESTORS TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL NATIONAL LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 29, 2017	$183B	$183B	178	24	n/a	n/a	n/a
2015	Mar 29, 2016	$191B	$173B	189	20	n/a	n/a	n/a
2014	Apr 1, 2015	$185B	$172B	169	15	n/a	n/a	n/a
2013	Mar 26, 2014	$164B	$155B	209	16	n/a	n/a	n/a
2012	Apr 2, 2013	$131B	$126B	269	16	n/a	n/a	n/a
2011	Mar 26, 2012	$102B	$100B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$183B	$191B	-4.0%	$164B	3.6%	178	189	n/a	n/a

Relationships

Affiliated with (14)

→ EDGE ASSET MANAGEMENT, INC.Registered adviserother investment adviser, control, common control
factForm ADV
→ MORLEY CAPITAL MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ PRINCIPAL FINANCIAL ADVISORS, INC.Registered adviserother investment adviser, LP sponsor, control, common control
factForm ADV
→ POST ADVISORY GROUP, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ PRINCIPAL ASSET MANAGEMENTRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ PRINCIPAL REAL ESTATERegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ COLUMBUS CIRCLE INVESTORSRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ PRINCIPAL ORIGINRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ PRINCIPAL ENTERPRISE CAPITAL, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ FINISTERRE CAPITAL LLPRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ SPECTRUM ASSET MANAGEMENT, INC.Registered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV
← EDGE ASSET MANAGEMENT, INC.Registered adviserother investment adviser, bank, control, common control
factForm ADV
← LIONGATE CAPITAL MANAGEMENT LLPRegistered adviserother investment adviser, common control
factForm ADV

Controls (9)

← BEER, MICHAEL, JONOwnerPRESIDENT, DIRECTOR AND CEO, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← BOLLIN, TRACY, WAYNEOwnerSENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← MCCAUGHAN, JAMES, PATRICKOwnerDIRECTOR, ownership code NA, individual
Dec 19, 2016 to presentfactForm ADV
← BROWN, DAVID, JAMESOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← SHAFF, KAREN, ELIZABETHOwnerDIRECTOR, EXECUTIVE VICE PRESIDENT/GENERAL COUNSEL AND SECRETARY, ownership code NA, individual
May 17, 2016 to presentfactForm ADV
← ROOT, TERI, RENAEOwnerVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 4, 2015 to presentfactForm ADV
← SCHOLTEN, MICHAEL, JOSEPHOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Apr 1, 2015 to presentfactForm ADV
← PRINCIPAL FINANCIAL GROUP, INC.Owner100% STOCKHOLDER, ownership code E, domestic entity
Mar 26, 2012 to presentfactForm ADV
← PRINCIPAL FINANCIAL SERVICES, INC.Owner100% STOCKHOLDER, ownership code E, domestic entity
Mar 26, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c02438b-29c8-d05a-0299-bf664f54a5c7
First observed: Mar 26, 2012
Last observed: Mar 29, 2017 115 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PRINCIPAL MANAGEMENT CORP

CRD 105641

DES MOINES, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3c02438b-29c8-d05a-0299-bf664f54a5c7

Data as of Mar 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:43 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BEER, MICHAEL, JON

PRESIDENT, DIRECTOR AND CEO

yes

02/2002

Mar 26, 2012

Mar 29, 2017

BOLLIN, TRACY, WAYNE

SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR

yes

10/2015

Mar 26, 2012

Mar 29, 2017

BROWN, DAVID, JAMES

SENIOR VICE PRESIDENT

yes

09/2004

Mar 26, 2012

Mar 29, 2017

MCCAUGHAN, JAMES, PATRICK

Director

yes

11/2016

Dec 19, 2016

Mar 29, 2017

PRINCIPAL FINANCIAL GROUP, INC.

100% STOCKHOLDER

yes

04/2001

Mar 26, 2012

Mar 29, 2017

PRINCIPAL FINANCIAL SERVICES, INC.

100% STOCKHOLDER

yes

12/2006

Mar 26, 2012

Mar 29, 2017

ROOT, TERI, RENAE

VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

10/2015

Nov 4, 2015

Mar 29, 2017

SCHOLTEN, MICHAEL, JOSEPH

CHIEF FINANCIAL OFFICER

yes

03/2015

Apr 1, 2015

Mar 29, 2017

SHAFF, KAREN, ELIZABETH

DIRECTOR, EXECUTIVE VICE PRESIDENT/GENERAL COUNSEL AND SECRETARY

yes

11/2016

May 17, 2016

Mar 29, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PRINCIPAL GLOBAL INVESTORS, LLC

n/a

Other adviser

$428B

yes

n/a

PRINCIPAL REAL ESTATE INVESTORS LLC

n/a

Institutional manager

$106B

yes

n/a

EDGE ASSET MANAGEMENT, INC.

n/a

Former SEC adviser

$33B

yes

n/a

SPECTRUM ASSET MANAGEMENT, INC.

n/a

Former SEC adviser

$24B

yes

n/a

PRINCIPAL SECURITIES, INC.

n/a

Bd affiliated wealth

$17B

yes

n/a

MORLEY CAPITAL MANAGEMENT, INC.

n/a

Former SEC adviser

$17B

yes

n/a

POST ADVISORY GROUP, LLC

n/a

Other adviser

$13B

yes

n/a

PRINCIPAL FINANCIAL ADVISORS, INC.

n/a

Former SEC adviser

$9.0B

yes

n/a

ORIGIN ASSET MANAGEMENT LLP

n/a

Former SEC adviser

$4.6B

yes

n/a

FINISTERRE CAPITAL LLP

n/a

Former SEC adviser

$3.2B

yes

n/a

COLUMBUS CIRCLE INVESTORS

n/a

Former SEC adviser

$2.3B

yes

n/a

DELAWARE CHARTER GUARANTEE & TRUST COMPANY

n/a

yes

n/a

PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED

n/a

yes

n/a

PRINCIPAL BANK

n/a

yes

n/a

PRINCIPAL ENTERPRISE CAPITAL, LLC

n/a

Former SEC adviser

n/a

yes

n/a

PRINCIPAL FUNDS DISTRIBUTOR, INC.

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS TRUST COMPANY

n/a

yes

n/a

PRINCIPAL LIFE INSURANCE COMPANY

n/a

yes

n/a

PRINCIPAL NATIONAL LIFE INSURANCE COMPANY

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 29, 2017

$183B

178

n/a

2015

Mar 29, 2016

$191B

$173B

189

n/a

2014

Apr 1, 2015

$185B

$172B

169

n/a

2013

Mar 26, 2014

$164B

$155B

209

n/a

2012

Apr 2, 2013

$131B

$126B

269

n/a

2011

Mar 26, 2012

$102B

$100B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$183B

$191B

-4.0%

$164B

3.6%

178

189

n/a