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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

EDGE ASSET MANAGEMENT, INC.

CRD 104565

SEATTLE, WA

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Search this name across graphsid dfx:ria:67a8f9bc-2fc2-a89e-3e54-0d479eaed194

Data as of Feb 17, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Feb 17, 2017
27 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: $33BItem 5.F on the latest filing (2017-02-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $33B
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: 34
Advisory employees: 22
Accounts: 6,100
SEC number: 801-4855
CRD: 104565
Filings on the tape: 27
First filed: Mar 30, 2012
Latest filed: Feb 17, 2017
Organised: Corporation, Washington

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
HITTNER, JILL	CHIEF FINANCIAL OFFICER	Na	yes	03/2007	Mar 30, 2012	Feb 17, 2017
JABLONSKI, TODD, A	Director	Na	yes	02/2017	Feb 17, 2017	Feb 17, 2017
KIM, CINDY, MASAKO	CHIEF COMPLIANCE OFFICER	Na	yes	11/2010	Mar 30, 2012	Feb 17, 2017
MCCAUGHAN, JAMES, PATRICK	Chairman	Na	yes	01/2007	Mar 30, 2012	Feb 17, 2017
MCKENZIE, BARBARA	Director	Na	yes	01/2011	Mar 30, 2012	Feb 17, 2017
PRINCIPAL FINANCIAL GROUP, INC.	100% STOCKHOLDER	E	yes	04/1999	Mar 30, 2012	Feb 17, 2017
PRINCIPAL FINANCIAL SERVICES, INC.	100% STOCKHOLDER	E	yes	04/1999	Mar 30, 2012	Feb 17, 2017
PRINCIPAL MANAGEMENT CORP	Parent	E	yes	12/2006	Mar 30, 2012	Feb 17, 2017
STRABLE, DEANNA	Director	Na	yes	03/2015	Mar 27, 2015	Feb 17, 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	Y	yes	n/a
PRINCIPAL MANAGEMENT CORP	n/a	Former SEC adviser	$183B	Y	yes	n/a
PRINCIPAL REAL ESTATE INVESTORS LLC	n/a	Institutional manager	$106B	N	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	N	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
FINISTERRE MALTA LIMITED	n/a	Former SEC adviser	$0	N	yes	n/a
CIMB PRINCIPAL ISLAMIC ASSET MANAGEMENT SDN BHD	n/a	n/a	n/a	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	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS (AUSTRALIA) LTD	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS (EUROPE), LTD	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LTD	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS (IRELAND) LTD	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS (JAPAN) LTD	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS (SINGAPORE) LTD	n/a	n/a	n/a	N	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	Jan 11, 2017	$31B	$31B	33	23	n/a	n/a	n/a
2015	Mar 24, 2016	$28B	$28B	34	23	n/a	n/a	n/a
2014	Mar 27, 2015	$29B	$29B	34	23	n/a	n/a	n/a
2013	Mar 31, 2014	$26B	$26B	32	22	n/a	n/a	n/a
2012	Mar 28, 2013	$22B	$22B	31	21	n/a	n/a	n/a
2011	Mar 30, 2012	$22B	$22B	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	$33B	$28B	17.9%	$26B	8.6%	34	34	n/a	n/a

Relationships

Affiliated with (15)

← PRINCIPAL MANAGEMENT CORPRegistered 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, common control
factForm ADV
→ PRINCIPAL MANAGEMENT CORPRegistered adviserother investment adviser, bank, 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, control, 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
→ FINISTERRE MALTA LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ SPECTRUM ASSET MANAGEMENT, INC.Registered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV
← LIONGATE CAPITAL MANAGEMENT LLPRegistered adviserother investment adviser, common control
factForm ADV

Controls (9)

← PRINCIPAL MANAGEMENT CORPOwnerPARENT, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← MCCAUGHAN, JAMES, PATRICKOwnerCHAIRMAN, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← KIM, CINDY, MASAKOOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← MCKENZIE, BARBARAOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← HITTNER, JILLOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← JABLONSKI, TODD, AOwnerDIRECTOR, ownership code NA, individual
Feb 17, 2017 to presentfactForm ADV
← STRABLE, DEANNAOwnerDIRECTOR, ownership code NA, individual
Mar 27, 2015 to presentfactForm ADV
← PRINCIPAL FINANCIAL GROUP, INC.Owner100% STOCKHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← PRINCIPAL FINANCIAL SERVICES, INC.Owner100% STOCKHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Registered with (5)

← Bradley Nelson StewartAdvisorregistration: previous registration
Mar 29, 2005 to Dec 10, 2015factForm ADV
← EGOR NICKOLAEVICH RYBAKOVAdvisorregistration: previous registration
Jan 12, 2011 to Mar 28, 2013factForm ADV
← GARY JAMES POKRZYWINSKIAdvisorregistration: previous registration
Feb 10, 1993 to Sep 16, 2009factForm ADV
← STEPHEN Q SPENCERAdvisorregistration: previous registration
Jan 23, 2001 to Sep 16, 2009factForm ADV
← John Walter HealyAdvisorregistration: previous registration
Aug 24, 2005 to Apr 7, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:67a8f9bc-2fc2-a89e-3e54-0d479eaed194
First observed: Mar 30, 2012
Last observed: Feb 17, 2017 116 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.

EDGE ASSET MANAGEMENT, INC.

CRD 104565

SEATTLE, WA

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:67a8f9bc-2fc2-a89e-3e54-0d479eaed194

Data as of Feb 17, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:36 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HITTNER, JILL

CHIEF FINANCIAL OFFICER

yes

03/2007

Mar 30, 2012

Feb 17, 2017

JABLONSKI, TODD, A

Director

yes

02/2017

Feb 17, 2017

KIM, CINDY, MASAKO

CHIEF COMPLIANCE OFFICER

yes

11/2010

Mar 30, 2012

Feb 17, 2017

MCCAUGHAN, JAMES, PATRICK

Chairman

yes

01/2007

Mar 30, 2012

Feb 17, 2017

MCKENZIE, BARBARA

Director

yes

01/2011

Mar 30, 2012

Feb 17, 2017

PRINCIPAL FINANCIAL GROUP, INC.

100% STOCKHOLDER

yes

04/1999

Mar 30, 2012

Feb 17, 2017

PRINCIPAL FINANCIAL SERVICES, INC.

100% STOCKHOLDER

yes

04/1999

Mar 30, 2012

Feb 17, 2017

PRINCIPAL MANAGEMENT CORP

Parent

yes

12/2006

Mar 30, 2012

Feb 17, 2017

STRABLE, DEANNA

Director

yes

03/2015

Mar 27, 2015

Feb 17, 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 MANAGEMENT CORP

n/a

Former SEC adviser

$183B

yes

n/a

PRINCIPAL REAL ESTATE INVESTORS LLC

n/a

Institutional manager

$106B

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

FINISTERRE MALTA LIMITED

n/a

Former SEC adviser

yes

n/a

CIMB PRINCIPAL ISLAMIC ASSET MANAGEMENT SDN BHD

n/a

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 (AUSTRALIA) LTD

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (EUROPE), LTD

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (HONG KONG) LTD

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (IRELAND) LTD

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (JAPAN) LTD

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (SINGAPORE) LTD

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

Jan 11, 2017

$31B

n/a

2015

Mar 24, 2016

$28B

n/a

2014

Mar 27, 2015

$29B

n/a

2013

Mar 31, 2014

$26B

n/a

2012

Mar 28, 2013

$22B

n/a

2011

Mar 30, 2012

$22B

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

$33B

$28B

17.9%

$26B

8.6%

n/a