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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

ROBUSTWEALTH, INC.

CRD 269919

LAMBERTVILLE, NJ

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Search this name across graphsid dfx:ria:69c1e3bc-c344-fdc6-b1bb-7c7deb614b10

Data as of Jul 1, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 7
On other graphs: 0
Observed: Apr 26, 2017 to Jul 1, 2021
57 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: $856MItem 5.F on the latest filing (2021-07-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $231M
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: 123
Advisory employees: 2
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 6,920
SEC number: 801-110528
CRD: 269919
Filings on the tape: 57
First filed: Apr 26, 2017
Latest filed: Jul 1, 2021
Organised: Corporation, Delaware

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
DOWNING, RYAN, DOUGLAS	CHIEF EXECUTIVE OFFICER	Na	yes	10/2020	Mar 26, 2021	Jul 1, 2021
KAY, KATHLEEN, A	SENIOR VP/CHIEF INFORMATION OFFICER	Na	yes	12/2020	Mar 26, 2021	Jul 1, 2021
PATTERSON, GERALD, WILLIAM	Director	Na	yes	07/2018	Mar 26, 2021	Jul 1, 2021
PRINCIPAL FINANCIAL GROUP, INC.	Owner	E	yes	10/2001	Aug 1, 2018	Jul 1, 2021
PRINCIPAL FINANCIAL SERVICES, INC.	Owner	E	yes	07/2018	Aug 1, 2018	Jul 1, 2021
PRINCIPAL INNOVATIONS, INC.	Owner	E	yes	07/2018	Aug 1, 2018	Jul 1, 2021
SHUMWAY, ELLEN, W	Director	Na	yes	07/2018	Mar 26, 2021	Jul 1, 2021
DONOHUE, ANDREW, JOHN	CHIEF COMPLIANCE OFFICER	Na	no	01/2019	Jan 23, 2019	Jul 1, 2021
KERINS, CHRISTOPHER, LOUIS	CHIEF TECHNOLOGY OFFICER	Na	no	07/2015	Apr 26, 2017	Jul 1, 2021

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
SPECTRUM ASSET MANAGEMENT, INC.	n/a	Asset manager	$18B	N	yes	n/a
PRINCIPAL SECURITIES, INC.	n/a	Bd affiliated wealth	$17B	N	yes	n/a
POST ADVISORY GROUP, LLC	n/a	Other adviser	$13B	N	yes	n/a
ORIGIN ASSET MANAGEMENT LLP	n/a	Former SEC adviser	$4.6B	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	n/a	Former SEC adviser	$3.4B	N	yes	n/a
PRINCIPAL ADVISED SERVICES, LLC	n/a	Bd affiliated wealth	$1.4B	N	yes	n/a
CLARITAS INVESTMENTS LTD.	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 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 (EU) LIMITED	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 (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 (SWITZERLAND) GMBH	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 REAL ESTATE KAPITALVERWALTUNGSGESELLSCHAFT MBH	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL REAL ESTATE LIMITED	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL REAL ESTATE S.A.R.L.	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL REAL ESTATE SAS	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL REAL ESTATE SPEZIALFONDSGESELLSCHAFT MBH	n/a	n/a	n/a	N	yes	n/a
SAMI BROKERAGE, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Denver	Co	United States	6	no
Seattle	Wa	United States	2	no

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
2020	Mar 26, 2021	$856M	$231M	123	2	2	n/a	n/a
2019	Mar 26, 2020	$844M	$110M	78	31	2	n/a	n/a
2018	Mar 29, 2019	$828M	$111M	66	33	3	n/a	n/a
2017	Feb 5, 2018	$867M	$41.5M	28	15	1	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
2020	$856M	$844M	1.4%	$867M	-0.4%	123	78	2	2

Relationships

Affiliated with (15)

← PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ POST ADVISORY GROUP, LLCRegistered adviserother investment adviser, bank, 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
→ 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, common control
factForm ADV
→ PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ PRINCIPAL ADVISED SERVICESRegistered adviserother investment adviser, common control
factForm ADV
→ SPECTRUM ASSET MANAGEMENT, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
← FINISTERRE CAPITAL LLPRegistered adviserother investment adviser, common control
factForm ADV
← PRINCIPAL FINANCIAL ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
← FINISTERRE MALTA LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
← ALTRUISTIC INVESTINGRegistered adviserother investment adviser
factForm ADV
← SPECTRUM ASSET MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV

Owns (2)

← DONOHUE, ANDREW, JOHNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 23, 2019 to presentfactForm ADV
← KERINS, CHRISTOPHER, LOUISOwnerCHIEF TECHNOLOGY OFFICER, ownership code NA, individual
Apr 26, 2017 to presentfactForm ADV

Controls (7)

← PATTERSON, GERALD, WILLIAMOwnerDIRECTOR, ownership code NA, individual
Mar 26, 2021 to presentfactForm ADV
← SHUMWAY, ELLEN, WOwnerDIRECTOR, ownership code NA, individual
Mar 26, 2021 to presentfactForm ADV
← KAY, KATHLEEN, AOwnerSENIOR VP/CHIEF INFORMATION OFFICER, ownership code NA, individual
Mar 26, 2021 to presentfactForm ADV
← DOWNING, RYAN, DOUGLASOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 26, 2021 to presentfactForm ADV
← PRINCIPAL FINANCIAL GROUP, INC.OwnerOWNER, ownership code E, domestic entity
Aug 1, 2018 to presentfactForm ADV
← PRINCIPAL FINANCIAL SERVICES, INC.OwnerOWNER, ownership code E, domestic entity
Aug 1, 2018 to presentfactForm ADV
← PRINCIPAL INNOVATIONS, INC.OwnerOWNER, ownership code E, domestic entity
Aug 1, 2018 to presentfactForm ADV

Registered with (7)

← JESSICA ANN HENRICKSENAdvisorregistration: previous registration
Oct 17, 2019 to Nov 8, 2021factForm ADV
← RAJESH GAURAdvisorregistration: previous registration
Oct 31, 2018 to Sep 30, 2021factForm ADV
← Dillon KennistonAdvisorregistration: previous registration
Sep 5, 2017 to Jul 14, 2021factForm ADV
← Ryan S. HorvathAdvisorregistration: previous registration
Jan 11, 2019 to Jul 14, 2021factForm ADV
← STACY MARIE PLOYHARAdvisorregistration: previous registration
Jan 8, 2018 to May 14, 2020factForm ADV
← CATHERINE THERESA REESEAdvisorregistration: previous registration
Dec 8, 2017 to Mar 11, 2020factForm ADV
← Francisco AcevedoAdvisorregistration: previous registration
Dec 3, 2018 to Aug 7, 2019factForm ADV

Dated events

Occurred
Jun 30, 2021
Control person left
John Michael Kerins (Chief Executive Officer) no longer on Schedule A of Robustwealth, Inc. (listed 2021-03-26, absent 2021-06-30)
Form ADVobserved 6 days ago
Occurred
Mar 26, 2021
Control person joined
A Kathleen Kay (Senior Vp/Chief Information Officer) appeared on Schedule A of Robustwealth, Inc.
Form ADVobserved 6 days ago
Occurred
Mar 26, 2021
Control person joined
W Ellen Shumway (Director) appeared on Schedule A of Robustwealth, Inc.
Form ADVobserved 6 days ago
Occurred
Mar 26, 2021
Control person joined
Ryan Downing (Ceo) appeared on Schedule A of Robustwealth, Inc.
Form ADVobserved 6 days ago
Occurred
Mar 26, 2021
Control person joined
William Gerald Patterson (Director) appeared on Schedule A of Robustwealth, Inc.
Form ADVobserved 6 days ago
Occurred
Mar 23, 2018
Succession filed (Item 4)
Robustwealth Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago
Occurred
Apr 26, 2017
First Form ADV filing
Robustwealth filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:69c1e3bc-c344-fdc6-b1bb-7c7deb614b10
First observed: Apr 26, 2017
Last observed: Jul 1, 2021 63 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.

ROBUSTWEALTH, INC.

CRD 269919

LAMBERTVILLE, NJ

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:69c1e3bc-c344-fdc6-b1bb-7c7deb614b10

Data as of Jul 1, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:54 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DOWNING, RYAN, DOUGLAS

CHIEF EXECUTIVE OFFICER

yes

10/2020

Mar 26, 2021

Jul 1, 2021

KAY, KATHLEEN, A

SENIOR VP/CHIEF INFORMATION OFFICER

yes

12/2020

Mar 26, 2021

Jul 1, 2021

PATTERSON, GERALD, WILLIAM

Director

yes

07/2018

Mar 26, 2021

Jul 1, 2021

PRINCIPAL FINANCIAL GROUP, INC.

Owner

yes

10/2001

Aug 1, 2018

Jul 1, 2021

PRINCIPAL FINANCIAL SERVICES, INC.

Owner

yes

07/2018

Aug 1, 2018

Jul 1, 2021

PRINCIPAL INNOVATIONS, INC.

Owner

yes

07/2018

Aug 1, 2018

Jul 1, 2021

SHUMWAY, ELLEN, W

Director

yes

07/2018

Mar 26, 2021

Jul 1, 2021

DONOHUE, ANDREW, JOHN

CHIEF COMPLIANCE OFFICER

01/2019

Jan 23, 2019

Jul 1, 2021

KERINS, CHRISTOPHER, LOUIS

CHIEF TECHNOLOGY OFFICER

07/2015

Apr 26, 2017

Jul 1, 2021

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

SPECTRUM ASSET MANAGEMENT, INC.

n/a

Asset manager

$18B

yes

n/a

PRINCIPAL SECURITIES, INC.

n/a

Bd affiliated wealth

$17B

yes

n/a

POST ADVISORY GROUP, LLC

n/a

Other adviser

$13B

yes

n/a

ORIGIN ASSET MANAGEMENT LLP

n/a

Former SEC adviser

$4.6B

yes

n/a

PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED

n/a

Former SEC adviser

$3.4B

yes

n/a

PRINCIPAL ADVISED SERVICES, LLC

n/a

Bd affiliated wealth

$1.4B

yes

n/a

CLARITAS INVESTMENTS LTD.

n/a

yes

n/a

DELAWARE CHARTER GUARANTEE & TRUST COMPANY

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 (EU) LIMITED

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (EUROPE) 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 (SWITZERLAND) GMBH

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 REAL ESTATE KAPITALVERWALTUNGSGESELLSCHAFT MBH

n/a

yes

n/a

PRINCIPAL REAL ESTATE LIMITED

n/a

yes

n/a

PRINCIPAL REAL ESTATE S.A.R.L.

n/a

yes

n/a

PRINCIPAL REAL ESTATE SAS

n/a

yes

n/a

PRINCIPAL REAL ESTATE SPEZIALFONDSGESELLSCHAFT MBH

n/a

yes

n/a

SAMI BROKERAGE, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Denver

United States

Seattle

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 26, 2021

$856M

$231M

123

n/a

2019

Mar 26, 2020

$844M

$110M

n/a

2018

Mar 29, 2019

$828M

$111M

n/a

2017

Feb 5, 2018

$867M

$41.5M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$856M

$844M

1.4%

$867M

-0.4%

123