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PRINCIPAL ADVISED SERVICES, LLC, CRD 297324
DES MOINES, IA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-06-30 (filing); first seen by DFX 2026-09-15.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| STANLEY EUGENE POORMAN | Certified Financial Planner | DES MOINES, IA | 7 | 18 | 6 | no |
| SCOTT ALLEN CHRISTENSEN | Chartered Financial Analyst | Des Moines, IA | 7 | 12 | n/a | no |
| BRANDY SUE LAMP | Certified Financial Planner|Chartered Financial Consultant | Urbandale, IA | 7 | 35 | 1 | yes |
| Dirk Johnston | Certified Financial Planner | Des Moines, IA | 5 | 14 | 1 | yes |
| JESSE S FRONING | n/a | Norwalk, IA | 4 | 19 | 2 | yes |
| VINCENT ISIDORO FIORE | n/a | BAYSIDE, NY | 3 | 30 | n/a | yes |
| TODD LEE HALL | n/a | EDGEWATER, MD | 3 | 26 | 2 | yes |
| LAWRENCE DALE ST JOHN | n/a | DES MOINES, IA | 3 | 22 | n/a | yes |
| JEREMY JOSEPH SMALLEY | n/a | MINNEAPOLIS, MN | 3 | 21 | 1 | yes |
| Craig J Engel | n/a | Crown Point, IN | 3 | 14 | 3 | yes |
| THOMAS EDWARD SUEPPEL | n/a | Des Moines, IA | 3 | 23 | n/a | yes |
| WILLIAM KEVIN BURTON | n/a | CONROE, TX | 3 | 27 | 3 | yes |
| SUSANNA HARPER HARTWIG | n/a | DALLAS, TX | 3 | 27 | 1 | yes |
| WINDY SUKMING SETO | n/a | Vancouver, WA | 3 | 24 | 2 | yes |
| JOSE-LUIS DANIEL MONTIEL | n/a | Denver, CO | 3 | 21 | 2 | yes |
| JOSHUA RYAN KIGHT | n/a | Charlotte, NC | 3 | 19 | 1 | yes |
| ANGELICA MENDIOLA | n/a | DALLAS, TX | 3 | 10 | 1 | yes |
| CULLEN BARTHOLOMEW MCGLOIN | n/a | TONAWANDA, NY | 3 | 32 | n/a | yes |
| PAUL EVAN KRANICH | n/a | CITRUS HEIGHTS, CA | 3 | 14 | 2 | yes |
| SCOTT STEPHEN CHEESEMAN | n/a | Orlando, FL | 3 | 19 | 2 | yes |
| CATHERINE ELIZABETH FRANCIS | n/a | ESTERO, FL | 3 | 10 | 2 | yes |
| Brian P Barnes | n/a | CHARLOTTE, NC | 3 | 18 | n/a | yes |
| Angel Love | n/a | Des Moines, IA | 3 | 13 | n/a | yes |
| ANDREW JAMES PAOLINI | n/a | BELMONT, NC | DES MOINES, IA | 3 | 16 | 1 | yes |
| BRADLEY BENJAMIN PULL | Chartered Financial Consultant | ACKWORTH, IA | 3 | 29 | n/a | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| Agbe-Davies, Christopher | ASSISTANT CORPORATE SECRETARY | Na | yes | 01/2025 | Jul 10, 2026 | Jul 10, 2026 |
| CHRISTENSEN, SCOTT, ALLEN | Director | Na | yes | 03/2025 | Jul 10, 2026 | Jul 10, 2026 |
| DEASY, JUSTIN, MILLER | ASSOCIATE GENERAL COUNSEL AND CORPORATE SECRETARY | Na | yes | 09/2021 | Jul 10, 2026 | Jul 10, 2026 |
| DOWNING, RYAN, DOUGLAS | Director | Na | yes | 07/2021 | Jul 10, 2026 | Jul 10, 2026 |
| FULLER, BRYANT | CHIEF PRODUCT OFFICER | Na | yes | 06/2026 | Jul 10, 2026 | Jul 10, 2026 |
| LONG, GREGORY, SCOTT | CHIEF MARKETING OFFICER | Na | yes | 09/2021 | Jul 10, 2026 | Jul 10, 2026 |
| MONTFORD, AMY, M | CHIEF OPERATING OFFICER | Na | yes | 01/2026 | Jul 10, 2026 | Jul 10, 2026 |
| MURRAY, MICHAEL, FRANCIS | Director | Na | yes | 03/2025 | Jul 10, 2026 | Jul 10, 2026 |
| NESS, BRIAN, STEVEN | Director | Na | yes | 12/2020 | Jul 10, 2026 | Jul 10, 2026 |
| NORTON, BRADLEY, WAYNE | CHIEF OPERATIONS OFFICER | Na | yes | 03/2025 | Jul 10, 2026 | Jul 10, 2026 |
| Polich, Michael | CHIEF INVESTMENT OFFICER | Na | yes | 01/2025 | Jul 10, 2026 | Jul 10, 2026 |
| PRINCIPAL HOLDING COMPANY, LLC | Owner | E | yes | 01/2024 | Jul 10, 2026 | Jul 10, 2026 |
| Sicchitano, Joseph, S | CHIEF EXECUTIVE OFFICER | Na | yes | 01/2026 | Jul 10, 2026 | Jul 10, 2026 |
| Smith, Matthew, Marshall | CHIEF FINANCIAL OFFICER | Na | yes | 06/2026 | Jul 10, 2026 | Jul 10, 2026 |
| VANDERLEEK, ERIC | CHIEF SALES OFFICER | Na | yes | 08/2022 | Jul 10, 2026 | Jul 10, 2026 |
| VanWinkle, Daniel, Simon | ANTI-MONEY LAUNDERING OFFICER | Na | yes | 01/2025 | Jul 10, 2026 | Jul 10, 2026 |
| WENIG, BARBARA | Director | Na | yes | 10/2021 | Jul 10, 2026 | Jul 10, 2026 |
| Cusick, Kori, Diane | CHIEF SUPERVISION OFFICER | Na | yes | 03/2023 | Feb 16, 2022 | Nov 5, 2024 |
| FOSSELL, JANET, LORETTA | CHIEF OPERATIONS OFFICER | Na | yes | 11/2018 | Nov 14, 2018 | Nov 5, 2024 |
| JENNINGS, MEGAN, ELIZABETH | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2023 | Mar 31, 2023 | Nov 5, 2024 |
| PRINCIPAL FINANCIAL GROUP, INC. | Owner | E | yes | 04/2001 | Nov 14, 2018 | Nov 5, 2024 |
| PRINCIPAL FINANCIAL SERVICES, INC. | Owner | E | yes | 10/2001 | Nov 14, 2018 | Nov 5, 2024 |
| PRINCIPAL LIFE INSURANCE COMPANY | Owner | E | yes | 07/1968 | Nov 14, 2018 | Nov 5, 2024 |
| RIGLER, DAVID, ANDREW | CHIEF FINANCIAL OFFICER | Na | yes | 03/2024 | Mar 29, 2024 | Nov 5, 2024 |
| suresh, nisha, R | CHIEF TECHNOLOGY OFFICER | Na | yes | 03/2024 | Apr 25, 2024 | Nov 5, 2024 |
| WIENER, SARA, JO | Director | Na | yes | 12/2020 | Dec 22, 2020 | Nov 5, 2024 |
| WINSTON, HEATHER, BLAKE | CHIEF PRODUCT OFFICER | Na | yes | 03/2020 | Mar 25, 2020 | Nov 5, 2024 |
| WINTERHOF, JANIS, JEAN | Director | Na | yes | 03/2021 | Mar 29, 2021 | Nov 5, 2024 |
| ROBINSON SAATHOFF, DANNA, M | CHIEF LEARNING OFFICER | Na | no | 09/2021 | Jul 10, 2026 | Jul 10, 2026 |
| 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 SECURITIES, INC. | n/a | Bd affiliated wealth | $17B | N | yes | n/a |
| DELAWARE CHARTER GUARANTEE & TRUST COMPANY | n/a | n/a | n/a | N | yes | n/a |
| PREFERRED PRODUCT NETWORK, INC. | n/a | n/a | n/a | N | yes | n/a |
| PRINCIPAL BANK | n/a | n/a | n/a | Y | yes | n/a |
| PRINCIPAL GLOBAL INVESTORS (IRELAND) LIMITED | 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 | Y | yes | n/a |
| PRINCIPAL NATIONAL LIFE INSURANCE COMPANY | n/a | n/a | n/a | N | yes | n/a |
| PRINCIPAL SHAREHOLDER SERVICES INC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Charlotte | Nc | United States | 5 | no |
| Denver | Co | United States | 2 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 28, 2026 | $1.4B | $1.4B | 383 | 230 | 92 | n/a | n/a |
| 2024 | Apr 2, 2025 | $887M | $887M | 343 | 215 | 157 | n/a | n/a |
| 2023 | Mar 29, 2024 | $569M | $569M | 140 | 58 | 46 | n/a | n/a |
| 2022 | Mar 31, 2023 | $353M | $353M | 115 | 43 | 12 | n/a | n/a |
| 2021 | Mar 30, 2022 | $261M | $261M | 89 | 16 | 7 | n/a | n/a |
| 2020 | Mar 29, 2021 | $110M | $110M | 69 | 18 | 8 | n/a | n/a |
| 2019 | Mar 25, 2020 | $29.6M | $29.6M | 67 | 22 | 2 | n/a | n/a |
| 2018 | Mar 19, 2019 | $0 | $0 | 46 | 20 | 6 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 17 | 24 | -7 | 10.7% | 3 | 7 | 0 | 74 | 43 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.4B | $887M | 60.4% | $353M | 59.2% | 383 | 343 | 92 | 157 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| PRINCIPAL SECURITIES, INC. | 2 | Jun 30, 2026 | Jul 8, 2026 | W DES MOINES, IA | Team lift out | Ibd to ibd | 0.9% |
| ADVICE AND PLANNING SERVICES | 3 | Jun 30, 2026 | Aug 3, 2026 | CHARLOTTE, NC | Team lift out | Ibd to ibd | 1.4% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CITIGROUP GLOBAL MARKETS INC. | 2 | Apr 4, 2024 | Oct 14, 2024 | OFALLON, MO | Team lift out | Ibd to ibd | 0.1% |
| CHARLES SCHWAB & CO., INC. | 2 | Jan 10, 2024 | Aug 20, 2024 | TAMPA, FL | Team lift out | Ibd to RIA | 0.0% |
| PRINCIPAL SECURITIES, INC. | 5 | Nov 26, 2023 | Aug 15, 2024 | CHARLOTTE, NC | Team lift out | Ibd to RIA | 0.4% |
| PRINCIPAL SECURITIES, INC. | 2 | Oct 30, 2022 | Oct 30, 2022 | DES MOINES, IA | Team lift out | Ibd to RIA | 0.2% |
| WELLS FARGO ADVISORS | 2 | May 24, 2022 | Aug 12, 2024 | ST LOUIS, MO | Team lift out | Wirehouse to RIA | 0.0% |
| WELLS FARGO ADVISORS | 2 | Jun 25, 2021 | Sep 26, 2024 | CHARLOTTE, NC | Team lift out | Wirehouse to RIA | 0.0% |
| WELLS FARGO ADVISORS | 2 | Apr 8, 2021 | Aug 7, 2024 | ROSEVILLE, MN | Team lift out | Wirehouse to RIA | 0.0% |
| PRINCIPAL SECURITIES, INC. | 2 | Apr 2, 2019 | Apr 26, 2019 | DES MOINES, IA | Team lift out | Ibd to new firm | 0.2% |
| PRINCIPAL SECURITIES, INC. | 3 | Oct 17, 2018 | Dec 14, 2018 | DES MOINES, IA | Team lift out | Ibd to new firm | 0.3% |