DFX Intelligence
Data Factory
Reading the graph
Reading the graph
PRINCIPAL GLOBAL INVESTORS, LLC, CRD 109002
DES MOINES, IA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| Eric Gene Forret | n/a | DES MOINES, IA | 17 | 26 | 1 | yes |
| CHRISTOPHER COFFIN WILSON | n/a | Stamford, CT | 17 | 30 | 1 | yes |
| JAY THOMAS HARBISON | n/a | DES MOINES, IA | 15 | 27 | 5 | yes |
| JAMES EMERSON LANGE | n/a | Des Moines, IA | 14 | 19 | 1 | yes |
| Erik Miller Tetmeyer | n/a | DES MOINES, IA | 14 | 22 | 2 | yes |
| RICHARD D WEBB | n/a | Jefferson, IA | 10 | 15 | 2 | yes |
| LAURA K MASTIN | n/a | Des Moines, IA | 10 | 24 | 1 | yes |
| BRANDON MICHAEL MILLER | n/a | Des Moines, IA | 10 | 14 | 2 | yes |
| Juliana Rae Pearson Thomas | n/a | Des Moines, IA | 9 | 12 | 2 | yes |
| Matthew Quick | n/a | Des Moines, IA | 9 | 14 | 1 | yes |
| Justin Stephen Vaught | n/a | Des Moines, IA | 9 | 18 | 3 | yes |
| Christopher Jorgensen | n/a | Des Moines, IA | 9 | 20 | 1 | yes |
| KRAIG LEE KUHLERS | n/a | Des Moines, IA | 9 | 34 | 1 | yes |
| KEVIN ROBERT HANSEN | n/a | Des Moines, IA | 9 | 38 | 1 | yes |
| ROBERT FITTS GIDEL | n/a | Des Moines, IA | 9 | 19 | 1 | yes |
| BRET JAMES BUSSANMAS | n/a | Des Moines, IA | 9 | 35 | 1 | yes |
| ROBERT M MUDD | n/a | Des Moines, IA | 9 | 26 | n/a | yes |
| ANDREW MICHAEL WRIGHTSMAN | Chartered Financial Analyst | Des Moines, IA | 8 | 23 | 4 | yes |
| SAMANTHA PAIGE KINTZLE | n/a | DES MOINES, IA | 8 | 10 | n/a | yes |
| DANIEL PATRICK JANISZEWSKI | n/a | La Grange, IL | 7 | 27 | n/a | yes |
| KRISTOPHER JAMES GOEDEN | n/a | Des Moines, IA | 7 | 20 | 3 | yes |
| MITCHELL AARON CURTIS | n/a | W Des Moines, IA | 7 | 22 | 2 | yes |
| KARI ANN DELANEY | n/a | Des Moines, IA | 7 | 26 | 1 | yes |
| NICHOLAS JAMES COPPOLA | Chartered Financial Analyst | Mountainside, NJ | 7 | 19 | 3 | yes |
| COLE THOMAS VAUTIER | n/a | Des Moines, IA | 7 | 12 | 3 | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| FINISTERRE EMD TOTAL RETURN FUND, LP | Hedge Fund | $374M | Aug 23, 2024 | 2 | Mar 16, 2021 | reported | 021-390632 |
| PRINCIPAL GLOBAL INVESTORS TRUST INTERNATIONAL GROWTH EQUITY FUND | Other Private Fund | $123M | Oct 29, 2018 | 3 | Mar 30, 2012 | dropped | 021-96619 |
| PRINCIPAL GLOBAL INVESTORS TRUST PREFERRED SECURITIES FUND | Other Private Fund | $73.3M | Oct 29, 2018 | 7 | Mar 31, 2014 | dropped | 021-207609 |
| PRINCIPAL GLOBAL OPPORTUNITIES SERIES-PRINCIPAL CURRENCY FUND | Hedge Fund | $67.1M | Feb 19, 2014 | 5 | Mar 30, 2012 | dropped | n/a |
| PRINCIPAL GLOBAL INVESTORS TRUST INTERNATIONAL EQUITY FUND | Other Private Fund | $58.5M | Oct 29, 2018 | 5 | Mar 30, 2012 | dropped | 021-96623 |
| FINISTERRE INSTITUTIONAL FUND | Other Private Fund | $57.4M | Jan 28, 2016 | 1 | Mar 30, 2012 | dropped | 021-1543946 |
| PRINCIPAL ALTERNATIVE CREDIT UNLEVERED FUND, LP | Hedge Fund | $38.5M | Aug 23, 2024 | 1 | Mar 30, 2023 | reported | 021-1930524 |
| PRINCIPAL GLOBAL INVESTORS TRUST REAL ESTATE SECURITIES FUND | Other Private Fund | $35.4M | Mar 27, 2020 | 2 | Mar 30, 2012 | dropped | 021-96624 |
| PRINCIPAL GLOBAL INVESTORS TRUST INTERNATIONAL PROPERTY SECURITIES FUND | Other Private Fund | $34.1M | Mar 27, 2020 | 2 | Mar 30, 2012 | dropped | 021-138516 |
| PRINCIPAL GLOBAL INVESTORS TRUST ULTRA SHORT ENHANCED YIELD FUND | Other Private Fund | $33.4M | Oct 29, 2018 | 2 | Mar 28, 2013 | dropped | n/a |
| PRINCIPAL ALTERNATIVE CREDIT UNLEVERED FUND (OFFSHORE) - C, LP | Hedge Fund | $15.2M | Aug 23, 2024 | 1 | Aug 23, 2024 | reported | 021-508377 |
| PRINCIPAL ALTERNATIVE CREDIT FUND (OFFSHORE), LP | Hedge Fund | $9.7M | Aug 23, 2024 | 1 | Mar 30, 2023 | reported | 021-1930525 |
| PRINCIPAL GLOBAL INVESTORS TRUST ENHANCED CMBS FUND | Other Private Fund | $156,799 | Oct 29, 2018 | 2 | Mar 30, 2012 | dropped | 021-155721 |
| PRINCIPAL GLOBAL INVESTORS TRUST SMALL CAP EQUITY FUND | Other Private Fund | $0 | May 31, 2017 | 0 | Mar 30, 2012 | dropped | 021-96621 |
| PRINCIPAL GLOBAL INVESTORS TRUST INTERNATIONAL SMALL CAP EQUITY FUND | Other Private Fund | $0 | May 31, 2017 | 0 | Mar 30, 2012 | dropped | n/a |
| PRINCIPAL GLOBAL INVESTORS TRUST LARGE CAP GROWTH EQUITY FUND | Other Private Fund | $0 | May 31, 2017 | 0 | Mar 30, 2012 | dropped | 021-115882 |
| PRINCIPAL GLOBAL INVESTORS TRUST SMALL CAP GROWTH EQUITY FUND | Other Private Fund | $0 | Oct 29, 2018 | 0 | Mar 30, 2012 | dropped | 021-96620 |
| PRINCIPAL GLOBAL INVESTORS TRUST MID CAP EQUITY FUND | Other Private Fund | $0 | May 31, 2017 | 0 | Mar 31, 2014 | dropped | 021-208187 |
| PRINCIPAL GLOBAL INVESTORS TRUST EMERGING MARKETS EQUITY FUND | Other Private Fund | $0 | May 31, 2017 | 0 | Mar 30, 2012 | dropped | 021-117091 |
| PRINCIPAL GLOBAL INVESTORS TRUST HIGH QUALITY FIXED INCOME | Other Private Fund | $0 | May 31, 2017 | 0 | Mar 30, 2012 | dropped | 021-96617 |
| PRINCIPAL GLOBAL INVESTORS TRUST VALUE EQUITY FUND | Other Private Fund | $0 | May 31, 2017 | 0 | Mar 30, 2012 | dropped | 021-96615 |
| PRINCIPAL GLOBAL INVESTORS TRUST HIGH YIELD FIXED INCOME FUND | Other Private Fund | $0 | Nov 14, 2022 | 0 | Mar 30, 2012 | dropped | 021-96616 |
| PRINCIPAL GLOBAL INVESTORS TRUST US SELECT EQUITY FUND | Other Private Fund | $0 | May 31, 2017 | 0 | Mar 30, 2012 | dropped | 021-96614 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BHATIA, KAMAL | CHIEF EXECUTIVE OFFICER & PRESIDENT | Na | yes | 03/2024 | Mar 30, 2020 | Aug 23, 2024 |
| DJURASOVIC, GEORGE | GENERAL COUNSEL | Na | yes | 11/2023 | Nov 1, 2023 | Aug 23, 2024 |
| EVERETT, TODD, EUGENE | GLOBAL HEAD OF PRIVATE MARKETS | Na | yes | 03/2023 | Mar 30, 2023 | Aug 23, 2024 |
| GOOSAY, MICHAEL, JASON | CIO & GLOBAL HEAD OF FIXED INCOME | Na | yes | 11/2023 | Nov 1, 2023 | Aug 23, 2024 |
| HILL, TIMOTHY, ALLEN | SENIOR EXECUTIVE MANAGING DIRECTOR | Na | yes | 03/2024 | Mar 27, 2024 | Aug 23, 2024 |
| HITTNER, JILL, MARIE | EXECUTIVE DIRECTOR/CHIEF FINANCIAL OFFICER PGI | Na | yes | 03/2007 | Mar 30, 2012 | Aug 23, 2024 |
| HOUSTON, DANIEL, JOSEPH | Director | Na | yes | 12/2015 | Jan 28, 2016 | Aug 23, 2024 |
| JABLONSKI, TODD, ANTHONY | CIO-PGAA | Na | yes | 06/2020 | Mar 16, 2021 | Aug 23, 2024 |
| Lange, Justin, Thomas | CHIEF COMPLIANCE OFFICER | Na | yes | 09/2022 | Oct 10, 2022 | Aug 23, 2024 |
| MARIS, GEORGE, PETER | CIO & GLOBAL HEAD OF EQUITIES | Na | yes | 11/2023 | Nov 1, 2023 | Aug 23, 2024 |
| MCCULLUM, KENNETH, ALLEN | SVP & CHIEF RISK OFFICER | Na | yes | 12/2020 | Mar 16, 2021 | Aug 23, 2024 |
| NESS, BRIAN, STEVEN | EXECUTIVE DIRECTOR & CIO PGAM & PI | Na | yes | 06/2020 | Mar 16, 2021 | Aug 23, 2024 |
| PRINCIPAL FINANCIAL GROUP, INC. | 100% OWNER | E | yes | 10/2001 | Mar 30, 2012 | Aug 23, 2024 |
| PRINCIPAL FINANCIAL SERVICES, INC. | 100% OWNER | E | yes | 05/2017 | Mar 30, 2012 | Aug 23, 2024 |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | 100% OWNER | E | yes | 05/2017 | Mar 16, 2021 | Aug 23, 2024 |
| SHUMWAY, ELLEN, WILSON | GLOBAL HEAD OF PRODUCT | Na | yes | 03/2024 | Jul 29, 2019 | Aug 23, 2024 |
| STRABLE-SOETHOUT, DEANNA, DAWNETTE | Director | Na | yes | 06/2020 | Mar 16, 2021 | Aug 23, 2024 |
| WENIG, BARBARA | GLOBAL HEAD OF OPERATIONS | Na | yes | 03/2024 | Mar 27, 2024 | Aug 23, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| PRINCIPAL REAL ESTATE INVESTORS, LLC | n/a | Institutional manager | $106B | N | yes | n/a |
| SAMI BROKERAGE LLC | n/a | Former SEC adviser | $24B | 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 |
| PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED | n/a | Asset manager | $14B | 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 ADVISED SERVICES, LLC | n/a | Bd affiliated wealth | $1.4B | N | yes | n/a |
| BRASILPREV SEGUROS E PREVIDENCIA S.A. | n/a | n/a | n/a | N | yes | n/a |
| CLARITAS ADMINISTRAC?O DE RECURSOS LTDA. | n/a | n/a | n/a | 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 |
| DIVERSIFIED DENTAL SERVICES, INC. A NEVADA CLOSE CORPORATION | n/a | n/a | n/a | N | yes | n/a |
| EMPLOYERS DENTAL SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| EQUITY FC, LTD. | n/a | n/a | n/a | N | yes | n/a |
| FINISTERRE EMD TOTAL RETURN FUND GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| FIRST DENTAL HEALTH | n/a | n/a | n/a | N | yes | n/a |
| PETULA ASSOCIATES, LLC | n/a | n/a | n/a | N | yes | n/a |
| PRINCIPAL ADMINISTRADORA GENERAL DE FONDOS S.A | n/a | n/a | n/a | N | yes | n/a |
| PRINCIPAL AFORE, S.A. DE C.V., PRINCIPAL GRUPO FINANCIERO | n/a | n/a | n/a | N | yes | n/a |
| PRINCIPAL AHORRO E INVERSIONES S.A. | n/a | n/a | n/a | N | yes | n/a |
| PRINCIPAL ALTERNATIVE CREDIT FUND GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| PRINCIPAL ASSET MANAGEMENT (S) PTE. LTD. | n/a | n/a | n/a | N | yes | n/a |
| PRINCIPAL ASSET MANAGEMENT BERHAD | n/a | n/a | n/a | N | yes | n/a |
| PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED (THAILAND) | n/a | n/a | n/a | N | yes | n/a |
| PRINCIPAL BANK | n/a | n/a | n/a | N | yes | Ia |
| PRINCIPAL COMPANIA DE SEGUROS DE VIDA CHILE S.A. | n/a | n/a | n/a | N | yes | n/a |
| PRINCIPAL DENTAL SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| PRINCIPAL FINANCIAL GROUP, INC. | n/a | n/a | n/a | Y | yes | n/a |
| PRINCIPAL FINANCIAL SERVICES, INC. | n/a | n/a | n/a | Y | yes | n/a |
| PRINCIPAL FONDOS DE INVERSION, S.A. DE C.V., OPERADORA DE FONDOS DE INVERSION, PRINCIPAL GRUPO FINANCIERO | n/a | n/a | 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) LIMITED | n/a | n/a | n/a | N | yes | n/a |
| PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED | n/a | n/a | n/a | N | yes | n/a |
| PRINCIPAL GLOBAL INVESTORS (IRELAND) LIMITED | 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) LIMITED | 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 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | 40 | yes |
| Seattle | Wa | United States | 27 | no |
| London | n/a | United Kingdom | 21 | no |
| Chicago | IL | United States | 20 | yes |
| Singapore | n/a | Singapore | 12 | no |
| Stamford | Ct | United States | 10 | yes |
| Minneapolis | Mn | United States | 10 | no |
| Portland | Or | United States | 9 | yes |
| Wanchai | n/a | Hong Kong | 9 | no |
| Folsom | CA | United States | 7 | yes |
| GREATER LONDON | n/a | United Kingdom | 4 | no |
| LOS ANGELES | CA | United States | 2 | yes |
| Miami | FL | United States | 1 | yes |
| Atlanta | Ga | United States | 1 | no |
| Boise | Id | United States | 1 | yes |
| Louisville | Ky | United States | 1 | no |
| Waltham | Ma | United States | 1 | no |
| Charlotte | Nc | United States | 1 | yes |
| UCHISAIWAI-CHO,TOKYO | n/a | Japan | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $428B | $419B | 1,394 | 337 | 19 | 9 | n/a |
| 2024 | Apr 29, 2025 | $364B | $356B | 1,350 | 324 | 21 | 7 | n/a |
| 2023 | Mar 27, 2024 | $377B | $369B | 1,955 | 700 | 19 | 3 | $422M |
| 2022 | Mar 30, 2023 | $279B | $271B | 1,925 | 683 | 23 | 3 | $376M |
| 2021 | Mar 30, 2022 | $340B | $331B | 1,835 | 621 | 16 | 2 | $148M |
| 2020 | Mar 16, 2021 | $392B | $384B | 1,775 | 561 | 8 | 1 | $0 |
| 2019 | Mar 26, 2020 | $349B | $342B | 1,810 | 572 | 6 | 2 | $69.5M |
| 2018 | Mar 27, 2019 | $296B | $236B | 1,776 | 561 | 6 | 2 | $69.5M |
| 2017 | Mar 29, 2018 | $353B | $292B | 1,049 | 208 | 4 | 9 | $411M |
| 2016 | Mar 30, 2017 | $194B | $144B | 1,089 | 175 | n/a | 17 | $411M |
| 2015 | Mar 30, 2016 | $177B | $131B | 1,156 | 188 | n/a | 17 | $596M |
| 2014 | Mar 31, 2015 | $168B | $123B | 718 | 154 | n/a | 18 | $652M |
| 2013 | Mar 31, 2014 | $157B | $112B | 557 | 151 | n/a | 18 | $579M |
| 2012 | Mar 28, 2013 | $137B | $88B | 557 | 146 | n/a | 17 | $608M |
| 2011 | Mar 30, 2012 | $119B | $74B | n/a | n/a | n/a | 16 | $611M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 11 | 9 | 2 | 7.3% | 3 | 4 | 0 | 28 | 27 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $428B | $364B | 17.5% | $279B | 15.3% | 1,394 | 1,350 | 19 | 21 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| PRINCIPAL SECURITIES, INC. | 2 | Oct 30, 2018 | Nov 8, 2018 | DOWNERS GROVE, IL | Team lift out | Other | 0.2% |
| PRINCIPAL SECURITIES, INC. | 2 | Oct 23, 2018 | Nov 26, 2018 | DES MOINES, IA | Team lift out | Other | 0.2% |
| PRINCIPAL SECURITIES, INC. | 2 | May 2, 2018 | May 31, 2018 | DES MOINES, IA | Team lift out | Other | 0.2% |
| PRINCIPAL SECURITIES, INC. | 4 | Feb 23, 2017 | Jan 11, 2019 | DES MOINES, IA | Team lift out | Other | 0.4% |
| PRINCIPAL SECURITIES, INC. | 7 | Jan 20, 2017 | Mar 8, 2017 | DES MOINES, IA | Team lift out | Other | 0.7% |