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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

PRINCIPAL FINANCIAL ADVISORS, INC.

CRD 105594

DES MOINES, IA

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Search this name across graphsid dfx:ria:8ebcf2c4-08ee-8a3d-b0f3-f347c7432e23

Data as of Mar 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 4
On other graphs: 1
Observed: Dec 7, 2011 to Mar 30, 2020
16 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Principal Financial Advisors, Inc.

Investment consultant · shared crd

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: $9.0BItem 5.F on the latest filing (2020-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $9.0B
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: 31
Advisory employees: 16
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 299
Individual clients: 0
High net worth clients: 0
SEC number: 801-30958
CRD: 105594
Filings on the tape: 16
First filed: Dec 7, 2011
Latest filed: Mar 30, 2020
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
DONOHUE, ANDREW, JOHN	CHIEF COMPLIANCE OFFICER	Na	yes	08/2015	Aug 18, 2015	Mar 30, 2020
HOOGENSEN, KARA, MARIE	Director	Na	yes	03/2015	Mar 31, 2015	Mar 30, 2020
JABLONSKI, TODD, A	Director	Na	yes	10/2018	Mar 1, 2019	Mar 30, 2020
MORRIS, KEVIN, JAMES	Director	Na	yes	03/2015	Mar 31, 2015	Mar 30, 2020
PRINCIPAL FINANCIAL GROUP, INC.	100% OWNER	E	yes	10/2001	Dec 7, 2011	Mar 30, 2020
PRINCIPAL FINANCIAL SERVICES, INC.	100% OWNER	E	yes	05/2017	Dec 7, 2011	Mar 30, 2020
PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC	100% OWNER	E	yes	05/2017	May 26, 2017	Mar 30, 2020
SCHOLTEN, MICHAEL, JOSEPH	CHIEF FINANCIAL OFFICER	Na	yes	08/2015	Aug 18, 2015	Mar 30, 2020
WELCH, RANDY, LYNN	PRESIDENT & CHAIRMAN	Na	yes	03/2015	Mar 28, 2014	Mar 30, 2020

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
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
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
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
PRINCIPAL ADVISED SERVICES, LLC	n/a	Bd affiliated wealth	$1.4B	N	yes	n/a
ROBUSTWEALTH, INC.	n/a	Former SEC adviser	$856M	N	yes	n/a
FINISTERRE MALTA LIMITED	n/a	Former SEC adviser	$0	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) LIMITED	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) 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
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

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
2019	Mar 30, 2020	$9.0B	$9.0B	31	16	0	n/a	n/a
2018	Mar 1, 2019	n/a	n/a	33	16	1	n/a	n/a
2017	Mar 28, 2018	n/a	n/a	33	17	1	n/a	n/a
2016	Mar 29, 2017	n/a	n/a	32	16	n/a	n/a	n/a
2015	Mar 25, 2016	n/a	n/a	35	16	n/a	n/a	n/a
2014	Mar 31, 2015	n/a	n/a	35	35	n/a	n/a	n/a
2013	Mar 28, 2014	n/a	n/a	39	39	n/a	n/a	n/a
2012	Apr 1, 2013	n/a	n/a	38	38	n/a	n/a	n/a
2011	Mar 30, 2012	n/a	n/a	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
2019	$9.0B	n/a	n/a	n/a	n/a	31	33	0	1

Relationships

Affiliated with (20)

← FINISTERRE CAPITAL LLPRegistered adviserother investment adviser, LP sponsor, 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
→ COLUMBUS CIRCLE INVESTORSRegistered 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
→ 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 adviserbroker-dealer, common control
factForm ADV
→ ROBUSTWEALTH, INC.Registered 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 MALTA LIMITEDRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
← SPECTRUM ASSET MANAGEMENT, INC.Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
← MORLEY CAPITAL MANAGEMENT, INC.Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
← PRINCIPAL MANAGEMENT CORPRegistered adviserother investment adviser, LP sponsor, control, common control
factForm ADV
← EDGE ASSET MANAGEMENT, INC.Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
← LIONGATE CAPITAL MANAGEMENT LLPRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV

Controls (9)

← WELCH, RANDY, LYNNOwnerPRESIDENT & CHAIRMAN, ownership code NA, individual
Mar 28, 2014 to presentfactForm ADV
← MORRIS, KEVIN, JAMESOwnerDIRECTOR, ownership code NA, individual
Mar 31, 2015 to presentfactForm ADV
← HOOGENSEN, KARA, MARIEOwnerDIRECTOR, ownership code NA, individual
Mar 31, 2015 to presentfactForm ADV
← DONOHUE, ANDREW, JOHNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 18, 2015 to presentfactForm ADV
← JABLONSKI, TODD, AOwnerDIRECTOR, ownership code NA, individual
Mar 1, 2019 to presentfactForm ADV
← SCHOLTEN, MICHAEL, JOSEPHOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Aug 18, 2015 to presentfactForm ADV
← PRINCIPAL FINANCIAL GROUP, INC.Owner100% OWNER, ownership code E, domestic entity
Dec 7, 2011 to presentfactForm ADV
← PRINCIPAL FINANCIAL SERVICES, INC.Owner100% OWNER, ownership code E, domestic entity
Dec 7, 2011 to presentfactForm ADV
← PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLCOwner100% OWNER, ownership code E, domestic entity
May 26, 2017 to presentfactForm ADV

Registered with (2)

← ERIC EDWARD HOWARDAdvisorregistration: previous registration
Nov 16, 2004 to Dec 2, 2009factForm ADV
← JOHN KENNETH HARADAAdvisorregistration: previous registration
May 28, 2002 to May 31, 2006factForm ADV

Dated events

Occurred
Mar 30, 2020
Control person left
Elizabeth Karen Shaff (Executive Vice President, General Counsel & Secretary) no longer on Schedule A of Principal Financial Advisors, Inc. (listed 2019-03-01, absent 2020-03-30)
Form ADVobserved 4 days ago
Occurred
Mar 1, 2019
Control person left
Marie Julia Lawler (Director) no longer on Schedule A of Principal Financial Advisors, Inc. (listed 2018-03-28, absent 2019-03-01)
Form ADVobserved 4 days ago
Occurred
Mar 1, 2019
Control person left
Joseph Christopher Bowman (Director) no longer on Schedule A of Principal Financial Advisors, Inc. (listed 2018-03-28, absent 2019-03-01)
Form ADVobserved 4 days ago
Occurred
Mar 1, 2019
Control person joined
A Todd Jablonski (Director) appeared on Schedule A of Principal Financial Advisors, Inc.
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8ebcf2c4-08ee-8a3d-b0f3-f347c7432e23
First observed: Dec 7, 2011
Last observed: Mar 30, 2020 78 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 FINANCIAL ADVISORS, INC.

CRD 105594

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:8ebcf2c4-08ee-8a3d-b0f3-f347c7432e23

Data as of Mar 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:56 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DONOHUE, ANDREW, JOHN

CHIEF COMPLIANCE OFFICER

yes

08/2015

Aug 18, 2015

Mar 30, 2020

HOOGENSEN, KARA, MARIE

Director

yes

03/2015

Mar 31, 2015

Mar 30, 2020

JABLONSKI, TODD, A

Director

yes

10/2018

Mar 1, 2019

Mar 30, 2020

MORRIS, KEVIN, JAMES

Director

yes

03/2015

Mar 31, 2015

Mar 30, 2020

PRINCIPAL FINANCIAL GROUP, INC.

100% OWNER

yes

10/2001

Dec 7, 2011

Mar 30, 2020

PRINCIPAL FINANCIAL SERVICES, INC.

100% OWNER

yes

05/2017

Dec 7, 2011

Mar 30, 2020

PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC

100% OWNER

yes

05/2017

May 26, 2017

Mar 30, 2020

SCHOLTEN, MICHAEL, JOSEPH

CHIEF FINANCIAL OFFICER

yes

08/2015

Aug 18, 2015

Mar 30, 2020

WELCH, RANDY, LYNN

PRESIDENT & CHAIRMAN

yes

03/2015

Mar 28, 2014

Mar 30, 2020

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

SAMI BROKERAGE LLC

n/a

Former SEC adviser

$24B

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

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

PRINCIPAL ADVISED SERVICES, LLC

n/a

Bd affiliated wealth

$1.4B

yes

n/a

ROBUSTWEALTH, INC.

n/a

Former SEC adviser

$856M

yes

n/a

FINISTERRE MALTA LIMITED

n/a

Former SEC adviser

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) LIMITED

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (EU) LIMITED

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (EUROPE) LIMITED

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (IRELAND) LIMITED

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (JAPAN) LTD

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (SINGAPORE) LIMITED

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

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 30, 2020

$9.0B

n/a

2018

Mar 1, 2019

n/a

2017

Mar 28, 2018

n/a

2016

Mar 29, 2017

n/a

2015

Mar 25, 2016

n/a

2014

Mar 31, 2015

n/a

2013

Mar 28, 2014

n/a

2012

Apr 1, 2013

n/a

2011

Mar 30, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$9.0B

n/a