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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

Colin Joseph Arnold

Advisor at PRINCIPAL ASSET MANAGEMENT

Lemont, IL

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Search this name across graphsid dfx:ria:ccba1d82-4a72-0374-74dd-05e3968de73a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 14, 2014 to Sep 14, 2026

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

Current firm: PRINCIPAL ASSET MANAGEMENT
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 11, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 11, 2014
First registration: Oct 14, 2014
Dual registered: yes, broker-dealer
IAPD individual key: 6351236

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PRINCIPAL ASSET MANAGEMENT	Other adviser	Jan 8, 2026	n/a	yes	Lemont, IL	Current employment
PT ASSET MANAGEMENT, LLC	Asset manager	Feb 26, 2021	Jan 23, 2026	no	CHICAGO, IL	Previous registration
PERFORMANCE TRUST CAPITAL PARTNERS, LLC	Former SEC adviser	Feb 26, 2021	Mar 25, 2021	no	CHICAGO, IL	Previous registration
INVESCO ADVISERS, INC.	Asset manager	Sep 29, 2015	May 30, 2019	no	Downers Grove, IL\|ATLANTA, GA	Previous registration
EDWARD JONES	National bd RIA	Oct 14, 2014	Aug 31, 2015	no	Maryland Heights, MO\|BARRINGTON, IL\|Maryland Heights, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PT ASSET MANAGEMENT, LLC	PRINCIPAL ASSET MANAGEMENT	Jan 23, 2026	Jan 8, 2026	-15	Firm change	Other
PERFORMANCE TRUST CAPITAL PARTNERS, LLC	PT ASSET MANAGEMENT, LLC	Mar 25, 2021	Feb 26, 2021	-27	Firm change	Other
INVESCO ADVISERS, INC.	PERFORMANCE TRUST CAPITAL PARTNERS, LLC	May 30, 2019	Feb 26, 2021	638	Firm change after gap	Other
EDWARD JONES	INVESCO ADVISERS, INC.	Aug 31, 2015	Sep 29, 2015	29	Firm change	Other

Relationships

Registered with (5)

→ PRINCIPAL ASSET MANAGEMENTRegistered adviserregistration: current employment
Jan 8, 2026 to presentfactForm ADV
→ PT ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2021 to Jan 23, 2026factForm ADV
→ PERFORMANCE TRUST CAPITAL PARTNERS, LLCRegistered adviserregistration: previous registration
Feb 26, 2021 to Mar 25, 2021factForm ADV
→ INVESCO ADVISERS, INC.Registered adviserregistration: previous registration
Sep 29, 2015 to May 30, 2019factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Oct 14, 2014 to Aug 31, 2015factForm ADV

Dated events

Occurred
Jan 23, 2026
Advisor changed firm
Colin Joseph Arnold left Pt Asset Management, Llc for Principal Asset Management (registered 2026-01-08)
Form ADVobserved 5 days ago