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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

PRINCIPAL REVIEW, LLC

CRD 291663

MIAMI, FL

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:f395ca24-38f8-b25c-f0b5-059a9ea64193

Data as of Apr 25, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jan 3, 2018 to Apr 25, 2019
6 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0
SEC number: 801-112388
CRD: 291663
Filings on the tape: 6
First filed: Jan 3, 2018
Latest filed: Apr 25, 2019
Organised: Limited Liability Company, Florida

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
ALEXANDER, DANIEL, SEAN	CHIEF COMPLIANCE OFFICER (CCO), CHIEF EXECUTIVE OFFICER (CEO) AND MANAGING MEMBER	D	yes	01/2017	Jan 3, 2018	Apr 25, 2019
Steinberg, Allen, T.	CHIEF LEGAL OFFICER (CLO) AND MANAGING MEMBER	B	yes	01/2017	Jan 3, 2018	Apr 25, 2019

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
LAW OFFICES OF ALLEN STEINBERG	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
2018	Sep 26, 2018	n/a	n/a	2	1	0	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
2018	n/a	n/a	n/a	n/a	n/a	2	n/a	0	n/a

Relationships

Controls (2)

← ALEXANDER, DANIEL, SEANOwnerCHIEF COMPLIANCE OFFICER (CCO), CHIEF EXECUTIVE OFFICER (CEO) AND MANAGING MEMBER, ownership code D, individual
Jan 3, 2018 to presentfactForm ADV
← Steinberg, Allen, T.OwnerCHIEF LEGAL OFFICER (CLO) AND MANAGING MEMBER, ownership code B, individual
Jan 3, 2018 to presentfactForm ADV

Dated events

Occurred
Jan 3, 2018
First Form ADV filing
Principal Review, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f395ca24-38f8-b25c-f0b5-059a9ea64193
First observed: Jan 3, 2018
Last observed: Apr 25, 2019 90 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 REVIEW, LLC

CRD 291663

MIAMI, FL

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:f395ca24-38f8-b25c-f0b5-059a9ea64193

Data as of Apr 25, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:24 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALEXANDER, DANIEL, SEAN

CHIEF COMPLIANCE OFFICER (CCO), CHIEF EXECUTIVE OFFICER (CEO) AND MANAGING MEMBER

yes

01/2017

Jan 3, 2018

Apr 25, 2019

Steinberg, Allen, T.

CHIEF LEGAL OFFICER (CLO) AND MANAGING MEMBER

yes

01/2017

Jan 3, 2018

Apr 25, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LAW OFFICES OF ALLEN STEINBERG

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Sep 26, 2018

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

n/a