DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Principal Management Corp

Former SEC-registered adviserDes Moines, IowaCRD 105641SEC 801-8144IAPD
Latest filing Mar 29, 2017
First filing on the tape Mar 26, 2012 · 18 filings
RAUM
$183B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
178
24 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$183B as of Mar 29, 2017
Mar 26, 2012$102B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 26, 20120 then
Employees (5.A)178 as of Mar 29, 2017
Apr 2, 2013269 then
Private funds: no history
RAUM -4.0% over the last fiscal year+3.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.2BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
148reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Jon Michael Beer · President, Director And Ceocontrol
        since 02/2002 · owns less than 5%
      • Wayne Tracy Bollin · Senior Vice President, Chief Operating Officer And Directorcontrol
        since 10/2015 · owns less than 5%
      • James David Brown · Senior Vice Presidentcontrol
        since 09/2004 · owns less than 5%
      • Patrick James Mccaughan · Directorcontrol
        since 11/2016 · owns less than 5%
      • Renae Teri Root · Vice President And Chief Compliance Officercontrol
        since 10/2015 · owns less than 5%
      • Joseph Michael Scholten · Chief Financial Officercontrol
        since 03/2015 · owns less than 5%
      • Elizabeth Karen Shaff · Director, Executive Vice President/General Counsel And Secretarycontrol
        since 11/2016 · owns less than 5%
      Entity owners
      • Principal Financial Services, Inc. · 100% Stockholder
        direct · owns 75% or more
      • Principal Financial Group, Inc. · 100% Stockholder
        indirect · owns 75% or more of Principal Financial Services, Inc.
      Related persons
      Schedule D 7.A
      Advisers that list Principal Management Corp as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 157 to 148
        Dec 19, 2016 to Mar 29, 2017
      • Advisory employees · 20 to 24
        Dec 19, 2016 to Mar 29, 2017
      • Advisory activities · 5 to 4
        Dec 19, 2016 to Mar 29, 2017
      • BD registered reps · 50 to 30
        Dec 19, 2016 to Mar 29, 2017
      • Employees · 189 to 178
        Dec 19, 2016 to Mar 29, 2017
      • Insurance-licensed employees · 30 to 11
        Dec 19, 2016 to Mar 29, 2017
      • Discretionary RAUM · $173B to $183B
        Dec 19, 2016 to Mar 29, 2017
      • Non-discretionary RAUM · $18B to $0
        Dec 19, 2016 to Mar 29, 2017
      • RAUM · $191B to $183B
        Dec 19, 2016 to Mar 29, 2017
      • Accounts · 155 to 157
        Nov 25, 2015 to Mar 29, 2016
      • Advisory employees · 15 to 20
        Nov 25, 2015 to Mar 29, 2016
      • BD registered reps · 61 to 50
        Nov 25, 2015 to Mar 29, 2016
      • Employees · 169 to 189
        Nov 25, 2015 to Mar 29, 2016
      • Insurance-licensed employees · 29 to 30
        Nov 25, 2015 to Mar 29, 2016
      • Discretionary RAUM · $172B to $173B
        Nov 25, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $13B to $18B
        Nov 25, 2015 to Mar 29, 2016
      • RAUM · $185B to $191B
        Nov 25, 2015 to Mar 29, 2016
      • Accounts · 127 to 155
        Jan 5, 2015 to Apr 1, 2015
      • Advisory employees · 16 to 15
        Jan 5, 2015 to Apr 1, 2015
      • Advisory activities · 4 to 5
        Jan 5, 2015 to Apr 1, 2015
      • Employees · 209 to 169
        Jan 5, 2015 to Apr 1, 2015
      • Insurance-licensed employees · 27 to 29
        Jan 5, 2015 to Apr 1, 2015
      • HQ city · unset to DES MOINES
        Jan 5, 2015 to Apr 1, 2015
      • HQ state · unset to IA
        Jan 5, 2015 to Apr 1, 2015
      • Discretionary RAUM · $155B to $172B
        Jan 5, 2015 to Apr 1, 2015
      • Non-discretionary RAUM · $9.1B to $13B
        Jan 5, 2015 to Apr 1, 2015
      • RAUM · $164B to $185B
        Jan 5, 2015 to Apr 1, 2015
      • Accounts · 111 to 127
        Jan 8, 2014 to Mar 26, 2014
      • Advisory activities · 3 to 4
        Jan 8, 2014 to Mar 26, 2014
      • BD registered reps · 52 to 61
        Jan 8, 2014 to Mar 26, 2014
      • Employees · 269 to 209
        Jan 8, 2014 to Mar 26, 2014
      • Insurance-licensed employees · 19 to 27
        Jan 8, 2014 to Mar 26, 2014
      • Discretionary RAUM · $126B to $155B
        Jan 8, 2014 to Mar 26, 2014
      • Non-discretionary RAUM · $4.5B to $9.1B
        Jan 8, 2014 to Mar 26, 2014
      • RAUM · $131B to $164B
        Jan 8, 2014 to Mar 26, 2014
      • HQ city · DES MOINES to unset
        Aug 27, 2013 to Jan 8, 2014
      • HQ state · IA to unset
        Aug 27, 2013 to Jan 8, 2014
      • Accounts · 108 to 111
        Nov 19, 2012 to Apr 2, 2013
      • Advisory employees · 14 to 16
        Nov 19, 2012 to Apr 2, 2013
      • BD registered reps · 36 to 52
        Nov 19, 2012 to Apr 2, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026