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.

SEC-registered adviser

Principal Asset Management

Other adviserDes Moines, IowaCRD 109002SEC 801-55959website IAPD

Legal name Principal Global Investors, LLC

Latest filing May 28, 2026

First filing on the tape Mar 30, 2012 · 55 filings

SEC status approved since Oct 26, 1998

RAUM

$428B

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

0.7%

$3.1B individuals and HNW

Advisors

123

registered through the firm on IAPD

RAUM per advisor

$3.5B

derived; firm RAUM over IAPD count

Employees

1,394

337 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

55 filings and snapshots on the tape

RAUM$428B as of May 28, 2026

Mar 30, 2012$119B then

HNW client RAUM$970M as of May 28, 2026

Mar 29, 2018$3.2B then

State-registered IARs (5.B.3)124 as of May 28, 2026

Mar 28, 201342 then

Employees (5.A)1,394 as of May 28, 2026

Mar 28, 2013557 then

Private funds10 as of May 28, 2026

Mar 30, 201216 then

RAUM +17% over the last fiscal year+15% a year over threeIARs 115 to 124offices 21 to 19

Practice profile

derived from the filing of May 28, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)

RAUM per advisor: $3.5BderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 51derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.1MderivedHNW RAUM over HNW clients
Average account: $52.4MderivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 11.3derivedItem 5.A over advisors
Advisors per office: 6.2derived20 offices incl. principal (1.F.5)
RAUM growth, one year: +17%derivedbetween the last two annual amendments
Advisor growth, one year: +7.8%derivedItem 5.B.3 between annual amendments
Client growth, one year: +2.7%derived
Compensation: percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, educational seminars, otherreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
Custody: $95B, 10 clientsreportedItem 9.A
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

buys or sells securities as principal to or from clients (8.A.2)
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)
a related person acts as qualified custodian (9.D.2)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Investment companies$151B35%
Insurance companies$145B34%
Pension and profit-sharing plans$41B9.6%
Pooled investment vehicles$40B9.3%
Corporations and businesses$17B4.0%
Sovereign wealth funds$14B3.3%
Banks and thrifts$8.5B2.0%
State and municipal entities$5.5B1.3%
Individuals$2.1B0.5%
Charitable organizations$2.0B0.5%
High-net-worth individuals$970M0.2%

Individual clients: 6,014reported
HNW clients: 315reported
Pension plan clients: 578reported
Charitable clients: 30reported
Accounts: 8,169reported
Financial planning clients: reported
Wrap fee programs: $0 sponsored, $3.9B managedreported
Custody of client assets: $95B for 10 clientsreported
Compensation: % of AUM, fixed, performancereported
Class basis: private_client_share=0.01 fund_share=0.45 institutional_share=0.49 related_bd=true related_bank=true bd_reps=285.0derived

Advisors registered through the firm

123 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Eric Gene Forret	Des Moines, Ia	Sep 22, 2008	26 y	1
Christopher Coffin Wilson	Stamford, Ct	Apr 14, 2009	30 y	1
Jay Thomas Harbison	Des Moines, Ia	Apr 4, 2011	27 y	5
James Emerson Lange	Des Moines, Ia	Nov 8, 2011	19 y	1
Erik Miller Tetmeyer	Des Moines, Ia	Jul 30, 2012	22 y	2
Richard D Webb	Jefferson, Ia	Feb 17, 2016	15 y	2
Laura K Mastin	Des Moines, Ia	Aug 12, 2016	24 y	1
Brandon Michael Miller	Des Moines, Ia	Aug 29, 2016	14 y	2
Juliana Rae Pearson Thomas	Des Moines, Ia	Jan 20, 2017	12 y	2
Matthew Quick	Des Moines, Ia	Jan 20, 2017	14 y	1
Justin Stephen Vaught	Des Moines, Ia	Feb 10, 2017	18 y	3
Christopher Jorgensen	Des Moines, Ia	Feb 14, 2017	20 y	1
Kraig Lee Kuhlers	Des Moines, Ia	Feb 24, 2017	34 y	1
Kevin Robert Hansen	Des Moines, Ia	Mar 8, 2017	38 y	1
Robert Fitts Gidel	Des Moines, Ia	Mar 15, 2017	19 y	1
Bret James Bussanmas	Des Moines, Ia	Mar 22, 2017	35 y	1
Robert M Mudd	Des Moines, Ia	Jul 5, 2017	26 y	0
Andrew Michael WrightsmanChartered Financial Analyst	Des Moines, Ia	May 31, 2018	23 y	4
Samantha Paige Kintzle	Des Moines, Ia	Sep 10, 2018	10 y	0
Daniel Patrick Janiszewski	La Grange, Il	Oct 23, 2018	27 y	0
Kristopher James Goeden	Des Moines, Ia	Oct 30, 2018	20 y	3
Mitchell Aaron Curtis	W Des Moines, Ia	Oct 31, 2018	22 y	2
Kari Ann Delaney	Des Moines, Ia	Nov 8, 2018	26 y	1
Nicholas James CoppolaChartered Financial Analyst	Mountainside, Nj	Nov 26, 2018	19 y	3
Cole Thomas Vautier	Des Moines, Ia	Jan 16, 2019	12 y	3
Brian Douglas Latta	Des Moines, Ia	Feb 20, 2019	20 y	2
Gregory David Pittenger	Raleigh, Nc	Aug 20, 2019	21 y	2
Jeremy Munter	Des Moines, Ia	Sep 30, 2019	22 y	2
Robert Tirrell	East Longmeadow, Ma	Jun 22, 2020	15 y	1
Clint Kelly Anderson	Greer, Sc	Dec 7, 2020	21 y	2
Brad Michael SchlichteChartered Financial Consultant	Des Moines, Ia	Jun 9, 2021	21 y	2
Jamie Kim Stenger	Des Moines, Ia	Nov 10, 2021	38 y	1
Andrew Thomas TurcotteCertified Financial Planner	Des Moines, Ia	Nov 11, 2021	24 y	4
Jonathan Michael ApsleyChartered Financial Analyst	Yuba City, Ca	Dec 2, 2021	29 y	0
Jesse John Scheeler	Des Moines, Ia	Dec 20, 2021	20 y	0
Jeffrey Clark Davison	Frisco, Tx	Dec 20, 2021	31 y	2
Stacy Renee Heger	O'Fallon, Mo	Dec 20, 2021	26 y	1
Andrew Clifford Miller	Boise, Id	Dec 21, 2021	23 y	2
Benjamin Daniel Totel	Des Moines, Ia	Dec 21, 2021	23 y	1
Ryan John Carroll	San Anselmo, Ca	Dec 21, 2021	22 y	1

All 123 advisors at Principal Asset Management

Advisor movement

9 left, 12 joined in 12 months

net +3 in 12 months4 left in 90 days3 joined in 90 daysdeparture rate 7.3% of current headcount27 left over 36 months

Left, latest

Grace Dawn Klopstad to Westend Advisors, LLC
Sep 1, 2026 · Other
Emily Joyce Marr to Principal Securities, Inc.
Aug 27, 2026 · Other
Jeffrey Alan Trier to Integrity Alliance, LLC
Aug 27, 2026 · Other
Trevor William Deubner to Westend Advisors, LLC
Jun 23, 2026 · Other
Michelle Renee Stockman to Integrity Advisory Solutions
Apr 24, 2026 · Other
Sumit Agarwal to Proshare Advisors LLC
Jan 13, 2026 · Other
Thomas Scott Hendricks to Foster Group, Inc.
Nov 4, 2025 · Other
Henry Mccomb Winchester to Columbia Management Investment Advisers, LLC
Oct 7, 2025 · Other
Christian James Siebert to Integrity Alliance, LLC
Sep 23, 2025 · Other
Lauren Kathryn Matteo to Blackrock Investment Management, LLC
Sep 8, 2025 · Other
Tyler Dubay to Cohen & Steers Capital Management Inc.
Aug 13, 2025 · Other
Jessica Ann Henricksen to Onedigital
Mar 27, 2025 · Other
Kate A Davidson to T. Rowe Price Associates, Inc.
Jan 17, 2025 · Other
Lauren Elizabeth Miller to John Hancock Investment Management LLC
Oct 9, 2024 · Other
Wesley A Urick to Northern Trust Investments, Incorporated
Sep 11, 2024 · Other

Joined, latest

Mason Mckinnie from Tlg Advisors, Inc.
Aug 26, 2026 · Other
Lucas Kane from Capital Client Group, Inc.
Aug 3, 2026 · Other
Patrick Vincent Carroll from Hilton Capital Management, LLC
Jun 23, 2026 · Other
Rhiana Johnson from Morgan Stanley
Jun 17, 2026 · Other
Brett Cortelezzi from Nationwide Securities, LLC
May 11, 2026 · Other
Amanda Hayda Staples from Creative Planning
May 1, 2026 · Other
Robynn Rene Vande Krol from John Hancock Investment Management LLC
Mar 26, 2026 · Other
Trevor William Deubner from Principal Securities, Inc.
Feb 9, 2026 · Other
Colin Joseph Arnold from Pt Asset Management, LLC
Jan 8, 2026 · Other
Logan Michael Nickerson from First Citizens Investor Services, Inc.
Dec 18, 2025 · Other
Matthew Tyne Raynor from Blackrock Fund Advisors
Oct 6, 2025 · Other
Louis Hollingsworth Dworsky from Banc Of America Investment Services, Inc.
Sep 18, 2025 · Other
Reid Benjamin Johnson from Principal Advised Services
Jul 22, 2025 · Other
Thomas Edward Zanellato from Putnam Investment Management, LLC
Jul 15, 2025 · Other
Amber M Amidon from Park Avenue Securities LLC
Jul 10, 2025 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from Principal Securities, Inc.
Oct 30, 2018 · Downers Grove, Il
2 joined from Principal Securities, Inc.
Oct 23, 2018 · Des Moines, Ia
2 joined from Principal Securities, Inc.
May 2, 2018 · Des Moines, Ia
4 joined from Principal Securities, Inc.
Feb 23, 2017 · Des Moines, Ia
7 joined from Principal Securities, Inc.
Jan 20, 2017 · Des Moines, Ia

Teams out Teams in

Private funds

23 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Finisterre Emd Total Return Fund, LP	Hedge Fund	$374M	2	Mar 16, 2021
Principal Global Investors Trust International Growth Equity Fundno longer reported	Other Private Fund	$123M	3	Mar 30, 2012
Principal Global Investors Trust Preferred Securities Fundno longer reported	Other Private Fund	$73.3M	7	Mar 31, 2014
Principal Global Opportunities Series-Principal Currency Fundno longer reported	Hedge Fund	$67.1M	5	Mar 30, 2012
Principal Global Investors Trust International Equity Fundno longer reported	Other Private Fund	$58.5M	5	Mar 30, 2012
Finisterre Institutional Fundno longer reported	Other Private Fund	$57.4M	1	Mar 30, 2012
Principal Alternative Credit Unlevered Fund, LP	Hedge Fund	$38.5M	1	Mar 30, 2023
Principal Global Investors Trust Real Estate Securities Fundno longer reported	Other Private Fund	$35.4M	2	Mar 30, 2012
Principal Global Investors Trust International Property Securities Fundno longer reported	Other Private Fund	$34.1M	2	Mar 30, 2012
Principal Global Investors Trust Ultra Short Enhanced Yield Fundno longer reported	Other Private Fund	$33.4M	2	Mar 28, 2013
Principal Alternative Credit Unlevered Fund (Offshore) - C, LP	Hedge Fund	$15.2M	1	Aug 23, 2024
Principal Alternative Credit Fund (Offshore), LP	Hedge Fund	$9.7M	1	Mar 30, 2023
Principal Global Investors Trust Enhanced Cmbs Fundno longer reported	Other Private Fund	$156,799	2	Mar 30, 2012
Principal Global Investors Trust High Yield Fixed Income Fundno longer reported	Other Private Fund	$0	0	Mar 30, 2012
Principal Global Investors Trust Small Cap Growth Equity Fundno longer reported	Other Private Fund	$0	0	Mar 30, 2012
Principal Global Investors Trust Value Equity Fundno longer reported	Other Private Fund	$0	0	Mar 30, 2012
Principal Global Investors Trust Mid Cap Equity Fundno longer reported	Other Private Fund	$0	0	Mar 31, 2014
Principal Global Investors Trust High Quality Fixed Incomeno longer reported	Other Private Fund	$0	0	Mar 30, 2012
Principal Global Investors Trust Small Cap Equity Fundno longer reported	Other Private Fund	$0	0	Mar 30, 2012
Principal Global Investors Trust Emerging Markets Equity Fundno longer reported	Other Private Fund	$0	0	Mar 30, 2012
Principal Global Investors Trust US Select Equity Fundno longer reported	Other Private Fund	$0	0	Mar 30, 2012
Principal Global Investors Trust International Small Cap Equity Fundno longer reported	Other Private Fund	$0	0	Mar 30, 2012
Principal Global Investors Trust Large Cap Growth Equity Fundno longer reported	Other Private Fund	$0	0	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

Kamal Bhatia · Chief Executive Officer & Presidentcontrol
since 03/2024 · owns less than 5%
George Djurasovic · General Counselcontrol
since 11/2023 · owns less than 5%
Eugene Todd Everett · Global Head Of Private Marketscontrol
since 03/2023 · owns less than 5%
Jason Michael Goosay · Cio & Global Head Of Fixed Incomecontrol
since 11/2023 · owns less than 5%
Allen Timothy Hill · Senior Executive Managing Directorcontrol
since 03/2024 · owns less than 5%
Marie Jill Hittner · Executive Director/Chief Financial Officer Pgicontrol
since 03/2007 · owns less than 5%
Joseph Daniel Houston · Directorcontrol
since 12/2015 · owns less than 5%
Anthony Todd Jablonski · Cio-Pgaacontrol
since 06/2020 · owns less than 5%
Thomas Justin Lange · Chief Compliance Officercontrol
since 09/2022 · owns less than 5%
Peter George Maris · Cio & Global Head Of Equitiescontrol
since 11/2023 · owns less than 5%
Allen Kenneth Mccullum · Svp & Chief Risk Officercontrol
since 12/2020 · owns less than 5%
Steven Brian Ness · Executive Director & Cio Pgam & Picontrol
since 06/2020 · owns less than 5%
Wilson Ellen Shumway · Global Head Of Productcontrol
since 03/2024 · owns less than 5%
Dawnette Deanna Strable-Soethout · Directorcontrol
since 06/2020 · owns less than 5%
Barbara Wenig · Global Head Of Operationscontrol
since 03/2024 · owns less than 5%

Entity owners

Principal Global Investors Holding Company (US), LLC · 100% Owner
direct · owns 75% or more
Principal Financial Group, Inc. · 100% Owner
indirect · owns 75% or more of Principal Financial Services, Inc. · public reporting company
Principal Financial Services, Inc. · 100% Owner
indirect · owns 75% or more of Principal Global Investors Holding Company (US), LLC

Related persons

Schedule D 7.A

Brasilprev Seguros E Previdencia S.A.
real estaten
Claritas Administrac?O De Recursos Ltda.
pooled vehicle sponsorn
Claritas Investments Ltd.
investment adviserpooled vehicle sponsorn
Delaware Charter Guarantee & Trust Company
n
Diversified Dental Services, Inc. A Nevada Close Corporation
real estaten
Employers Dental Services, Inc.
real estaten
Equity Fc, Ltd.
broker-dealern
Finisterre Emd Total Return Fund Gp, LLC
pooled vehicle sponsory
First Dental Health
real estaten
Principal Origin
investment adviserpooled vehicle sponsornRAUM $4.6B
Petula Associates, LLC
n
Post Advisory Group, LLC
investment adviserbankpooled vehicle sponsornRAUM $13B
Principal Administradora General De Fondos S.A
pooled vehicle sponsorn
Principal Advised Services
investment advisernRAUM $1.4B
Principal Afore, S.A. De C.V., Principal Grupo Financiero
real estaten
Principal Ahorro E Inversiones S.A.
investment advisern
Principal Alternative Credit Fund Gp, LLC
pooled vehicle sponsory
Principal Asset Management (S) Pte. Ltd.
pooled vehicle sponsorn
Principal Asset Management Berhad
pooled vehicle sponsorn
Principal Asset Management (Asia)
investment advisernRAUM $14B
Principal Asset Management Company Limited (Thailand)
pooled vehicle sponsorn
Principal Bank
custodiann
Principal Compania De Seguros De Vida Chile S.A.
real estaten
Principal Dental Services, Inc.
real estaten
Principal Financial Group, Inc.
real estatey
Principal Financial Services, Inc.
real estatey
Principal Fondos De Inversion, S.A. De C.V., Operadora De Fondos De Inversion, Principal Grupo Financiero
pooled vehicle sponsorn
Principal Funds Distributor, Inc.
broker-dealern
Principal Global Investors (Australia) Ltd.
investment advisern
Principal Global Investors (Europe) Limited
investment advisern

Advisers that list Principal Asset Management as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
Des Moines, Ia · principal	43	3	3
Charlotte, Nc	5	1	1
Roseville, Ca	4	0	0
Denver, Co	2	1	0
Lake Oswego, Or	2	0	0
Waltham, Ma	2	0	0
Raleigh, Nc	2	1	0
Miami, Fl	2	0	0
Mount Pleasant, Sc	2	1	0
Hinsdale, Il	1	1	0
West Des Moines, Ia	1	1	1
Alpharetta, Ga	0	0	0
Cincinatti, Oh	0	0	0
Austin, Tx	0	0	0
Brookhaven, Ga	0	0	0
Columbus, Oh	0	0	1
Concord, Ca	0	0	0
Edgewater, Md	0	0	1
Folsom, Ca	0	0	0
Lake Barrington, Il	0	0	0

All 23 offices

Offices

Schedule D 1.F, the 25 largest

New York, NY40 employees
Seattle, WA27 employees
London, United Kingdom21 employees
Chicago, IL20 employees
Singapore, Singapore12 employees
Stamford, CT10 employees
Minneapolis, MN10 employees
Wanchai, Hong Kong9 employees
Portland, OR9 employees
Folsom, CA7 employees
Greater London, United Kingdom4 employees
Los Angeles, CA2 employees
Louisville, KY1 employees
Boise, ID1 employees
Atlanta, GA1 employees
Miami, FL1 employees
Uchisaiwai-Cho,Tokyo, Japan1 employees
Waltham, MA1 employees
Charlotte, NC1 employees

What changed

consecutive filings, newest first

Private funds · 9 to 10
Mar 31, 2026 to May 28, 2026
Accounts · 7,399 to 8,169
Jan 28, 2026 to Mar 31, 2026
Advisory employees · 324 to 337
Jan 28, 2026 to Mar 31, 2026
BD registered reps · 290 to 285
Jan 28, 2026 to Mar 31, 2026
Charity clients · 208 to 30
Jan 28, 2026 to Mar 31, 2026
Corporate clients · 352 to 951
Jan 28, 2026 to Mar 31, 2026
HNW clients · 323 to 315
Jan 28, 2026 to Mar 31, 2026
Individual clients · 5,842 to 6,014
Jan 28, 2026 to Mar 31, 2026
Pension plan clients · 446 to 578
Jan 28, 2026 to Mar 31, 2026
Pooled vehicle clients · 47 to 29
Jan 28, 2026 to Mar 31, 2026
Assets in custody · $85B to $95B
Jan 28, 2026 to Mar 31, 2026
Employees · 1,350 to 1,394
Jan 28, 2026 to Mar 31, 2026
State-registered IARs · 115 to 124
Jan 28, 2026 to Mar 31, 2026
Other offices · 21 to 19
Jan 28, 2026 to Mar 31, 2026
Discretionary RAUM · $356B to $419B
Jan 28, 2026 to Mar 31, 2026
HNW RAUM · $877M to $970M
Jan 28, 2026 to Mar 31, 2026
Individual RAUM · $1.7B to $2.1B
Jan 28, 2026 to Mar 31, 2026
Non-discretionary RAUM · $8.4B to $8.5B
Jan 28, 2026 to Mar 31, 2026
Pension RAUM · $47B to $41B
Jan 28, 2026 to Mar 31, 2026
Pooled vehicle RAUM · $49B to $40B
Jan 28, 2026 to Mar 31, 2026
RAUM · $364B to $428B
Jan 28, 2026 to Mar 31, 2026
Wrap assets (manager) · $4.0B to $3.9B
Jan 28, 2026 to Mar 31, 2026
Private funds · 8 to 9
May 20, 2025 to Sep 18, 2025
Financial planning clients · unset to
Apr 29, 2025 to May 20, 2025
Private funds · 7 to 8
Apr 29, 2025 to May 20, 2025
Accounts · 6,824 to 7,399
Mar 4, 2025 to Apr 29, 2025
Advisory employees · 700 to 324
Mar 4, 2025 to Apr 29, 2025
BD registered reps · 277 to 290
Mar 4, 2025 to Apr 29, 2025
Charity clients · 22 to 208
Mar 4, 2025 to Apr 29, 2025
Corporate clients · 149 to 352
Mar 4, 2025 to Apr 29, 2025
HNW clients · 324 to 323
Mar 4, 2025 to Apr 29, 2025
Individual clients · 5,476 to 5,842
Mar 4, 2025 to Apr 29, 2025
Pension plan clients · 553 to 446
Mar 4, 2025 to Apr 29, 2025
Assets in custody · $78B to $85B
Mar 4, 2025 to Apr 29, 2025
Employees · 1,955 to 1,350
Mar 4, 2025 to Apr 29, 2025
State-registered IARs · 123 to 115
Mar 4, 2025 to Apr 29, 2025
Other offices · 19 to 21
Mar 4, 2025 to Apr 29, 2025
Private funds · 4 to 7
Mar 4, 2025 to Apr 29, 2025
Discretionary RAUM · $369B to $356B
Mar 4, 2025 to Apr 29, 2025
Non-discretionary RAUM · $8.2B to $8.4B
Mar 4, 2025 to Apr 29, 2025

Signals

60 dated events

Grace Dawn Klopstad left Principal Asset Management for Westend Advisors, LLC (registered 2026-09-14)
Sep 1, 2026 · Advisor changed firm · fact
Jeffrey Alan Trier left Principal Asset Management for Integrity Alliance, Llc (registered 2026-09-01)
Aug 27, 2026 · Advisor changed firm · fact
Emily Joyce Marr left Principal Asset Management for Principal Securities, Inc. (registered 2026-08-27)
Aug 27, 2026 · Advisor changed firm · fact
Trevor William Deubner left Principal Asset Management for Westend Advisors, Llc (registered 2026-07-14)
Jun 23, 2026 · Advisor changed firm · fact
Michelle Renee Stockman left Principal Asset Management for Integrity Alliance, Llc (registered 2026-04-24)
Apr 24, 2026 · Advisor changed firm · fact
Sumit Agarwal left Principal Asset Management for Proshare Advisors Llc (registered 2026-03-30)
Jan 13, 2026 · Advisor changed firm · fact
Thomas Scott Hendricks left Principal Asset Management for Foster Group, Inc. (registered 2025-11-21)
Nov 4, 2025 · Advisor changed firm · fact
Henry Mccomb Winchester left Principal Asset Management for Columbia Management Investment Advisers, Llc (registered 2025-10-15)
Oct 7, 2025 · Advisor changed firm · fact
Christian James Siebert left Principal Asset Management for Integrity Alliance, Llc (registered 2025-09-15)
Sep 23, 2025 · Advisor changed firm · fact
Lauren Kathryn Matteo left Principal Asset Management for Blackrock Investment Management, Llc (registered 2025-09-23)
Sep 8, 2025 · Advisor changed firm · fact
Tyler Dubay left Principal Asset Management for Cohen & Steers Capital Management Inc. (registered 2025-08-15)
Aug 13, 2025 · Advisor changed firm · fact
Jessica Ann Henricksen left Principal Asset Management for Onedigital (registered 2025-05-23)
Mar 27, 2025 · Advisor changed firm · fact
Kate A Davidson left Principal Asset Management for T. Rowe Price Associates, Inc. (registered 2025-03-19)
Jan 17, 2025 · Advisor changed firm · fact
Lauren Elizabeth Miller left Principal Asset Management for John Hancock Investment Management Llc (registered 2024-10-29)
Oct 9, 2024 · Advisor changed firm · fact
Wesley A Urick left Principal Asset Management for Northern Trust Investments, Incorporated (registered 2024-10-28)
Sep 11, 2024 · Advisor changed firm · fact
Bradley James Hanus left Principal Asset Management for Cache Advisors Llc (registered 2024-08-26)
Aug 14, 2024 · Advisor changed firm · fact
Scott Michael Sams left Principal Asset Management for North Capital (registered 2026-06-17)
Aug 1, 2024 · Advisor changed firm · fact
Jason Lee Miller left Principal Asset Management for Thornburg Investment Management Inc (registered 2025-12-02)
Jun 21, 2024 · Advisor changed firm · fact
Charles Carlos Estes left Principal Asset Management for Principal Securities, Inc. (registered 2024-05-22)
May 2, 2024 · Advisor changed firm · fact
Paul Schieber left Principal Asset Management for Fidelity Personal And Workplace Advisors (registered 2024-09-24)
Apr 1, 2024 · Advisor changed firm · fact
Barbara Wenig (Global Head Of Operations) appeared on Schedule A of Principal Asset Management
Mar 27, 2024 · Control person joined · fact
Gregory Patrick Halter (Senior Executive Director/Chief Executive Officer & President) no longer on Schedule A of Principal Asset Management (listed 2023-11-03, absent 2024-03-27)
Mar 27, 2024 · Control person left · inference
Allen Timothy Hill (Senior Executive Managing Director) appeared on Schedule A of Principal Asset Management
Mar 27, 2024 · Control person joined · fact
Principal Asset Management reported RAUM $377.2B, up 35% from $279.1B (2023-11-03 to 2024-03-27)
Mar 27, 2024 · RAUM change · derived
Ian B Wetherell left Principal Asset Management for Lpl Financial Llc (registered 2024-03-12)
Mar 1, 2024 · Advisor changed firm · fact
Alisa Lauren Guetzkow left Principal Asset Management for Fidelity Institutional Wealth Adviser Llc (registered 2024-10-08)
Mar 1, 2024 · Advisor changed firm · fact
George Djurasovic (General Counsel) appeared on Schedule A of Principal Asset Management
Nov 1, 2023 · Control person joined · fact
Michael David Blake (Global Head Of Public Markets) no longer on Schedule A of Principal Asset Management (listed 2023-04-06, absent 2023-11-01)
Nov 1, 2023 · Control person left · inference
Douglas Michael Beard left Principal Asset Management for Fidelity Personal And Workplace Advisors (registered 2024-09-11)
Nov 1, 2023 · Advisor changed firm · fact
Hubert Waldo Stokes left Principal Asset Management for Edward Jones (registered 2024-02-12)
Nov 1, 2023 · Advisor changed firm · fact

Across DFX

shared identifiers only, never a name match

Principal Asset Management · Independent Sponsors
shared crd · capital_provider
Principal Global Investors · Private Equity
shared crd · intermediary

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/principal-asset-managementreportedpublic record, Form ADV, Sep 17, 2026
Website: principalcef.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 800-787-1621reportedpublic record, Form ADV, May 28, 2026

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: Other adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $3.5Bderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026