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 Global Investors (Hong Kong) Limited

Former SEC-registered adviserWan Chai, CRD 296751SEC 801-113253IAPD
Latest filing Nov 14, 2022
First filing on the tape Apr 18, 2018 · 13 filings
RAUM
$3.4B
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
25
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$3.4B as of Mar 30, 2022
Mar 27, 2019$5.8B then
HNW client RAUM$0 as of Mar 30, 2022
Mar 29, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 27, 20190 then
Employees (5.A)25 as of Mar 30, 2022
Mar 27, 201919 then
Private funds: no history
RAUM -41% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 14, 2022; 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
$136MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.7%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
-41%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 assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.6B47%
  • Banks and thrifts$1.5B45%
  • Sovereign wealth funds$237M7.0%
  • Corporations and businesses$35.6M1.0%
  • Pension and profit-sharing plans$22.9M0.7%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
3reported
Charitable clients
0reported
Accounts
25reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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
      • Wee Yee (Thomas) Cheong · Directorcontrol
        since 05/2019 · owns less than 5%
      • Thomas Justin Lange · Chief Compliance Officercontrol
        since 10/2022 · owns less than 5%
      • Paul Mcconomy · Directorcontrol
        since 04/2021 · owns less than 5%
      • Ann Barbara Mckenzie · Director
        since 09/2008 · owns less than 5%
      • Kirk Kenneth West · Director
        since 09/2008 · owns less than 5%
      Entity owners
      • Principal Global Investors Holding Company, 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, LLC
      Related persons
      Schedule D 7.A
      • Clairtas Investments Ltd
        investment adviserpooled vehicle sponsorn
      • Delaware Charter Guarantee & Trust Company
        n
      • Principal Origin
        investment adviserpooled vehicle sponsornRAUM $4.6B
      • Post Advisory Group, LLC
        investment adviserbankpooled vehicle sponsornRAUM $13B
      • Principal Advised Services
        investment advisernRAUM $1.4B
      • Principal Bank
        custodiann
      • Principal Enterprise Capital, LLC
        investment advisern
      • Principal Funds Distributor, Inc.
        broker-dealern
      • Principal Global Investors (Australia) Limited
        investment advisern
      • Principal Global Investors (Eu) Limited
        investment advisern
      • Principal Global Investors (Europe) Limited
        investment advisern
      • Principal Global Investors (Ireland) Limited
        investment adviserpooled vehicle sponsorn
      • Principal Global Investors (Japan) Ltd
        investment adviserpooled vehicle sponsorn
      • Principal Global Investors (Singapore) Ltd
        investment advisern
      • Principal Global Investors (Switzerland) Gmbh
        investment advisern
      • Principal Global Investors Trust Company
        n
      • Principal Asset Management
        investment adviserbankpooled vehicle sponsornRAUM $428B
      • Principal Life Insurance Company
        real estaten
      • Principal Real Estate
        investment adviserpooled vehicle sponsornRAUM $106B
      • Principal Real Estate Kapitalverwaltungsgesellschaft Mbh
        investment adviserpooled vehicle sponsorn
      • Principal Real Estate Limited
        investment adviserpooled vehicle sponsorn
      • Principal Real Estate S.A.R.L.
        investment adviserpooled vehicle sponsorn
      • Principal Real Estate Sas
        investment adviserpooled vehicle sponsorn
      • Principal Real Estate Spezialfondsgesellschaft Mbh
        investment adviserpooled vehicle sponsorn
      • Principal Securities, Inc.
        broker-dealerinvestment advisernRAUM $17B
      • Robustwealth, Inc.
        investment advisernRAUM $856M
      • Spectrum Asset Management, Inc.
        broker-dealernRAUM $24B
      • Spectrum Asset Management, Inc.
        investment adviserbanknRAUM $18B
      Advisers that list Principal Global Investors (Hong Kong) Limited as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 25
        Mar 16, 2021 to Mar 30, 2022
      • Corporate clients · 0 to 2
        Mar 16, 2021 to Mar 30, 2022
      • Pension plan clients · 0 to 3
        Mar 16, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 4 to 16
        Mar 16, 2021 to Mar 30, 2022
      • Employees · 24 to 25
        Mar 16, 2021 to Mar 30, 2022
      • Financial planning clients · 0 to 1-10
        Mar 16, 2021 to Mar 30, 2022
      • Discretionary RAUM · $5.7B to $3.4B
        Mar 16, 2021 to Mar 30, 2022
      • Pension RAUM · $218M to $22.9M
        Mar 16, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $5.0B to $1.6B
        Mar 16, 2021 to Mar 30, 2022
      • RAUM · $5.7B to $3.4B
        Mar 16, 2021 to Mar 30, 2022
      • Accounts · 7 to 8
        Mar 30, 2020 to Mar 16, 2021
      • Advisory activities · 2 to 1
        Mar 30, 2020 to Mar 16, 2021
      • Employees · 25 to 24
        Mar 30, 2020 to Mar 16, 2021
      • Discretionary RAUM · $4.4B to $5.7B
        Mar 30, 2020 to Mar 16, 2021
      • Pension RAUM · $208M to $218M
        Mar 30, 2020 to Mar 16, 2021
      • Pooled vehicle RAUM · $3.9B to $5.0B
        Mar 30, 2020 to Mar 16, 2021
      • RAUM · $4.4B to $5.7B
        Mar 30, 2020 to Mar 16, 2021
      • Accounts · 8 to 7
        Mar 27, 2019 to Mar 29, 2020
      • Advisory employees · 7 to 8
        Mar 27, 2019 to Mar 29, 2020
      • Pooled vehicle clients · 5 to 4
        Mar 27, 2019 to Mar 29, 2020
      • Employees · 19 to 25
        Mar 27, 2019 to Mar 29, 2020
      • Financial planning clients · unset to 0
        Mar 27, 2019 to Mar 29, 2020
      • Discretionary RAUM · $5.8B to $4.4B
        Mar 27, 2019 to Mar 29, 2020
      • HNW RAUM · unset to 0.0
        Mar 27, 2019 to Mar 29, 2020
      • Individual RAUM · unset to 0.0
        Mar 27, 2019 to Mar 29, 2020
      • Pension RAUM · $166M to $208M
        Mar 27, 2019 to Mar 29, 2020
      • Pooled vehicle RAUM · $5.2B to $3.9B
        Mar 27, 2019 to Mar 29, 2020
      • RAUM · $5.8B to $4.4B
        Mar 27, 2019 to Mar 29, 2020
      • Related broker-dealer · false to true
        Mar 27, 2019 to Mar 29, 2020
      • Accounts · 2 to 8
        Oct 29, 2018 to Mar 27, 2019
      • Advisory employees · 8 to 7
        Oct 29, 2018 to Mar 27, 2019
      • Charity clients · unset to 0.0
        Oct 29, 2018 to Mar 27, 2019
      • Corporate clients · unset to 0.0
        Oct 29, 2018 to Mar 27, 2019
      • HNW clients · unset to 0.0
        Oct 29, 2018 to Mar 27, 2019
      • Individual clients · unset to 0.0
        Oct 29, 2018 to Mar 27, 2019
      • Pension plan clients · unset to 0.0
        Oct 29, 2018 to Mar 27, 2019
      • Pooled vehicle clients · 1 to 5
        Oct 29, 2018 to Mar 27, 2019
      • Employees · 18 to 19
        Oct 29, 2018 to Mar 27, 2019
      • Discretionary RAUM · $7.1B to $5.8B
        Oct 29, 2018 to Mar 27, 2019
      • Pension RAUM · $193M to $166M
        Oct 29, 2018 to Mar 27, 2019
      Signals
      9 dated events
      • Thomas Justin Lange (Chief Compliance Officer) appeared on Schedule A of Principal Global Investors (Hong Kong) Limited
        Oct 10, 2022 · Control person joined · fact
      • Principal Global Investors (Hong Kong) Limited reported RAUM $3.4B, down 41% from $5.7B (2021-03-16 to 2022-03-30)
        Mar 30, 2022 · RAUM change · derived
      • Nicholas Lyster (Director) no longer on Schedule A of Principal Global Investors (Hong Kong) Limited (listed 2021-03-16, absent 2022-03-30)
        Mar 30, 2022 · Control person left · inference
      • Paul Mcconomy (Director) appeared on Schedule A of Principal Global Investors (Hong Kong) Limited
        Mar 30, 2022 · Control person joined · fact
      • Principal Global Investors (Hong Kong) Limited reported RAUM $5.7B, up 30% from $4.4B (2020-03-30 to 2021-03-16)
        Mar 16, 2021 · RAUM change · derived
      • Nicholas Lyster (Director) appeared on Schedule A of Principal Global Investors (Hong Kong) Limited
        Mar 30, 2020 · Control person joined · fact
      • Paul Mcconomy (Director) appeared on Schedule A of Principal Global Investors (Hong Kong) Limited
        Mar 30, 2020 · Control person joined · fact
      • Wee Yee (Thomas) Cheong (Director) appeared on Schedule A of Principal Global Investors (Hong Kong) Limited
        Mar 30, 2020 · Control person joined · fact
      • Principal Global Investors (Hong Kong) Limited filed its initial SEC registration (Form ADV)
        Apr 18, 2018 · First SEC registration · fact
      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