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 Advised Services
Legal name Principal Advised Services, LLC
Latest filing Jul 10, 2026
First filing on the tape Nov 14, 2018 · 35 filings
SEC status approved since Dec 14, 2018
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.4B individuals and HNW
Advisors
224
registered through the firm on IAPD
RAUM per advisor
$6.4M
derived; firm RAUM over IAPD count
Employees
383
230 advisory (5.B.1)
Offices
92
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$1.4B as of Jul 10, 2026
Mar 19, 2019$0 then
HNW client RAUM$89.7M as of Jul 10, 2026
Mar 19, 2019$0 then
State-registered IARs (5.B.3)227 as of Jul 10, 2026
Mar 19, 201916 then
Employees (5.A)383 as of Jul 10, 2026
Mar 19, 201946 then
Private funds: no history
RAUM +60% over the last fiscal year+59% a year over threeIARs 211 to 227offices 157 to 92
Practice profile
derived from the filing of Jul 10, 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)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $6.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 103derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $61,426derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 2.4derived93 offices incl. principal (1.F.5)
- RAUM growth, one year
- +60%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.6%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +37%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $1.4BreportedItem 5.I
- Custody
- $68.3M, 289 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)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.3B94%
- High-net-worth individuals$89.7M6.3%
- Individual clients
- 23,100reported
- HNW clients
- 64reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 23,164reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $68.3M for 289 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=245.0derived
Advisors registered through the firm
225 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Stanley Eugene PoormanCertified Financial Planner | Des Moines, Ia | Dec 14, 2018 | 18 y | 6 |
| Scott Allen ChristensenChartered Financial Analyst | Des Moines, Ia | Dec 14, 2018 | 12 y | 0 |
| Brandy Sue LampCertified Financial Planner, Chartered Financial Consultant | Urbandale, Ia | Apr 26, 2019 | 35 y | 1 |
| Dirk JohnstonCertified Financial Planner | Des Moines, Ia | Jul 28, 2021 | 14 y | 1 |
| Jesse S Froning | Norwalk, Ia | Jan 20, 2022 | 19 y | 2 |
| Vincent Isidoro Fiore | Bayside, Ny | Oct 30, 2022 | 30 y | 0 |
| Todd Lee Hall | Edgewater, Md | Oct 30, 2022 | 26 y | 2 |
| Lawrence Dale St John | Des Moines, Ia | Oct 30, 2022 | 22 y | 0 |
| Jeremy Joseph Smalley | Minneapolis, Mn | Oct 30, 2022 | 21 y | 1 |
| Craig J Engel | Crown Point, In | Oct 30, 2022 | 14 y | 3 |
| Jose-Luis Daniel Montiel | Denver, Co | Oct 31, 2022 | 21 y | 2 |
| William Kevin Burton | Conroe, Tx | Oct 31, 2022 | 27 y | 3 |
| Angelica Mendiola | Dallas, Tx | Oct 31, 2022 | 10 y | 1 |
| Thomas Edward Sueppel | Des Moines, Ia | Oct 31, 2022 | 23 y | 0 |
| Windy Sukming Seto | Vancouver, Wa | Oct 31, 2022 | 24 y | 2 |
| Joshua Ryan Kight | Charlotte, Nc | Oct 31, 2022 | 19 y | 1 |
| Susanna Harper Hartwig | Dallas, Tx | Oct 31, 2022 | 27 y | 1 |
| Paul Evan Kranich | Citrus Heights, Ca | Nov 3, 2022 | 14 y | 2 |
| Cullen Bartholomew Mcgloin | Tonawanda, Ny | Nov 3, 2022 | 32 y | 0 |
| Catherine Elizabeth Francis | Estero, Fl | Jan 3, 2023 | 10 y | 2 |
| Scott Stephen Cheeseman | Orlando, Fl | Jan 3, 2023 | 19 y | 2 |
| Brian P Barnes | Charlotte, Nc | Feb 15, 2023 | 18 y | 0 |
| Angel Love | Des Moines, Ia | Apr 24, 2023 | 13 y | 0 |
| Andrew James Paolini | Belmont, Nc | Jun 23, 2023 | 16 y | 1 |
| Bradley Benjamin PullChartered Financial Consultant | Ackworth, Ia | Jul 28, 2023 | 29 y | 0 |
| Michael Joseph AdelmanChartered Financial Consultant | Omaha, Ne | Jul 31, 2023 | 13 y | 0 |
| Jennifer Darlene SchumannChartered Financial Consultant | Des Moines, Ia | Jul 31, 2023 | 28 y | 0 |
| Adam Joel Block | Cedar Falls, Ia | Jul 31, 2023 | 10 y | 0 |
| Shannon Kirk ObertChartered Financial Consultant | Coon Rapids, Ia | Jul 31, 2023 | 29 y | 0 |
| Jeremy Fernandez | Ames, Ia | Jul 31, 2023 | 21 y | 1 |
| Paul Noble Gould | Yardley, Pa | Sep 27, 2023 | 28 y | 3 |
| George Jerome Wilson | Des Moines, Ia | Dec 1, 2023 | 15 y | 0 |
| Ryan B Robinson | Lake Wylie, Sc | Dec 1, 2023 | 11 y | 0 |
| Jennifer Marie Kilzer | Grand Island, Ne | Dec 19, 2023 | 21 y | 0 |
| Lori Ann Calloway | Frankfort, In | Jan 5, 2024 | 22 y | 1 |
| Stuart Roy Van Ess | Bloomington, Mn | Feb 5, 2024 | 13 y | 1 |
| Ryan Steffen | Des Moines, Ia | Feb 7, 2024 | 11 y | 0 |
| Eric Vanderleek | Des Moines, Ia | Feb 8, 2024 | 29 y | 2 |
| Daniel S Schueren | Bethesda, Md | Feb 19, 2024 | 15 y | 1 |
| Orlando John Ricci | Mooresville, Nc | Feb 21, 2024 | 18 y | 0 |
Advisor movement
24 left, 17 joined in 12 months
net -7 in 12 months7 left in 90 days3 joined in 90 daysdeparture rate 11% of current headcount43 left over 36 months
Left, latest
- Thomas Alexander Strouse to Principal Securities, Inc.Aug 18, 2026 · Affiliated broker-dealer or bank to another
- John Michael Jacobsen to Edward JonesAug 4, 2026 · Affiliated broker-dealer or bank to another
- Cameron Joe Mckee to Advice And Planning ServicesJul 14, 2026 · Affiliated broker-dealer or bank to another
- Grant Thomas Booterbaugh to Advice And Planning ServicesJul 14, 2026 · Affiliated broker-dealer or bank to another
- David Andrew Wynstra to Principal Securities, Inc.Jul 13, 2026 · Affiliated broker-dealer or bank to another
- Thomas Edward Murray to Advice And Planning ServicesJun 30, 2026 · Affiliated broker-dealer or bank to another
- Jonathan Taylor Helak to Principal Securities, Inc.Jun 30, 2026 · Affiliated broker-dealer or bank to another
- Jacob Albert Smith to Advice And Planning ServicesJun 11, 2026 · Affiliated broker-dealer or bank to another
- Scott Jeffrey Breitkreutz to Principal Securities, Inc.May 21, 2026 · Affiliated broker-dealer or bank to another
- Amanda Louise Pritchard to Fisher InvestmentsMay 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- Benjamin Scott Topping to Fisher InvestmentsMay 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- Crysta Larae Berry to Principal Securities, Inc.Apr 30, 2026 · Affiliated broker-dealer or bank to another
- Ian Michael Stratman to Stonebridge Wealth Systems LLCApr 16, 2026 · Affiliated broker-dealer or bank to independent RIA
- Austin M Siefers to Principal Securities, Inc.Apr 13, 2026 · Affiliated broker-dealer or bank to another
- Patrick Muaba Kapiamba to Advice And Planning ServicesApr 10, 2026 · Affiliated broker-dealer or bank to another
Joined, latest
- Kyle Joseph Machiz from Wells Fargo AdvisorsJul 28, 2026 · Wirehouse to affiliated broker-dealer or bank
- Joshua Matthew Hurt from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 28, 2026 · Wirehouse to affiliated broker-dealer or bank
- Adam Lucart from LPL Enterprise, LLCJun 25, 2026 · Affiliated broker-dealer or bank to another
- Michael Alan Maddock from Ameriprise Financial Services, LLCJun 15, 2026 · Affiliated broker-dealer or bank to another
- Thomas J Riggers from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 2, 2026 · Wirehouse to affiliated broker-dealer or bank
- Yesenia Denisse Burgos from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 1, 2026 · Wirehouse to affiliated broker-dealer or bank
- Draven Henderson from Edward JonesMay 29, 2026 · Affiliated broker-dealer or bank to another
- Devin Michael Young from Goldman Sachs Wealth Services, L.P.May 26, 2026 · Affiliated broker-dealer or bank to another
- Christopher Michael Stokes from J.P. Morgan Securities LLCMay 4, 2026 · Wirehouse to affiliated broker-dealer or bank
- William Robert Grace from Vanguard Advisers, Inc.May 4, 2026 · Affiliated broker-dealer or bank to another
- Silas Paul Winders from Thrivent Investment Management Inc.May 4, 2026 · Affiliated broker-dealer or bank to another
- Robert L Reece from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 23, 2026 · Wirehouse to affiliated broker-dealer or bank
- Bryan Repishti from Strategic Advisers LLCMar 20, 2026 · Affiliated broker-dealer or bank to another
- Shaun Michael Felber from Fidelity Personal And Workplace AdvisorsFeb 6, 2026 · Affiliated broker-dealer or bank to another
- Alec Luna from Bankers Life Advisory Services, Inc.Jan 23, 2026 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Principal Securities, Inc.Jun 30, 2026 · W Des Moines, Ia
- 3 left for Advice And Planning ServicesJun 30, 2026 · Charlotte, Nc
- 2 joined from Citigroup Global Markets Inc.Apr 4, 2024 · Ofallon, Mo
- 2 joined from Charles Schwab & Co., Inc.Jan 10, 2024 · Tampa, Fl
- 5 joined from Principal Securities, Inc.Nov 26, 2023 · Charlotte, Nc
- 2 joined from Principal Securities, Inc.Oct 30, 2022 · Des Moines, Ia
- 2 joined from Wells Fargo AdvisorsMay 24, 2022 · St Louis, Mo
- 2 joined from Wells Fargo AdvisorsJun 25, 2021 · Charlotte, Nc
- 2 joined from Wells Fargo AdvisorsApr 8, 2021 · Roseville, Mn
- 2 joined from Principal Securities, Inc.Apr 2, 2019 · Des Moines, Ia
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Christopher Agbe-Davies · Assistant Corporate Secretarycontrolsince 01/2025 · owns less than 5%
- Allen Scott Christensen · Directorcontrolsince 03/2025 · owns less than 5%
- Diane Kori Cusick · Chief Supervision Officercontrolsince 03/2023 · owns less than 5%
- Miller Justin Deasy · Associate General Counsel And Corporate Secretarycontrolsince 09/2021 · owns less than 5%
- Douglas Ryan Downing · Directorcontrolsince 07/2021 · owns less than 5%
- Loretta Janet Fossell · Chief Operations Officercontrolsince 11/2018 · owns less than 5%
- Bryant Fuller · Chief Product Officercontrolsince 06/2026 · owns less than 5%
- Elizabeth Megan Jennings · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- Scott Gregory Long · Chief Marketing Officercontrolsince 09/2021 · owns less than 5%
- M Amy Montford · Chief Operating Officercontrolsince 01/2026 · owns less than 5%
- Francis Michael Murray · Directorcontrolsince 03/2025 · owns less than 5%
- Steven Brian Ness · Directorcontrolsince 12/2020 · owns less than 5%
- Wayne Bradley Norton · Chief Operations Officercontrolsince 03/2025 · owns less than 5%
- Michael Polich · Chief Investment Officercontrolsince 01/2025 · owns less than 5%
- Andrew David Rigler · Chief Financial Officercontrolsince 03/2024 · owns less than 5%
- S Joseph Sicchitano · Chief Executive Officercontrolsince 01/2026 · owns less than 5%
- Marshall Matthew Smith · Chief Financial Officercontrolsince 06/2026 · owns less than 5%
- R Nisha Suresh · Chief Technology Officercontrolsince 03/2024 · owns less than 5%
- Eric Vanderleek · Chief Sales Officercontrolsince 08/2022 · owns less than 5%
- Simon Daniel Vanwinkle · Anti-Money Laundering Officercontrolsince 01/2025 · owns less than 5%
- Barbara Wenig · Directorcontrolsince 10/2021 · owns less than 5%
- Jo Sara Wiener · Directorcontrolsince 12/2020 · owns less than 5%
- Blake Heather Winston · Chief Product Officercontrolsince 03/2020 · owns less than 5%
- Jean Janis Winterhof · Directorcontrolsince 03/2021 · owns less than 5%
- M Danna Robinson Saathoff · Chief Learning Officersince 09/2021 · owns less than 5%
Entity owners
- Principal Holding Company, LLC · Ownerdirect · owns 75% or more
- Principal Financial Group, Inc. · Ownerindirect · owns 75% or more of Principal Financial Services, Inc. · public reporting company
- Principal Financial Services, Inc. · Ownerindirect · owns 75% or more of Principal Life Insurance Company
- Principal Life Insurance Company · Ownerindirect · owns 75% or more of Principal Holding Company, LLC
Related persons
Schedule D 7.A
- Delaware Charter Guarantee & Trust Companyn
- Preferred Product Network, Inc.real estaten
- Principal Banky
- Principal Global Investors (Ireland) Limitedinvestment adviserpooled vehicle sponsorn
- Principal Global Investors Trust Companyn
- Principal Asset Managementinvestment adviserbankpooled vehicle sponsorLP sponsornRAUM $428B
- Principal Life Insurance Companyreal estatey
- Principal National Life Insurance Companyreal estaten
- Principal Securities, Inc.broker-dealerinvestment advisernRAUM $17B
- Principal Shareholder Services Incn
Advisers that list Principal Advised Services as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc | 55 | 18 | 8 | 1 | |
| Des Moines, Ia · principal | 41 | 5 | 3 | ||
| West Des Moines, Ia | 6 | 2 | 0 | ||
| Ankeny, Ia | 4 | 0 | 0 | ||
| Norwalk, Ia | 4 | 1 | 0 | ||
| Denver, Co | 3 | 2 | 0 | ||
| Saint Paul, Mn | 3 | 0 | 0 | ||
| Urbandale, Ia | 3 | 0 | 0 | ||
| Grand Island, Ne | 2 | 0 | 0 | ||
| Saint Louis, Mo | 2 | 0 | 1 | ||
| Tampa, Fl | 2 | 1 | 0 | ||
| W Des Moines, Ia | 2 | 0 | 1 | 1 | |
| Dallas, Tx | 2 | 0 | 0 | ||
| Gastonia, Nc | 2 | 0 | 0 | ||
| Waterloo, Ia | 1 | 0 | 2 | ||
| Minneapolis, Mn | 1 | 0 | 1 | ||
| Cedar Falls, Ia | 1 | 0 | 0 | ||
| Mooresville, Nc | 1 | 0 | 1 | ||
| Saint Libory, Ne | 1 | 0 | 2 | ||
| Phoenix, Az | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC5 employees
- Denver, CO2 employees
- , 1 employees
ADV anomalies
18 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 10, 2026MURRAY, MICHAEL, FRANCIS (DIRECTOR) appeared on Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026Sicchitano, Joseph, S (CHIEF EXECUTIVE OFFICER) appeared on Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026VanWinkle, Daniel, Simon (ANTI-MONEY LAUNDERING OFFICER) appeared on Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026NORTON, BRADLEY, WAYNE (CHIEF OPERATIONS OFFICER) appeared on Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026FULLER, BRYANT (CHIEF PRODUCT OFFICER) appeared on Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026Polich, Michael (CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026Agbe-Davies, Christopher (ASSISTANT CORPORATE SECRETARY) appeared on Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026Smith, Matthew, Marshall (CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026Cusick, Kori, Diane (CHIEF SUPERVISION OFFICER) left Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026FOSSELL, JANET, LORETTA (CHIEF OPERATIONS OFFICER) left Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026WINSTON, HEATHER, BLAKE (CHIEF PRODUCT OFFICER) left Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026WIENER, SARA, JO (DIRECTOR) left Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026RIGLER, DAVID, ANDREW (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026JENNINGS, MEGAN, ELIZABETH (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026WINTERHOF, JANIS, JEAN (DIRECTOR) left Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 10, 2026suresh, nisha, R (CHIEF TECHNOLOGY OFFICER) left Schedule A between the filings of 2024-04-25 and 2026-07-10peers: affiliated wealth managers, $1B to $5B (56)
- office count dropChange between filings · filing Apr 28, 2026offices other than the principal office (Item 1.F.5) moved from 157.0 to 92.0 (-41.0%) between the annual amendments of 2025-04-02 and 2026-04-28; the peer median change was 0.0% (52 comparable advisers, 0.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (52) · 0.0% percentile
- RAUM up 50 %Change between filings · filing Apr 28, 2026RAUM (Item 5.F) moved from $887,316,440 to $1,422,868,428 (+60.0%) between the annual amendments of 2025-04-02 and 2026-04-28; the peer median change was +22.0% (52 comparable advisers, 98.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (52) · 98% percentile
What changed
consecutive filings, newest first
- Assets in custody · $50.4M to $68.3MMar 31, 2026 to Apr 28, 2026
- Accounts · 16,940 to 23,164Jan 6, 2026 to Mar 31, 2026
- Advisory employees · 215 to 230Jan 6, 2026 to Mar 31, 2026
- Advisory activities · 3 to 2Jan 6, 2026 to Mar 31, 2026
- BD registered reps · 238 to 245Jan 6, 2026 to Mar 31, 2026
- HNW clients · 35 to 64Jan 6, 2026 to Mar 31, 2026
- Individual clients · 16,905 to 23,100Jan 6, 2026 to Mar 31, 2026
- Assets in custody · $34.8M to $50.4MJan 6, 2026 to Mar 31, 2026
- Employees · 343 to 383Jan 6, 2026 to Mar 31, 2026
- Insurance-licensed employees · 7 to 8Jan 6, 2026 to Mar 31, 2026
- State-registered IARs · 211 to 227Jan 6, 2026 to Mar 31, 2026
- Other offices · 157 to 92Jan 6, 2026 to Mar 31, 2026
- Discretionary RAUM · $887M to $1.4BJan 6, 2026 to Mar 31, 2026
- HNW RAUM · $52.1M to $89.7MJan 6, 2026 to Mar 31, 2026
- Individual RAUM · $835M to $1.3BJan 6, 2026 to Mar 31, 2026
- RAUM · $887M to $1.4BJan 6, 2026 to Mar 31, 2026
- Accounts · 11,801 to 16,940Nov 5, 2024 to Apr 2, 2025
- Advisory employees · 58 to 215Nov 5, 2024 to Apr 2, 2025
- Advisory activities · 2 to 3Nov 5, 2024 to Apr 2, 2025
- BD registered reps · 52 to 238Nov 5, 2024 to Apr 2, 2025
- HNW clients · 15 to 35Nov 5, 2024 to Apr 2, 2025
- Individual clients · 11,786 to 16,905Nov 5, 2024 to Apr 2, 2025
- Assets in custody · $21.9M to $34.8MNov 5, 2024 to Apr 2, 2025
- Employees · 140 to 343Nov 5, 2024 to Apr 2, 2025
- Insurance-licensed employees · 4 to 7Nov 5, 2024 to Apr 2, 2025
- Financial planning clients · 0 to 1-10Nov 5, 2024 to Apr 2, 2025
- State-registered IARs · 53 to 211Nov 5, 2024 to Apr 2, 2025
- Other offices · 46 to 157Nov 5, 2024 to Apr 2, 2025
- Discretionary RAUM · $569M to $887MNov 5, 2024 to Apr 2, 2025
- HNW RAUM · $22.9M to $52.1MNov 5, 2024 to Apr 2, 2025
- Individual RAUM · $547M to $835MNov 5, 2024 to Apr 2, 2025
- RAUM · $569M to $887MNov 5, 2024 to Apr 2, 2025
- Accounts · 8,370 to 11,801Jan 3, 2024 to Mar 29, 2024
- Advisory employees · 43 to 58Jan 3, 2024 to Mar 29, 2024
- BD registered reps · 45 to 52Jan 3, 2024 to Mar 29, 2024
- HNW clients · 5 to 15Jan 3, 2024 to Mar 29, 2024
- Individual clients · 8,365 to 11,786Jan 3, 2024 to Mar 29, 2024
- Assets in custody · $15.3M to $21.9MJan 3, 2024 to Mar 29, 2024
- Employees · 115 to 140Jan 3, 2024 to Mar 29, 2024
- Insurance-licensed employees · 1 to 4Jan 3, 2024 to Mar 29, 2024
Signals
60 dated events
- Lynn Margaret Cowman added a IA registration at Principal Advised ServicesSep 16, 2026 · New state registration · fact
- Lynn Margaret Cowman added a SD registration at Principal Advised ServicesSep 15, 2026 · New state registration · fact
- Thomas Alexander Strouse left Principal Advised Services for Principal Securities, Inc. (registered 2026-09-11)Aug 18, 2026 · Advisor changed firm · fact
- John Michael Jacobsen left Principal Advised Services for Edward Jones (registered 2026-08-17)Aug 4, 2026 · Advisor changed firm · fact
- Grant Thomas Booterbaugh left Principal Advised Services for Advice And Planning Services (registered 2026-07-28)Jul 14, 2026 · Advisor changed firm · fact
- Cameron Joe Mckee left Principal Advised Services for Advice And Planning Services (registered 2026-07-24)Jul 14, 2026 · Advisor changed firm · fact
- David Andrew Wynstra left Principal Advised Services for Principal Securities, Inc. (registered 2026-07-08)Jul 13, 2026 · Advisor changed firm · fact
- Thomas Edward Murray left Principal Advised Services for Advice And Planning Services (registered 2026-08-03)Jun 30, 2026 · Advisor changed firm · fact
- Jonathan Taylor Helak left Principal Advised Services for Principal Securities, Inc. (registered 2026-06-30)Jun 30, 2026 · Advisor changed firm · fact
- 2 advisors left Principal Advised Services (W Des Moines, IA) for Principal Securities, Inc. within 13 daysJun 30, 2026 · Team lift-out · derived
- 3 advisors left Principal Advised Services (Charlotte, NC) for Advice And Planning Services within 14 daysJun 30, 2026 · Team lift-out · derived
- Jacob Albert Smith left Principal Advised Services for Advice And Planning Services (registered 2026-07-24)Jun 11, 2026 · Advisor changed firm · fact
- Scott Jeffrey Breitkreutz left Principal Advised Services for Principal Securities, Inc. (registered 2026-06-25)May 21, 2026 · Advisor changed firm · fact
- Benjamin Scott Topping left Principal Advised Services for Fisher Investments (registered 2026-05-15)May 13, 2026 · Advisor changed firm · fact
- Amanda Louise Pritchard left Principal Advised Services for Fisher Investments (registered 2026-06-12)May 13, 2026 · Advisor changed firm · fact
- Crysta Larae Berry left Principal Advised Services for Principal Securities, Inc. (registered 2026-04-08)Apr 30, 2026 · Advisor changed firm · fact
- Ian Michael Stratman left Principal Advised Services for Stonebridge Wealth Systems Llc (registered 2026-04-16)Apr 16, 2026 · Advisor changed firm · fact
- Austin M Siefers left Principal Advised Services for Principal Securities, Inc. (registered 2026-04-13)Apr 13, 2026 · Advisor changed firm · fact
- Patrick Muaba Kapiamba left Principal Advised Services for Advice And Planning Services (registered 2026-04-22)Apr 10, 2026 · Advisor changed firm · fact
- Kathleen Germain Saba left Principal Advised Services for Ubs Financial Services Inc. (registered 2026-07-30)Apr 8, 2026 · Advisor changed firm · fact
- Heidi Breitkreutz left Principal Advised Services for Principal Securities, Inc. (registered 2026-04-02)Apr 2, 2026 · Advisor changed firm · fact
- Principal Advised Services reported RAUM $1.4B, up 60% from $887.3M (2026-01-06 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Principal Advised Services reported 92 offices beyond its principal office, down from 157 (2026-01-06 to 2026-03-31)Mar 31, 2026 · Office count change · derived
- Jacob Michael Bugica left Principal Advised Services for Nuveen Asset Management, Llc (registered 2026-02-20)Jan 26, 2026 · Advisor changed firm · fact
- Nora Kaye Hans left Principal Advised Services for Foundations Investment Advisors Llc (registered 2026-02-20)Jan 21, 2026 · Advisor changed firm · fact
- Nicholas Gorham left Principal Advised Services for Wells Fargo Advisors (registered 2026-03-27)Jan 21, 2026 · Advisor changed firm · fact
- Stephen Hynes Muldrow left Principal Advised Services for Principal Securities, Inc. (registered 2025-12-24)Jan 9, 2026 · Advisor changed firm · fact
- Isabelle Kling left Principal Advised Services for J.P. Morgan Securities Llc (registered 2026-04-29)Jan 7, 2026 · Advisor changed firm · fact
- Brendan Cole left Principal Advised Services for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-02-26)Dec 18, 2025 · Advisor changed firm · fact
- Kathleen M Korman left Principal Advised Services for Strategic Advisers Llc (registered 2026-01-24)Nov 4, 2025 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/PRINCIPALFINANCIALGROUPreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PRINCIPAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 866-412-0770reportedpublic record, Form ADV, Jul 10, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $6.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026