PRINCIPAL ADVISED SERVICES

Latest filing: Apr 02, 2025 (63 days ago)
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AUM

$887,316,440
56% change vs. 1 year ago
240% change vs. 3 years ago
2903% change vs. 5 years ago
0% change vs. 10 years ago

Employee Count

343
145% change vs. 1 year ago
285% change vs. 3 years ago
412% change vs. 5 years ago
0% change vs. 10 years ago

Main Office

DES MOINES, IA
655 9TH STREET, DES MOINES, IA, UNITED STATES, 50309

Client AUM

Discretion AUM
Discretionary $0.9
Non-Discretionary $0.0
Total $0.9
Client AUM
Retail $0.9
Pooled $0.0
Institutional $0.0
Total $0.9
Retail Accounts AUM
Individual 16,905 $0.8
Average Individual AUM $49,406
HNW 35 $0.1
Average HNW AUM $1,488,968
Retail Total 16,940 $0.9
Average Retail AUM $52,380

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM
APEX CLEARING CORPORATION DALLAS-TX-USA $0.6

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $0.9
Retail SMA AUM $0.9
Institutional SMA AUM $0.0
Asset Class % AUM
Equity Exch 0% $0.0
Equity Non-Exch 0% $0.0
Govt Agency 0% $0.0
Municipal 0% $0.0
Sovereign 0% $0.0
IG Credit 0% $0.0
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 98% $0.9
Other Pools 0% $0.0
Cash 2% $0.0
Other 0% $0.0
Total 100% $0.9

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
PRINCIPAL GLOBAL INVESTORS, LLC $364.0 109002
PRINCIPAL SECURITIES, INC. $14.8 broker-dealer 1137
PREFERRED PRODUCT NETWORK, INC. $0.0 -
PRINCIPAL GLOBAL INVESTORS (IRELAND) LIMITED $0.0 -
PRINCIPAL SHAREHOLDER SERVICES INC $0.0 trust company -
PRINCIPAL BANK $0.0 -
PRINCIPAL GLOBAL INVESTORS TRUST COMPANY $0.0 trust company -
PRINCIPAL NATIONAL LIFE INSURANCE COMPANY $0.0 -
PRINCIPAL LIFE INSURANCE COMPANY $0.0 -
DELAWARE CHARTER GUARANTEE & TRUST COMPANY $0.0 trust company -

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

21 active

Name Title
FOSSELL, JANET, LORETTA CHIEF OPERATIONS OFFICER
CHRISTENSEN, SCOTT, ALLEN CHIEF INVESTMENT OFFICER
WINSTON, HEATHER, BLAKE CHIEF PRODUCT OFFICER
WIENER, SARA, JO DIRECTOR
NESS, BRIAN, STEVEN DIRECTOR
WINTERHOF, JANIS, JEAN DIRECTOR
MONTFORD, AMY, M CHIEF EXECUTIVE OFFICER
DOWNING, RYAN, DOUGLAS DIRECTOR
LONG, GREGORY, SCOTT CHIEF MARKETING OFFICER
DEASY, JUSTIN, MILLER ASSISTANT GENERAL COUNSEL
ROBINSON SAATHOFF, DANNA, M CHIEF LEARNING OFFICER
WENIG, BARBARA DIRECTOR
SARKAR, ANIKET CHIEF INFORMATION OFFICER
CUSICK, KORI, DIANE CHIEF SUPERVISION OFFICER
VANDERLEEK, ERIC CHIEF SALES OFFICER
JENNINGS, MEGAN, ELIZABETH CHIEF COMPLIANCE OFFICER
RIGLER, DAVID, ANDREW CHIEF FINANCIAL OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

82 active representatives found, showing 20 random

Name City State Exams Designations
AARON RUEN DES MOINES IA S63|2015-09-16|S66|2024-05-07
WILLIAM BURTON DES MOINES IA S63|1998-12-18|S66|2007-08-15
JESSE FRONING DES MOINES IA S65|2019-04-04|S63|2021-05-14
HALEY DRAKE DES MOINES IA S63|2018-11-02|S66|2024-05-18
GARRISON GOODLETT DES MOINES IA S63|2013-05-20|S66|2024-05-23
LAWRENCE ST JOHN DES MOINES IA S66|2005-10-27
ALEXANDRA GRUPE DES MOINES IA S63|2022-03-11|S66|2023-11-01
VINCENT FIORE DES MOINES IA S63|1996-08-15
CRYSTA BERRY DES MOINES IA S63|2021-11-08|S66|2024-05-16
WINDY SETO DES MOINES IA S63|2001-10-12|S66|2006-06-29
CATHERINE FRANCIS DES MOINES IA S66|2017-07-19
ZION OROMO DES MOINES IA S63|2023-02-04|S66|2024-05-18
TODD HALL DES MOINES IA S63|2000-07-13|S65|2003-08-27
SCOTT MUELLER DES MOINES IA S65|2016-07-12|S63|2014-05-29
JOSE-LUIS MONTIEL DES MOINES IA S66|2005-08-23
NICHOLAS AKERS DES MOINES IA S66|2015-01-22
JAMES WINTERS DES MOINES IA S63|2023-02-24|S66|2024-05-24
JEREMY LONG DES MOINES IA S63|2013-04-12|S66|2024-05-06
ANGELICA MENDIOLA DES MOINES IA S66|2016-08-19
JENNIFER SCHUMANN DES MOINES IA S63|1998-04-15|S65|2005-02-01 CHARTERED FINANCIAL CONSULTANT

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2025-05-02 $0.9 $0.0 0% 343 0 0%
2025-04-21 $0.9 $0.0 0% 343 0 0%
2024-04-02 $0.6 $0.3 56% 140 203 145%
2023-04-04 $0.4 $0.5 152% 115 228 198%
2022-04-01 $0.3 $0.6 240% 89 254 285%
2021-04-05 $0.1 $0.8 710% 69 274 397%
2020-04-01 $0.0 $0.9 2903% 67 276 412%
2019-04-01 $0.0 $0.0 0% 46 297 646%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
IA, AK-12/14/2018, AL-12/14/2018, AR-12/14/2018, AZ-12/14/2018, CA-12/14/2018, CO-12/14/2018, CT-12/14/2018, DC-12/14/2018, DE-12/14/2018, FL-12/14/2018, GA-12/14/2018, HI-12/14/2018, IA-12/14/2018, ID-12/14/2018, IL-12/14/2018, IN-12/14/2018, KS-12/14/2018, KY-12/14/2018, LA-12/14/2018, MA-12/14/2018, MD-12/14/2018, ME-12/14/2018, MI-12/14/2018, MN-12/14/2018, MO-12/14/2018, MS-12/14/2018, MT-12/14/2018, NC-12/14/2018, ND-12/14/2018, NE-12/14/2018, NH-12/14/2018, NJ-12/14/2018, NM-12/14/2018, NV-12/14/2018, NY-12/14/2018, OH-12/14/2018, OK-12/14/2018, OR-12/14/2018, PA-12/14/2018, RI-12/14/2018, SC-12/14/2018, SD-12/14/2018, TN-12/14/2018, TX-12/14/2018, UT-12/14/2018, VA-12/14/2018, VT-12/14/2018, WA-12/14/2018, WI-12/14/2018, WV-12/14/2018, WY-12/14/2018
ADVISER ACTIVITIES
FINANCIAL PLANNING
PORTFOLIO MANAGEMENT
MANAGER SELECTION
OTHER ACTIVITIES

ADVDB.CO • SOURCE: SEC FORM ADV