PRINCIPAL SECURITIES, INC.
Latest filing: Mar 28, 2025 (68 days ago)
AUM
$14,827,718,110
22% change vs. 1 year ago
30% change vs. 3 years ago
95% change vs. 5 years ago
881% change vs. 10 years ago
Employee Count
1,436
6% change vs. 1 year ago
-1% change vs. 3 years ago
-8% change vs. 5 years ago
-19% change vs. 10 years ago
Main Office
DES MOINES, IA
711 HIGH STREET, DES MOINES, IA, UNITED STATES, 50392
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $10.9 |
| Non-Discretionary | $4.0 |
| Total | $14.8 |
| Client | AUM |
|---|---|
| Retail | $14.6 |
| Pooled | $0.0 |
| Institutional | $0.2 |
| Total | $14.8 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 46,377 | $10.3 |
| Average Individual AUM | $222,977 | |
| HNW | 2,077 | $4.2 |
| Average HNW AUM | $2,043,790 | |
| Retail Total | 48,454 | $14.6 |
| Average Retail AUM | $301,027 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $11.9 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $14.8 |
| Retail SMA AUM | $14.6 |
| Institutional SMA AUM | $0.2 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 14% | $2.1 |
| Equity Non-Exch | 1% | $0.1 |
| Govt Agency | 1% | $0.1 |
| Municipal | 1% | $0.1 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.1 |
| HY Credit | 1% | $0.1 |
| Derivatives | 1% | $0.1 |
| Investment Companies | 75% | $11.1 |
| Other Pools | 1% | $0.1 |
| Cash | 3% | $0.4 |
| Other | 1% | $0.1 |
| Total | 100% | $14.8 |
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 REAL ESTATE INVESTORS, LLC | $99.4 | 109008 | |
| SPECTRUM ASSET MANAGEMENT, INC. | $19.7 | 300463 | |
| POST ADVISORY GROUP, LLC | $16.0 | 108860 | |
| PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED | $13.6 | 322390 | |
| PRINCIPAL ADVISED SERVICES, LLC | $0.9 | 297324 | |
| PRINICPAL FINANCIAL GROUP FOUNDATION, INC. | $0.0 | - | |
| PRINCIPAL REINSURANCE COMPANY OF VERMONT | $0.0 | - | |
| PRINCIPAL REINSURANCE COMPANY OF DELAWARE II | $0.0 | - | |
| PRINCIPAL REINSURANCE COMPANY OF DELAWARE | $0.0 | - | |
| PRINCIPAL SHAREHOLDER SERVICES, INC. | $0.0 | trust company | - |
| DELAWARE CHARTER GUARANTEE & TRUST COMPANY | $0.0 | trust company | - |
| PRINCIPAL FUNDS DISTRIBUTOR, INC. | $0.0 | broker-dealer | 43261 |
| PRINCIPAL NATIONAL LIFE INSURANCE COMPANY | $0.0 | - | |
| PRINCIPAL GLOBAL INVESTORS TRUST COMPANY | $0.0 | trust company | - |
| PRINCIPAL BANK | $0.0 | - | |
| PRINCIPAL ENTERPRISE CAPITAL, LLC | $0.0 | 157574 | |
| PRINCIPAL LIFE INSURANCE COMPANY | $0.0 | - | |
| SAMI BROKERAGE LLC | $0.0 | broker-dealer | 18217 |
| PRINCIPAL REINSURANCE COMPANY OF VERMONT II | $0.0 | - | |
| PRINCIPAL INTERNATIONAL, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
15 active
| Name | Title |
|---|---|
| STRABLE-SOETHOUT, DEANNA DAWNETTE | DIRECTOR |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER |
| RIGLER, DAVID ANDREW | CHIEF FINANCIAL OFFICER |
| BEITZEL, CARLA KAY | VICE PRESIDENT OF DISTRIBUTION |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER |
| BELTRAN, JESUS MANUEL | CHIEF SUPERVISION OFFICER |
| MCCULLUM, KENNETH ALLEN | DIRECTOR |
| COOPER, BROCK JEFFREY | CHIEF COMPLIANCE OFFICER |
| TREADWAY, ANTHONY SHEA | DIRECTOR |
ADVDB.CO • SOURCE: SEC
Representatives
1,331 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| RANDALL ROETHEL | DES MOINES | IA | S63|1983-06-09 | CHARTERED FINANCIAL CONSULTANT | |||||
| JOHN BARCLAY | DES MOINES | IA | S66|2020-11-30 | ||||||
| AMY ROXIN | DES MOINES | IA | S63|1992-09-15|S66|2006-10-17 | ||||||
| MATTHEW SLOVICK | DES MOINES | IA | S63|2012-11-05|S66|2016-07-20 | ||||||
| MATTHEW BANZHAF | DES MOINES | IA | S63|2010-06-21|S65|2011-04-14 | CERTIFIED FINANCIAL PLANNER | |||||
| JACOB STROH | DES MOINES | IA | S63|2020-02-25|S65|2024-02-28 | ||||||
| JAMES FOLLSTAD | DES MOINES | IA | S66|2008-02-11 | ||||||
| ERIN FREUND | DES MOINES | IA | S66|2006-05-26 | CERTIFIED FINANCIAL PLANNER | |||||
| KIMBERLY VIELHABER | DES MOINES | IA | S66|2018-11-08 | CERTIFIED FINANCIAL PLANNER | |||||
| JENNIFER STREIT | DES MOINES | IA | S66|2023-05-27 | ||||||
| MICHAEL HARKEN | DES MOINES | IA | S63|1982-07-01|S65|1998-09-12 | CERTIFIED FINANCIAL PLANNER | |||||
| GINA SUCHANEK | DES MOINES | IA | S66|2004-11-01 | ||||||
| RAWIA MAAMOUN | DES MOINES | IA | S66|2022-09-19 | ||||||
| TUCKER ROHDE | DES MOINES | IA | S66|2021-11-15 | ||||||
| VINCENT KOTARSKI | DES MOINES | IA | S63|1986-09-29|S65|2018-05-07 | ||||||
| DAVID SCHWARTZ | DES MOINES | IA | S63|2010-10-14|S65|2016-02-01 | ||||||
| TODD GRAFF | DES MOINES | IA | S66|2006-09-27 | ||||||
| JUSTIN BOYD | DES MOINES | IA | S66|2006-12-12 | ||||||
| JOSEPH LOONEY | DES MOINES | IA | S66|2017-05-26 | ||||||
| ANGUS MCRAE | DES MOINES | IA | S63|2016-02-29|S65|2019-08-02 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $14.8 | $0.0 | 0% | 1,436 | 0 | 0% |
| 2025-04-21 | $14.8 | $0.0 | 0% | 1,436 | 0 | 0% |
| 2024-04-02 | $12.1 | $2.7 | 22% | 1,349 | 87 | 6% |
| 2023-04-04 | $9.4 | $5.4 | 57% | 1,430 | 6 | 0% |
| 2022-04-01 | $11.4 | $3.4 | 30% | 1,455 | -19 | -1% |
| 2021-04-05 | $9.3 | $5.5 | 59% | 1,536 | -100 | -7% |
| 2020-04-01 | $7.6 | $7.2 | 95% | 1,564 | -128 | -8% |
| 2019-04-01 | $6.1 | $8.7 | 143% | 1,603 | -167 | -10% |
| 2018-04-02 | $6.0 | $8.8 | 147% | 1,687 | -251 | -15% |
| 2017-04-01 | $1.9 | $12.9 | 674% | 1,747 | -311 | -18% |
| 2016-04-01 | $1.6 | $13.2 | 814% | 1,817 | -381 | -21% |
| 2015-04-01 | $1.5 | $13.3 | 881% | 1,769 | -333 | -19% |
| 2014-04-01 | $1.2 | $13.6 | 1086% | 1,715 | -279 | -16% |
| 2013-04-01 | $0.8 | $14.0 | 1798% | 1,610 | -174 | -11% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| IA, AK-08/17/2001, AL-08/07/1998, AR-01/15/1999, AZ-08/26/1998, CA-08/13/1998, CO-01/01/1999, CT-01/13/1999, DC-06/01/1999, DE-07/23/2003, FL-08/21/1998, GA-05/15/2001, HI-08/14/1998, IA-01/01/1999, ID-08/31/1998, IL-08/07/1998, IN-08/16/2001, KS-01/13/1999, KY-05/17/2001, LA-08/16/2001, MA-04/20/1999, MD-08/11/1998, ME-02/12/1999, MI-08/16/2001, MN-07/08/1998, MO-08/24/1998, MS-01/13/1999, MT-03/15/1999, NC-04/12/2001, ND-07/15/1999, NE-09/17/1998, NH-01/12/1999, NJ-12/02/1999, NM-08/11/1998, NV-04/20/1999, NY-08/17/1998, OH-04/21/1999, OK-08/15/1998, OR-08/20/2001, PA-12/24/1981, RI-04/28/1999, SC-01/18/1999, SD-01/12/1999, TN-08/25/1999, TX-10/15/1969, UT-01/04/1999, VA-08/13/1998, VT-08/07/1998, WA-08/10/1998, WI-09/14/1998, WV-01/12/1999, WY-07/03/2017 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
BROKER DEALER |
ADVDB.CO • SOURCE: SEC FORM ADV