|
⚲
|
| Principal Securities Inc
✚
|
|
|---|---|
| CRD # | 1137 |
| SEC # | 801-54949 |
| CIK # | |
| AUM | $9.4 BB (2023-03-30) |
| Employees | 1,430 (100% Investors, 99% Brokers) |
| Phone | 888-774-6267 |
| Address | 655 9th Street Des Moines, IA 50309 |
| Source | [IAPD] [Website] [Twitter] [LinkedIn] [Instagram] |
| Total AUM ($BB) |
|---|
| AUM Breakdown | Accounts | AUM ($BB) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 35,846 | 7.2 |
| (b) Individuals (high net worth individuals) | 1,013 | 2.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 15 | 0.0 |
| (h) Charitable organizations | 34 | 0.1 |
| (i) State or municipal government entities | 2 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 168 | 0.1 |
| (n) Other | 0 | 0.0 |
| Total | 46,075 | 9.4 |
| By Discretionary | ||
| Discretionary | 35,919 | 7.0 |
| Non-Discretionary | 10,156 | 2.5 |
| Total | 46,075 | 9.4 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 9.4 | |
| Total | 46,075 | 9.4 |
| Comparable Firms | State | AUM ($BB) |
|---|---|---|
|
Clearstead Advisors LLC
✚
|
OH | 10.2 |
|
Congress Asset Management Company LLP
✚
|
MA | 10.1 |
|
Independent Advisor Alliance LLC
✚
|
NC | 10.1 |
|
Sentry Management Inc
✚
|
TX | 10.0 |
|
Park Avenue Securities LLC
✚
|
NY | 9.9 |
|
Investment Research & Advisory Group Inc
✚
|
GA | 9.1 |
|
IFP Advisors LLC
✚
|
FL | 8.9 |
|
GW & Wade LLC
✚
|
MA | 8.9 |
|
Bridges Investment Management Inc
✚
|
NE | 8.7 |
|
The Mather Group LLC
✚
|
IL | 8.7 |