PRINCIPAL GLOBAL INVESTORS, LLC

CRD

109002

SEC file #

801-55959

EIN

934107827

DBA names

Principal Asset Management

Economics

AUM

$427.71B

AUM band

$1B+

AUM trajectory

'20 · $295.98B

'21 · $349.16B

'22 · $391.96B

'23 · $340.21B

'25 · $364.04B

'26 · $427.71B

'20'26

$295.98B → $427.71B▲ +45%

sec adv history

Client mix

Individuals Other	6,014
Corporations	951
Pension Profit Sharing Plans	578
Individuals High Net Worth	315
Investment Companies	101

Operations

Employees (total)

1,394

Advisory staff (per ADV)

337

Advisory staff (5-yr trend)

'20 · 561 advisors

'21 · 572 advisors

'22 · 561 advisors

'23 · 621 advisors

'25 · 324 advisors

'26 · 337 advisors

'20'26

561 advisors → 337 advisors▼ -40%

sec adv history

Primary office

DES MOINES IA

Branches

—

Custodian & Brokerage

Primary custodian

State Streetlow confidence

adv brochure

Services offered

Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses

Fee basis

% of AUMFixed feesPerformance-based feesOther Compensation

Filings

Latest ADV filing

03/31/2026

linkedin.com/company/principal-asset-management(social)

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

PRINCIPAL GLOBAL INVESTORS

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

PRINCIPAL GLOBAL INVESTORS

BHATIA, KAMAL

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

fallback_guess:principalglobal.com

rdap

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

Yes

Form 5500 Plan Count

Form 5500 Total Compensation

12,891,101

Form 5500 Compensation Trajectory 3y

2025	12,757,328
2026	133,773

Form 5500 Plan Count Trajectory 3y

2025	71
2026	12

Schedule C Total Compensation

12,891,101

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0002012801

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2024-02-26

Edgar Last Filing Date

2024-02-26

Edgar Form D Count

Edgar Form D Offerings

2024-02-262024-02-26 · 0000945621-24-000266

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

State Street	14
Fidelity	6
Charles Schwab	5
E*trade	4
Jpmorgan	3

adv brochure

Edgar Addresses

Mailing

C/O PRINCIPAL GLOBAL INVESTORS, LLC711 HIGH STREETDES MOINES, IA 50392

Business

C/O PRINCIPAL GLOBAL INVESTORS, LLC711 HIGH STREETDES MOINES, IA 50392

Edgar EIN

934107827

Edgar Recent Filings

D2024-02-26 · 0000945621-24-000266

Fee Schedule

Bracket I	43
Bracket Vi	19
Bracket Xii	16
Bracket Iii	5
Bracket Vii	5

Firm Has Custody

Yes

Mailing Office Differs

Trust Company Affiliate

Yes

IAR · Executive Officer · 2.5%

People (61)

WENIG, BARBARA

5412981

BHATIA, KAMAL

4933060

DJURASOVIC, GEORGE

4228028

EVERETT, TODD, EUGENE

6629511

GOOSAY, MICHAEL, JASON

2765287

HITTNER, JILL, MARIE

5309846

JABLONSKI, TODD, ANTHONY

5531237

Lange, Justin, Thomas

7638768

MARIS, GEORGE, PETER

5899106

MCCULLUM, KENNETH ALLEN

4695257

MCKAY, SIMON, ALEXANDER

4550744

WONG, BRANT, KAJEN