PRINCIPAL SECURITIES, INC.

CRD

1137

SEC file #

801-54949

EIN

—

DBA names

—

Economics

AUM

$17.02B

AUM band

$1B+

AUM trajectory

'20 · $6.11B

'21 · $7.61B

'22 · $9.32B

'23 · $11.44B

'25 · $14.83B

'26 · $17.02B

'20'26

$6.11B → $17.02B▲ +179%

sec adv history

Client mix

Individuals Other	49,012
Individuals High Net Worth	2,638
Corporations	221
Charitable Organizations	41
Pension Profit Sharing Plans	29

Operations

Employees (total)

1,464

Advisory staff (per ADV)

1,464

Advisory staff (5-yr trend)

'20 · 1,603 advisors

'21 · 1,564 advisors

'22 · 1,536 advisors

'23 · 1,455 advisors

'25 · 1,436 advisors

'26 · 1,464 advisors

'20'26

1,603 advisors → 1,464 advisors▼ -9%

sec adv history

Primary office

DES MOINES IA

Branches

—

Custodian & Brokerage

Primary custodian

Fidelitylow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting

Fee basis

% of AUMHourly chargesFixed feesOther Compensation

Filings

Latest ADV filing

03/30/2026

ADV-W filed at

—

Website

x.com/principal

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

PRINCIPAL FINANCIAL SERVICES,

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

PRINCIPAL FINANCIAL SERVICES,

AGRAWAL, VIVEK

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

social_url_excluded:x.com

rdap

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book

Yes

Form 5500 Plan Count

221

Form 5500 Total Compensation

5,533,873

Form 5500 Compensation Trajectory 3y

2025	5,387,240
2026	146,633

Form 5500 Plan Count Trajectory 3y

2025	212
2026	9

Schedule C Total Compensation

5,533,873

Schedule C Service Provider Rows

221

SEC EDGAR

Edgar Cik

0002026448

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2024-07-26

Edgar Last Filing Date

2026-05-13

Edgar Form D Count

Edgar Form D Offerings

2026-01-292026-01-29 · 0002026448-26-000002

2026-01-232026-01-23 · 0002026448-26-000001

Edgar Xbrl Assets Latest

Value Usd398,499,000

Fiscal Year End2025-12-31

Edgar Xbrl Revenue Latest

Value Usd24,491,000

Fiscal Year End2025-12-31

ConceptRevenues

Edgar Sic Description

Real Estate Investment Trusts

Local market & wealth

Rank targets by how wealthy the local market is

Fdic Zip Total Deposits

48,123,430,000

Fdic Zip Branch Count

Fdic Zip Top Banks

Principal Bank

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (17)

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

Fidelity	4
E*trade	4

adv brochure

Edgar Addresses

Mailing

711 HIGH STREETDES MOINES, IA 50392

Business

711 HIGH STREETDES MOINES, IA 50392

Edgar EIN

993313328

Edgar Recent Filings

10-Q2026-05-13 · 0001628280-26-034494

8-K2026-05-06 · 0001628280-26-031181

Edgar Sic

6798

Fdic Zip Branches Raw

Principal BankDes Moines, IA

Fdic Zip HHI

10,000

Fdic Zip Top Bank Share Pct

100

Fdic Zip Year

2024

Fee Schedule

Bracket Ix	75
Bracket I	14
Bracket Xi	4
Bracket Ii	1
Bracket Iii	1

Firm Has Custody

Yes

Mailing Office Differs

Trust Company Affiliate

Yes

People (62)

AGRAWAL, VIVEK

8050381

CLAIRE, CHAD THOMAS

7219218

DROGAN, THOMAS JOHN

2760482

FRIEDRICH, AMY CHRISTINE

7097797

LAWLER, CODY ANTHONY

5162072

MCCULLUM, KENNETH ALLEN

4695257

MURRAY, MICHAEL, FRANCIS

2074275

RANTS, DOUGLAS JOHN

7148529

ROBERTS, DAWN MARIE

7929617

SCHELHAAS, NATHAN PAUL

7275495

SPADAFORA, CRAIG ALAN

3184320

VanWinkle, Daniel, Simon