Levin James Wilson

Employer firm

Principal Asset Management CRD 109002

$428B regulatory AUM 137 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Principal Asset Management

801 Grand Ave, Des Moines, IA 50392-0001 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2023-11-20

CO RA
APPROVED

Since 2023-11-20

Branch Locations

Denver, CO • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Putnam Investments	Andover	MA	06/2016	06/2017
Uber	Boston	MA	05/2017	08/2017
Putnam Retail Management	Andover	MA	06/2017	10/2023
Principal Funds Distributor, Inc.	Des Moines	IA	11/2023	Present
Principal Asset Management	Des Moines	IA	11/2023	Present

06/2016 → 06/2017

Putnam Investments

Andover, MA
05/2017 → 08/2017

Uber

Boston, MA
06/2017 → 10/2023

Putnam Retail Management

Andover, MA
11/2023 → Present

Principal Funds Distributor, Inc.

Des Moines, IA
11/2023 → Present

Principal Asset Management

Des Moines, IA

Previous Registrations

2019-11-13 → 2023-11-07

Putnam Investment Management, Llc

Boston, MA

Other Businesses

Access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, Inc and its affiliates.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-10-25
S63	Uniform Securities Agent State Law Examination	2017-08-04

S65 Uniform Investment Adviser Law Examination

2019-10-25
S63 Uniform Securities Agent State Law Examination

2017-08-04

View on SEC IAPD