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Principal Asset Management CRD 109002
$428B regulatory AUM 137 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2025-07-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Plumb Supply Company | Fort Dodge | IA | 06/2014 | 07/2020 |
| Principal Life Insurance Company | Des Moines | IA | 08/2020 | 07/2025 |
| Principal Securities Inc | Des Moines | IA | 02/2021 | Present |
| Principal Advised Services | Des Moines | IA | 04/2024 | 07/2025 |
| Principal Funds Distributor, Inc. | Des Moines | IA | 07/2025 | Present |
| Principal Asset Management | Des Moines | IA | 07/2025 | 07/2025 |
Access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, Inc and its affiliates.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-05-10 |
| S63 | Uniform Securities Agent State Law Examination | 2021-10-01 |
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