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Brett Andrew Dubay

Principal Asset Management

Hilton Head, SC

CRD 2588019

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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

AuthorityCategoryStatusDate
SC RA APPROVED 2025-09-23
  • SC RA
    APPROVED
    Since 2025-09-23

Branch Locations

Hilton Head, SC • 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
OrganizationCityStateFromTo
Principal Financial Overland Park KS 09/2006 06/2024
Principal Securities Inc Des Moines IA 03/2016 Present
Principal Funds Distributor, Inc. Des Moines IA 01/2010 Present
Principal Asset Management Des Moines IA 11/2018 Present
  • 09/2006 → 06/2024
    Principal Financial
    Overland Park, KS
  • 03/2016 → Present
    Principal Securities Inc
    Des Moines, IA
  • 01/2010 → Present
    Principal Funds Distributor, Inc.
    Des Moines, IA
  • 11/2018 → Present
    Principal Asset Management
    Des Moines, IA
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-07-07
S63 Uniform Securities Agent State Law Examination 1995-03-06
  • S65 Uniform Investment Adviser Law Examination
    1995-07-07
  • S63 Uniform Securities Agent State Law Examination
    1995-03-06

View on SEC IAPD

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