PRINCIPAL GLOBAL INVESTORS
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PRINCIPAL GLOBAL INVESTORS
(CRD# 109002)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Des Moines, IA.
The SEC approved the firm to operate as an RIA in
Oct 1998.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$296.0 Billion,
with discretion over
80%
of those assets.
Pooled investment vehicles (Private Funds) account for
4%
of RAUM.
Non-US investors represent
10%
.
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PRINCIPAL GLOBAL INVESTORS
also reported in
Mar 2019
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1776
employees,
with
561
performing advisory functions.
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A total of 7 office locations.
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No registrations with foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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PRINCIPAL GLOBAL INVESTORS has no disclosure events reported to the SEC at this time.
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PRINCIPAL GLOBAL INVESTORS has Notice Filings with the following State Securities Authorities:
AK-Jan 2006, AL-Jan 2006, AR-Jan 2006, AZ-Jan 2006, CA-Jan 20
, CO-Jan 2006, CT-Jan 2006, DC-Jan 2006, DE-Jan 2006, FL-Jan 2
, GA-Jan 2006, HI-Jan 2006, IA-Mar 2005, ID-Jan 2006, IL-Feb 2
, IN-Jan 2006, KS-Jan 2006, KY-Jan 2006, LA-Jan 2006, MA-Jan 2
, MD-Jan 2006, ME-Jan 2006, MI-Jan 2006, MN-Jan 2006, MO-Jan 2
, MS-Jan 2006, MT-Jan 2006, NC-Jan 2006, ND-Jan 2006, NE-Jan 2
, NH-Jan 2006, NJ-Feb 2006, NM-Jan 2006, NV-Jan 2006, NY-Jan 2
, OH-Jan 2006, OK-Jan 2006, OR-Jan 2006, PA-Jan 2006, PR-Jan 2
, RI-Jan 2006, SC-Jan 2006, SD-Jan 2006, TN-Jan 2006, TX-Jan 2
, UT-Jan 2006, VA-Jan 2006, VI-Oct 2012, VT-Jan 2006, WA-Jan 2
, WI-Jan 2006, WV-Jan 2006, WY-Mar 2018
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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