Investment adviser · CRD 1137
PRINCIPAL SECURITIES, INC.
Investment adviser filing (IA)
DES MOINES, IA, United States · Form ADV filed Mar 30, 2026
- Regulatory AUM
- $17B Form ADV · Item 5.F
- Client accounts
- 68,981 Accounts, not individual clients
- Employees
- 1,464 Reported in this filing
- Advisory professionals
- 1,464 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Individuals | 49,012 | $11,210,384,605 | 65.8% |
| High-net-worth individuals | 2,638 | $5,526,773,865 | 32.5% |
| Corporations & businesses | 221 | $189,168,339 | 1.1% |
| Charities | 41 | $77,662,755 | 0.5% |
| Retirement plans | 29 | $20,275,532 | 0.1% |
Filing source
Form ADV 2045116 · Mar 30, 2026 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Mar 30, 2026. View historical filings
Reported services
Financial planning · Individual portfolio management · Business portfolio management · Pension consulting · Selection of other advisers · Educational seminars
Compensation
Percentage of assets · Hourly · Fixed
Principal office
711 HIGH STREETDES MOINES, IA, 50392, United States
CRD 1137
Filing source
Form ADV 2045116 · Mar 30, 2026 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.