Principal Securities, Inc. is an SEC registered investment adviser organized as a corporation with a primary office location in Des Moines, IA. Its latest Form ADV filing, dated March 30, 2026, reports $17.0B in regulatory assets under management, 1,464 employees, 358 offices, and 68,981 accounts.
Top client segmentIndividuals represent 94.4% of total clients.
Top client categories% of clientsClients
1
Individuals
94.4%
49,012
2
HNWI
5.1%
2,638
3
Corporations
0.4%
221
4
Charitable
0.1%
41
5
Pension Plans
0.1%
29
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$17.0Bas of March 30, 2026
Discretionary83.1%
$14.1B
83% of total RAUM83.1%
Non-discretionary16.9%
$2.9B
17% of total RAUM16.9%
Regulatory assets under management are split between discretionary and non-discretionary assets.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM$17.0B
Total Accounts68,981
10Y AUM Change+$15.1B (+788.4%)
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees1,464
Clients per Employee35:1
10Y Employee Change-283 (-16.2%)
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Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.