Principle Wealth is an SEC registered investment adviser organized as a limited liability company with a primary office location in Madison, CT. Its latest Form ADV filing, dated March 10, 2026, reports $3.2B in regulatory assets under management, 28 employees, 2 offices, and 4,120 accounts.
Top client segmentHNWI represent 50.7% of total clients.
Top client categories% of clientsClients
1
HNWI
50.7%
613
2
Individuals
46.3%
560
3
Pension Plans
1.7%
20
4
Corporations
1.4%
17
Categories with <5 clients
Charitable Organizations<5 clients
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$3.2Bas of March 10, 2026
Discretionary100.0%
$3.2B
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM$3.2B
Total Accounts4,120
10Y AUM Change+$3.2B
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees28
Clients per Employee43:1
10Y Employee Change+28
* 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.