RIA Intel›Advisers›Iowa›PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Advisory

N·DES MOINES, IA

Data as of Jan 2, 2026 · Source: SEC Form ADV

Total AUM
$14.8B
1-Year AUM Growth
+22.5%
3-Year CAGR
+9.0%
Employees
1,436
Assets Under Management
Total AUM$14.8B
Discretionary AUM$10.9B
Non-Discretionary AUM$4.0B
Discretionary %73.2%
Total Clients48,723
Team
Total Employees1,436
Investment Advisers1,436
Employee Growth (1Y)-5.7%
Filing History
Total Filings on Record132
First FilingOct 31, 2001
Latest FilingJan 2, 2026
🔒 Full AUM trend chart and 132 historical filings spanning 25+ years
Sign up free to view →
Registration
Status—
Registration Date—
SEC RegisteredYes
Exempt ReportingNo
⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

Sign up free to unlock
📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

Sign up free to unlock
👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

Sign up free to unlock
🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Sign up free to unlock

Get the full picture on PRINCIPAL SECURITIES, INC.

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.

Sign up free →