Data / Investment advisers / Iowa / Principal Securities, Inc.
Principal Securities, Inc., Des Moines, IA: $17 billion AUM, SEC registered investment adviser
Principal Securities, Inc. is an SEC registered investment adviser with its main office in Des Moines, Iowa and reports $17 billion in regulatory assets under management in its Form ADV filed March 30, 2026. Its clients include individuals, high net worth individuals and corporations and other businesses. It is paid through a percentage of assets under management, hourly charges and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 1137
- SEC file number
- 801-54949
- SEC status
- Approved, effective October 10, 1997
- Main office
- 711 High Street, Des Moines, IA 50392
- Phone
- (888) 774-6267
- Regulatory AUM
- $17,024,265,096 in the Form ADV filed March 30, 2026
- Discretionary AUM
- $14,145,909,165
- Non discretionary AUM
- $2,878,355,931
- Accounts
- 68,981
- Employees
- 1,464, of which 1,464 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, hourly charges, fixed fees, other fees
- Other offices
- 358
- Form ADV Item 11 disclosures
- Reported: SEC or CFTC regulatory actions, other federal, state or foreign regulatory actions, self-regulatory organization actions
- Latest Form ADV filing
- March 30, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 49,012 | $11.21 billion |
| High net worth individuals | 2,638 | $5.53 billion |
| Corporations or other businesses | 221 | $189.2 million |
| Charitable organizations | 41 | $77.7 million |
| Pension and profit sharing plans | 29 | $20.3 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $17.02 billion | March 30, 2026 |
| December 1, 2025 | $14.83 billion | September 15, 2025 |
Other advisers in Des Moines
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Principal Asset Management | Des Moines | $427.71 billion | 10 | adviserinfo.sec.gov |
| Principal Real Estate | Des Moines | $105.65 billion | 18 | adviserinfo.sec.gov |
| BTC Capital Management | Des Moines | $4.60 billion | Not listed | adviserinfo.sec.gov |
| Principal Advised Services | Des Moines | $1.42 billion | Not listed | adviserinfo.sec.gov |
| Legacy Financial Group | Des Moines | $1.01 billion | Not listed | adviserinfo.sec.gov |
| DMKC Advisory Services, LLC | Des Moines | $902.5 million | Not listed | adviserinfo.sec.gov |
| West Financial Advisors, L.L.C. | Des Moines | $674.2 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Des Moines, IA
- Investment advisers in Iowa
- Advisers with $10 billion to $100 billion in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Principal Securities, Inc. on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.