Principal Advised Services

Registered investment adviser · Des Moines, IA · CRD #297324

Form ADV data as of 2026-09-01

Regulatory assets

$1.42 billion

Total accounts

23,164

Employees

383

Disclosure events

Firm details

Website: https://www.pinterest.com/principalfinancialgroup
Telephone: 866-412-0770
SEC file number: 801-114432
Most recent Form ADV filing: 2026-07-10
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$1.42 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$1.42 billion
Discretionary accounts	23,164
Non-discretionary accounts	0
Total accounts	23,164
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	383
Employees performing investment advisory functions (including research)	230
Employees who are registered representatives of a broker-dealer	245
Employees registered as investment adviser representatives with a state	227
Employees registered as IARs for another investment adviser	8
Employees who are licensed insurance agents	65
Firms or persons who solicit advisory clients on the firm's behalf	1

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$68.3 million
Clients for whom the firm has custody	289
A related person has custody of client cash or bank accounts	Yes
A related person has custody of client securities	Yes
Client funds and securities held in a related person's custody	$0
Clients for whom a related person has custody	0
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	Yes
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businesses

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Commodity pool operator or commodity trading advisorBanking or thrift institutionTrust companyInsurance company or agencySponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys securities from or sells securities to advisory clients (principal transactions)
Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Executes agency cross transactions involving advisory client securities
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	23,100	$1.33 billion
High net worth individuals	64	$89.7 million