Adviser Profile

AUM* 17,024,265,096 15%
of that, discretionary 14,145,909,165 30%
Number of Employees 1,464 2%
of those in investment advisory functions 1,464 2%
Private Fund GAV* 0
Avg Account Size 246,796 6%
% High Net Worth 5.08% 19%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Pension consulting services
- Selection of other advisers
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Reported AUM

14B 12B 10B 8B 6B 4B 2B
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

Form ADV-E Surprise Examination Reports

Accounting Firm Name Filing Date Form ADV-E
Accounting Firm Name ERNST & YOUNG LLP Filing Date09/26/2025 Form ADV-E View Report
Accounting Firm Name ERNST & YOUNG LLP Filing Date10/28/2024 Form ADV-E View Report
Accounting Firm Name ERNST & YOUNG LLP Filing Date11/28/2023 Form ADV-E View Report
Accounting Firm Name ERNST & YOUNG LLP Filing Date09/22/2023 Form ADV-E View Report

Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker74255Y698 Stock NamePRINCIPAL EXCHANGE TRADED FD $ Position$396,292,907 % Position5.00% $ Change182.00% # Change167.00%
Stck Ticker74255Y870 Stock NamePRINCIPAL EXCHANGE TRADED FD $ Position$357,551,561 % Position4.00% $ Change17.00% # Change2.00%
Stck Ticker464287200 Stock NameISHARES TR $ Position$278,540,998 % Position3.00% $ Change38.00% # Change20.00%
Stck Ticker381430123 Stock NameGOLDMAN SACHS ETF TR $ Position$124,681,282 % Position2.00% $ Change20.00% # Change4.00%
Stck Ticker74255Y680 Stock NamePRINCIPAL EXCHANGE TRADED FD $ Position$192,348,743 % Position2.00% $ Change38.00% # Change20.00%
Stck Ticker74255Y821 Stock NamePRINCIPAL EXCHANGE TRADED FD $ Position$133,044,344 % Position2.00% $ Change33.00% # Change33.00%
Stck Ticker74255Y607 Stock NamePRINCIPAL EXCHANGE TRADED FD $ Position$172,323,645 % Position2.00% $ Change19.00% # Change-3.00%
Stck Ticker74255Y714 Stock NamePRINCIPAL EXCHANGE TRADED FD $ Position$154,133,817 % Position2.00% $ Change11.00% # Change0.00%
Stck Ticker74255Y102 Stock NamePRINCIPAL EXCHANGE TRADED FD $ Position$91,734,189 % Position1.00% $ Change45.00% # Change44.00%
Stck Ticker38149W473 Stock NameGOLDMAN SACHS ETF TR $ Position$55,820,314 % Position1.00% $ Change # Change

Brochure Summary