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Adviser Profile

As of Date 03/28/2025
Adviser Type - Large advisory firm
Number of Employees 1,436 0.42%
of those in investment advisory functions 1,436 0.42%
Registration SEC, Approved, 10/10/1997
AUM* 14,827,718,110 57.46%
of that, discretionary 10,852,399,521 56.02%
Private Fund GAV* 0
Avg Account Size 232,665 13.84%
% High Net Worth 4.26% 56.03%
SMA’s Yes
Private Funds 0
Contact Info 888 xxxxxxx
Websites

Client Types

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

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small 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

Discretionary
Non-discretionary
8B 7B 6B 4B 3B 2B 1B
2015 2016 2017 2018 2019 2020 2021 2022 2023

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker74255Y870 Stock NamePRINCIPAL EXCHANGE TRADED FD $ Position$262,146,032 % Position6.00% $ Change4.00% # Change-1.00%
Stck Ticker381430123 Stock NameGOLDMAN SACHS ETF TR $ Position$81,721,947 % Position2.00% $ Change11.00% # Change8.00%
Stck Ticker464287200 Stock NameISHARES TR $ Position$81,858,469 % Position2.00% $ Change-20.00% # Change-21.00%
Stck Ticker464287226 Stock NameISHARES TR $ Position$101,065,114 % Position2.00% $ Change0.00% # Change5.00%
Stck Ticker74255Y607 Stock NamePRINCIPAL EXCHANGE TRADED FD $ Position$87,061,823 % Position2.00% $ Change29.00% # Change31.00%
Stck Ticker74255Y698 Stock NamePRINCIPAL EXCHANGE TRADED FD $ Position$28,529,171 % Position1.00% $ Change # Change
Stck Ticker74255Y714 Stock NamePRINCIPAL EXCHANGE TRADED FD $ Position$63,249,563 % Position1.00% $ Change8.00% # Change5.00%
Stck Ticker922908744 Stock NameVANGUARD INDEX FDS $ Position$24,202,702 % Position1.00% $ Change-3.00% # Change0.00%
Stck Ticker74255Y821 Stock NamePRINCIPAL EXCHANGE TRADED FD $ Position$43,485,295 % Position1.00% $ Change0.00% # Change5.00%
Stck Ticker78464A664 Stock NameSPDR SER TR $ Position$24,428,389 % Position1.00% $ Change-6.00% # Change5.00%

Brochure Summary