Post Advisory Group, Llc
- Regulatory AUM
- $13.0B
- Discretionary
- $13.0B
- Clients
- 40
- Avg AUM / client
- $326M
- Accounts
- 40
- Employees
- 49
AUM over time
Annual snapshots from Form ADV filings · as of May 05, 2026
Asset allocation (SMA assets by investment type)
as of May 05, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 2 | $668M | 5.13% |
| Pooled investment vehicles (non-investment companies) | 16 | $4.4B | 33.8% |
| Pension and profit sharing plans | 5 | $535M | 4.11% |
| Charitable organizations | 1 | $135M | 1.03% |
| State or municipal government entities | 4 | $2.8B | 21.1% |
| Insurance companies | 3 | $1.1B | 8.15% |
| Corporations and other businesses | 9 | $3.5B | 26.6% |
Private funds (11)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $2.8B combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Post Intermediate Term High Yield Fund, Lp | Other Private Fund | Delaware | $453M | 24 |
| Post Clo 2023 1 Ltd | Securitized Asset Fund | Cayman Islands | $400M | 1 |
| Post Clo 2022 1 Ltd. | Securitized Asset Fund | Cayman Islands | $400M | 1 |
| Post Clo 2021 1 Ltd. | Securitized Asset Fund | Cayman Islands | $399M | 1 |
| Post Clo 2018 1 Ltd | Securitized Asset Fund | Cayman Islands | $395M | 2 |
| Post Traditional High Yield Master Fund, Lp master | Other Private Fund | Cayman Islands | $313M | 19 |
| Post Senior Loan Master Fund, Lp master | Other Private Fund | Cayman Islands | $236M | 8 |
| Post Clo 2024 1 Ltd. | Securitized Asset Fund | Cayman Islands | $131M | 3 |
| Post Limited Term High Yield Master Fund, Lp master | Other Private Fund | Cayman Islands | $39.5M | 14 |
| Post Structured Credit Opportunities Master Fund, Lp master | Hedge Fund | Cayman Islands | $34.0M | 3 |
| Post Clo Equity Master Fund, Lp master | Private Equity Fund | Cayman Islands | $27.3M | 34 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Operating Eng. Local 474 Defined Contribution Operating Eng. Local 474 Defined Contribution | 2024 | |
| Insulators Local No. 96 Pension Fund Insulators Local No. 96 Pension Fund | 2024 | |
| Valero Energy Corporation Pension Plan Valero Energy Corporation | 2024 | |
| Teamsters Local 639 Employers Pension Trust Fund Joint Board Of Trustees Teamsters Local 639 Employers Pension Trust | 2024 |
People (13)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Young, Yvonne | Chief Financial Officer | Oct 2011 (15y) | Less than 5% | |
| Hittner, Jill, Marie | Director | Mar 2014 (12y) | Less than 5% | |
| Farm, Kristopher, Joel | Chief Technology Officer | Mar 2016 (10y) | Less than 5% | |
| Halter, Patrick, Gregory | Director | Sep 2017 (9y) | Less than 5% | |
| Stroll, Jeffrey, Mark | Director | Mar 2018 (8y) | Less than 5% | |
| Sailer, Scott, Martin | Director | Jul 2018 (8y) | Less than 5% | |
| Kim, David, Doyon | Deputy Chief Investment Officer & Director | Jan 2020 (7y) | Less than 5% | |
| Reddy, Christopher, James | Director | Apr 2020 (6y) | Less than 5% | |
| Hoogensen, Kara, Marie | Director | Jun 2020 (6y) | Less than 5% | |
| Bhatia, Kamal | Director | Dec 2020 (6y) | Less than 5% | |
| Flickinger, Deborah, Ann | Chief Operations Officer And Director | Mar 2022 (4y) | Less than 5% | |
| Kunimura, Yuki | Director | Mar 2023 (3y) | Less than 5% | |
| Ocampo, Maureen, Elaine | Chief Compliance Officer | May 2023 (3y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Principal Global Investors Holding Company Us Llc | Member | May 2017 | A | 50% – 75% |
| Nli Us Investments, Inc. | Member | May 2013 | A | 10% – 25% |
| Principal Financial Services, Inc. | 100% Owner | May 2017 | B | ≈ 37.5% – 75% via Principal Global Investors Holding Company Us Llc |
| Principal Financial Group, Inc. | 100% Owner | Oct 2001 | B | ≈ 28.13% – 75% via Principal Financial Services, Inc. |
| Nippon Life Insurance Company | 100% Owner | Apr 2013 | B | ≈ 7.5% – 25% via Nli Us Investments, Inc. |
Undisclosed: 0% – 40% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Principal Financial Services, Inc.: 75% – 100% of Principal Global Investors Holding Company Us Llc × 50% – 75% direct ≈ 37.5% – 75% of the firm
- Principal Financial Group, Inc.: 75% – 100% of Principal Financial Services, Inc. × 75% – 100% of Principal Global Investors Holding Company Us Llc × 50% – 75% direct ≈ 28.13% – 75% of the firm
- Nippon Life Insurance Company: 75% – 100% of Nli Us Investments, Inc. × 10% – 25% direct ≈ 7.5% – 25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (11, $2.8B gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Post Intermediate Term High Yield Fund, Lp | Other Private Fund | $453M | $100K | 24 |
| Post Clo 2023 1 Ltd | Securitized Asset Fund | $400M | $250K | 1 |
| Post Clo 2022 1 Ltd. | Securitized Asset Fund | $400M | $250K | 1 |
| Post Clo 2021 1 Ltd. | Securitized Asset Fund | $399M | $250K | 1 |
| Post Clo 2018 1 Ltd | Securitized Asset Fund | $395M | $250K | 2 |
| Post Traditional High Yield Master Fund, Lp | Other Private Fund | $313M | $3.0M | 19 |
| Post Senior Loan Master Fund, Lp | Other Private Fund | $236M | $100K | 8 |
| Post Clo 2024 1 Ltd. | Securitized Asset Fund | $131M | $3.0M | 3 |
| Post Limited Term High Yield Master Fund, Lp | Other Private Fund | $39.5M | $100K | 14 |
| Post Structured Credit Opportunities Master Fund, Lp | Hedge Fund | $34.0M | $10.0M | 3 |
| Post Clo Equity Master Fund, Lp | Private Equity Fund | $27.3M | $1.0M | 34 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (4)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Operating Eng. Local 474 Defined Contribution | Operating Eng. Local 474 Defined Contribution | 254 | $61.3M | 07/01/2024 |
| Insulators Local No. 96 Pension Fund | Insulators Local No. 96 Pension Fund | 119 | $26.2M | 01/01/2024 |
| Valero Energy Corporation Pension Plan | Valero Energy Corporation | 6,554 | $2.6B | 01/01/2024 |
| Teamsters Local 639 Employers Pension Trust Fund | Joint Board Of Trustees Teamsters Local 639 Employers Pension Trust | 3,542 | $1.7B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/05/2026 | 3.43 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: IN APRIL 2022 PRINCIPAL GLOBAL INVESTORS, LLC (PGI) HAD AN UNINTENTIONAL SHORT SALE OF A SECURITY DUE TO A CORPORATE ACTION IN POTENTIAL BREACH OF LOCAL REGULATIONS. IN SEPTEMBER 2022, PGI RECEIVED AN EMAIL REGARDING "NOTICE OF ACTION TO BE TAKEN" REGARDING THE BREACH OF LOCAL RESTRICTION PROVISIONS IN THE FINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT OF KOREA. THE FINAL DISPOSITION INVOLVED A FINAL ORDER ISSUED ON 11/11/22 ORDERING PGI, LLC (CURRENTLY DOING BUSINESS AS PRINCIPAL ASSET MANAGEMENT, OR PRINCIPAL AM) TO PAY A FINE IN THE AMOUNT OF 45,000,000 SOUTH KOREAN WAN, OR ROUGHLY US$34,200 TO THE SOUTH KOREAN SECURITIES AND FUTURES COMMISSION. Status: Final Sanction Detail: ORDER RESULTED IN A FINE OF 45,000,000 SOUTH KOREAN WAN, OF WHICH 9,000,000 WAS WAIVED FOR EARLY PAYMENT AND THE REMAINING AMOUNT (36,000,000 WAN) WAS PAID ON 11/14/2022. Summary: IN APRIL 2022 PRINCIPAL GLOBAL INVESTORS, LLC (PGI) HAD AN UNINTENTIONAL SHORT SALE OF A SECURITY DUE TO A CORPORATE ACTION IN POTENTIAL BREACH OF LOCAL REGULATIONS. IN SEPTEMBER 2022, PGI RECEIVED AN EMAIL REGARDING "NOTICE OF ACTION TO BE TAKEN" REGARDING THE BREACH OF LOCAL RESTRICTION PROVISIONS IN THE FINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT OF KOREA. THE FINAL DISPOSITION INVOLVED A FINAL ORDER ISSUED ON 11/11/22 ORDERING PGI, LLC (CURRENTLY DOING BUSINESS AS PRINCIPAL ASSET MANAGEMENT, OR PRINCIPAL AM) TO PAY A FINE IN THE AMOUNT OF 45,000,000 SOUTH KOREAN WAN, OR ROUGHLY US$34,200 TO THE SOUTH KOREAN SECURITIES AND FUTURES COMMISSION.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
- • Other fees
- • COLLATERAL MGMT. FEE ON COLL. PRINCIPAL & ACCRUED INTEREST.
Services
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Brown Brothers Harriman & Co. $4.9B (29% of AUM) Mar 2024
- Brown Brothers Harriman Investment Services (Japan) Inc. $1.9B (15% of AUM) May 2026
- Northern Trust $1.6B (12% of AUM) May 2026
- J.P. Morgan $1.4B (11% of AUM) May 2026
- BNY Mellon $1.3B (9% of AUM) Feb 2026
- Fifth Third Securities, Inc. $1.2B (10% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 05, 2026.
View current Form ADV (SEC/IAPD) ↗