Principal Advised Services, Llc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 297324
· SEC file 801-114432
· Des Moines, IA
· www.pinterest.com
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ADV data as of Jul 10, 2026
- Regulatory AUM
- $1.4B
- Discretionary
- $1.4B
- Clients
- 23,164
- Avg AUM / client
- $61.4K
- Accounts
- 23,164
- Employees
- 383
AUM over time
$0
$1.4B
Nov 2018
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 10, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 23,100 | $1.3B | 93.7% |
| High net worth individuals | 64 | $89.7M | 6.31% |
People (239)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Fossell, Janet, Loretta | Chief Operations Officer | Nov 2018 (8y) | Less than 5% | |
| Scott Allen Christensen | Chief Investment Officer | CFA | Nov 2018 (8y) | Less than 5% |
| Winston, Heather, Blake | Chief Product Officer | Mar 2020 (6y) | Less than 5% | |
| Ness, Brian, Steven | Director | Dec 2020 (6y) | Less than 5% | |
| Wiener, Sara, Jo | Director | Dec 2020 (6y) | Less than 5% | |
| Winterhof, Janis, Jean | Director | Mar 2021 (5y) | Less than 5% | |
| Montford, Amy, M | Chief Executive Officer | Jun 2021 (5y) | Less than 5% | |
| Downing, Ryan, Douglas | Director | Jul 2021 (5y) | Less than 5% | |
| Deasy, Justin, Miller | Assistant General Counsel | Sep 2021 (5y) | Less than 5% | |
| Long, Gregory, Scott | Chief Marketing Officer | Sep 2021 (5y) | Less than 5% | |
| Robinson Saathoff, Danna, M | Chief Learning Officer | Sep 2021 (5y) | Less than 5% | |
| Barbara Wenig | Director | CFA | Oct 2021 (5y) | Less than 5% |
| Eric Vanderleek | Chief Sales Officer | Aug 2022 (4y) | Less than 5% | |
| Cusick, Kori, Diane | Chief Supervision Officer | Mar 2023 (3y) | Less than 5% | |
| Jennings, Megan, Elizabeth | Chief Compliance Officer | Mar 2023 (3y) | Less than 5% | |
| Rigler, David, Andrew | Chief Financial Officer | Mar 2024 (2y) | Less than 5% | |
| Suresh, Nisha, R | Chief Technology Officer | Mar 2024 (2y) | Less than 5% | |
| Stanley Eugene Poorman | Registered representative | CFP | Dec 2018 (8y) | |
| Brandy Sue Lamp | Registered representative | CFP Chartered Financial Consultant | Apr 2019 (7y) | |
| Dirk Johnston | Registered representative | CFP | Jul 2021 (5y) | |
| Jesse S Froning | Registered representative | Jan 2022 (5y) | ||
| Craig J Engel | Registered representative | Oct 2022 (4y) | ||
| Jeremy Joseph Smalley | Registered representative | Oct 2022 (4y) | ||
| Lawrence Dale St John | Registered representative | Oct 2022 (4y) | ||
| Todd Lee Hall | Registered representative | Oct 2022 (4y) | ||
| Vincent Isidoro Fiore | Registered representative | Oct 2022 (4y) | ||
| Angelica Mendiola | Registered representative | Oct 2022 (4y) | ||
| Jose Luis Daniel Montiel | Registered representative | Oct 2022 (4y) | ||
| Joshua Ryan Kight | Registered representative | Oct 2022 (4y) | ||
| Susanna Harper Hartwig | Registered representative | Oct 2022 (4y) | ||
| Thomas Edward Sueppel | Registered representative | Oct 2022 (4y) | ||
| William Kevin Burton | Registered representative | Oct 2022 (4y) | ||
| Windy Sukming Seto | Registered representative | Oct 2022 (4y) | ||
| Cullen Bartholomew Mcgloin | Registered representative | Nov 2022 (4y) | ||
| Paul Evan Kranich | Registered representative | Nov 2022 (4y) | ||
| Catherine Elizabeth Francis | Registered representative | Jan 2023 (4y) | ||
| Scott Stephen Cheeseman | Registered representative | Jan 2023 (4y) | ||
| Brian P Barnes | Registered representative | Feb 2023 (3y) | ||
| Angel Love | Registered representative | Apr 2023 (3y) | ||
| Andrew James Paolini | Registered representative | Jun 2023 (3y) | ||
| Bradley Benjamin Pull | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Adam Joel Block | Registered representative | Jul 2023 (3y) | ||
| Jennifer Darlene Schumann | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Jeremy Fernandez | Registered representative | Jul 2023 (3y) | ||
| Michael Joseph Adelman | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Shannon Kirk Obert | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Paul Noble Gould | Registered representative | Sep 2023 (3y) | ||
| George Jerome Wilson | Registered representative | Dec 2023 (3y) | ||
| Ryan B Robinson | Registered representative | Dec 2023 (3y) | ||
| Thomas Alexander Strouse | Registered representative | Dec 2023 (3y) | ||
| Jennifer Marie Kilzer | Registered representative | Dec 2023 (3y) | ||
| Lori Ann Calloway | Registered representative | Jan 2024 (3y) | ||
| Stuart Roy Van Ess | Registered representative | Feb 2024 (2y) | ||
| Ryan Steffen | Registered representative | Feb 2024 (2y) | ||
| Daniel S Schueren | Registered representative | Feb 2024 (2y) | ||
| Orlando John Ricci | Registered representative | Feb 2024 (2y) | ||
| Jake Allen Gregory | Registered representative | Feb 2024 (2y) | ||
| Koffigan Deo Vonor | Registered representative | Mar 2024 (2y) | ||
| Izaak Millard Dixon | Registered representative | Mar 2024 (2y) | ||
| Alexandra Fay Grupe | Registered representative | Apr 2024 (2y) | ||
| Signe Marie Nelson Combs | Registered representative | Apr 2024 (2y) | ||
| Eric Scott Fitterer | Registered representative | Apr 2024 (2y) | ||
| Nicholas Lloyd Akers | Registered representative | Apr 2024 (2y) | ||
| Scott William Koehler | Registered representative | May 2024 (2y) | ||
| Courtney Siobhan Ellis | Registered representative | May 2024 (2y) | ||
| Jeremy Long | Registered representative | May 2024 (2y) | ||
| Donabel Asignacion Triplett | Registered representative | May 2024 (2y) | ||
| Jacob Miller Bergman | Registered representative | May 2024 (2y) | ||
| Eli Sterling Greufe | Registered representative | May 2024 (2y) | ||
| Aaron Ruen | Registered representative | May 2024 (2y) | ||
| Charles Rudolph Walters | Registered representative | May 2024 (2y) | ||
| Paige Hardaway | Registered representative | May 2024 (2y) | ||
| Jerrica Selina Melvina John | Registered representative | May 2024 (2y) | ||
| Eric Robert Mohammed | Registered representative | May 2024 (2y) | ||
| Daniel Rhoades | Registered representative | May 2024 (2y) | ||
| Ryan Patrick Myers | Registered representative | May 2024 (2y) | ||
| Natalia Ruiz | Registered representative | May 2024 (2y) | ||
| Haley Beckwith Drake | Registered representative | May 2024 (2y) | ||
| James Michael Berg | Registered representative | May 2024 (2y) | ||
| John Whitney Cook | Registered representative | May 2024 (2y) | ||
| Zion Odongi Yugu Oromo | Registered representative | May 2024 (2y) | ||
| Jesse Tyler Walker | Registered representative | May 2024 (2y) | ||
| Garrison Ellington Goodlett | Registered representative | May 2024 (2y) | ||
| James Gannon Winters | Registered representative | May 2024 (2y) | ||
| Michael Diamond Allen | Registered representative | May 2024 (2y) | ||
| Michael James Schultz | Registered representative | May 2024 (2y) | ||
| Adonis Jvon Roberson | Registered representative | May 2024 (2y) | ||
| Clarissa Tarandy Iannetti | Registered representative | May 2024 (2y) | ||
| Gary Norman Stewart | Registered representative | May 2024 (2y) | ||
| Jeremiah Scott Cole | Registered representative | May 2024 (2y) | ||
| Steven Carl Bellina | Registered representative | May 2024 (2y) | ||
| Wilbert Cole Wise | Registered representative | May 2024 (2y) | ||
| Megan M Christiansen | Registered representative | May 2024 (2y) | ||
| Brandon M Conway | Registered representative | Jun 2024 (2y) | ||
| Michael Rolin Lynch | Registered representative | Jun 2024 (2y) | ||
| Austin Terrel Carter | Registered representative | Jun 2024 (2y) | ||
| Kaylee Mae Coffey | Registered representative | Jun 2024 (2y) | ||
| Jonathan Joseph Heim | Registered representative | Jun 2024 (2y) | ||
| Logan Randolph Bauhs | Registered representative | Jun 2024 (2y) | ||
| John William Weiland | Registered representative | Jul 2024 (2y) | ||
| William Erik Swecker | Registered representative | Jul 2024 (2y) | ||
| Toya Renee Pollard | Registered representative | Jul 2024 (2y) | ||
| Angela Denise Bailiff | Registered representative | Jul 2024 (2y) | ||
| Armani Cortez | Registered representative | Aug 2024 (2y) | ||
| James M Beaty | Registered representative | Aug 2024 (2y) | ||
| Adam Craig Tyrrell | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Adam Keith Hatch | Registered representative | Aug 2024 (2y) | ||
| Bryce Michael Vandenriessche | Registered representative | Aug 2024 (2y) | ||
| Wales Scribner Dixon | Registered representative | Aug 2024 (2y) | ||
| Casey T Hepburn | Registered representative | Aug 2024 (2y) | ||
| John M Sniadajewski | Registered representative | Aug 2024 (2y) | ||
| Jonathan W Mathews | Registered representative | Aug 2024 (2y) | ||
| Steven Robert Nelson | Registered representative | Aug 2024 (2y) | ||
| Aaron James Lacona | Registered representative | Aug 2024 (2y) | ||
| Bryan A Paul | Registered representative | Aug 2024 (2y) | ||
| Brett Soule Shanklin | Registered representative | Aug 2024 (2y) | ||
| Andrew Tisheen Lind | Registered representative | Aug 2024 (2y) | ||
| Alixis Ivana Roccia | Registered representative | Aug 2024 (2y) | ||
| Andrew Michael Hubbard | Registered representative | Aug 2024 (2y) | ||
| Debra R Cinquemani | Registered representative | CFP | Aug 2024 (2y) | |
| Eric Alan Carlson | Registered representative | Aug 2024 (2y) | ||
| Eric John Hollister | Registered representative | CFP | Aug 2024 (2y) | |
| Ethan Ryan Schmidt | Registered representative | Aug 2024 (2y) | ||
| Graham Martin | Registered representative | Aug 2024 (2y) | ||
| Joshua Jeffrey Kistner | Registered representative | Aug 2024 (2y) | ||
| Jeremiah Wayne Young | Registered representative | Aug 2024 (2y) | ||
| Matthew A Gooch | Registered representative | Aug 2024 (2y) | ||
| Maura Irene Allen | Registered representative | Aug 2024 (2y) | ||
| Matthew L Nelson | Registered representative | Aug 2024 (2y) | ||
| Ryan Ann Haefs | Registered representative | Aug 2024 (2y) | ||
| Zach Ziros | Registered representative | Aug 2024 (2y) | ||
| Chase T Jackson | Registered representative | Aug 2024 (2y) | ||
| Catherine Emily Wanjiru Muturi | Registered representative | Aug 2024 (2y) | ||
| Dylan Xavier Tejral | Registered representative | Aug 2024 (2y) | ||
| Noah Kamal Ruffin | Registered representative | Aug 2024 (2y) | ||
| Jonathan Gregory Dahl | Registered representative | Aug 2024 (2y) | ||
| Lyle F Terry | Registered representative | Aug 2024 (2y) | ||
| Steven Ray Johnson | Registered representative | Aug 2024 (2y) | ||
| Anne Marie Spina | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Jenny Sue Borcherding | Registered representative | Aug 2024 (2y) | ||
| Tammy Michelle Broderick | Registered representative | Aug 2024 (2y) | ||
| Rachel Dawn Waldo | Registered representative | Aug 2024 (2y) | ||
| Holly Marie Haaland | Registered representative | Aug 2024 (2y) | ||
| Gabriel James Capps | Registered representative | Sep 2024 (2y) | ||
| Stephen Parker Clapp | Registered representative | Sep 2024 (2y) | ||
| Boedy Jess Tracy | Registered representative | Sep 2024 (2y) | ||
| Nicholas John Tremain | Registered representative | Sep 2024 (2y) | ||
| Cole A Metzler | Registered representative | Sep 2024 (2y) | ||
| Kevin Philip Paulus | Registered representative | Sep 2024 (2y) | ||
| Ana Maria Brinkley | Registered representative | Oct 2024 (2y) | ||
| Darnel D'von James | Registered representative | Oct 2024 (2y) | ||
| Claude Daniel Gianetto | Registered representative | Oct 2024 (2y) | ||
| Evan Charles Normile | Registered representative | Oct 2024 (2y) | ||
| Graham Tarlton Jewell | Registered representative | Oct 2024 (2y) | ||
| Schuyler Brian Hughes | Registered representative | Oct 2024 (2y) | ||
| Daniel Christopher Exum | Registered representative | Oct 2024 (2y) | ||
| Connor John Tuerlings | Registered representative | Oct 2024 (2y) | ||
| Dallin Jack Davis | Registered representative | Oct 2024 (2y) | ||
| Dalton Christopher Thiem | Registered representative | Oct 2024 (2y) | ||
| Ivan Mitchell Gutierrez | Registered representative | Oct 2024 (2y) | ||
| Jack D Dale | Registered representative | Oct 2024 (2y) | ||
| Ryan Michael Trenz | Registered representative | Oct 2024 (2y) | ||
| Richard Andrew Rust | Registered representative | Oct 2024 (2y) | ||
| Nicholas Steven Flynn | Registered representative | Oct 2024 (2y) | ||
| Sean Michael Wiegert | Registered representative | Oct 2024 (2y) | ||
| Tyrin Ladell Mcrae | Registered representative | Oct 2024 (2y) | ||
| Andrew Brian Watkins | Registered representative | Jan 2025 (2y) | ||
| Bryan H Hermosillo | Registered representative | Jan 2025 (2y) | ||
| James Thomas Staines | Registered representative | Jan 2025 (2y) | ||
| Yolanda Goodwin | Registered representative | Feb 2025 (1y) | ||
| Laura Jeannine Fellows | Registered representative | Feb 2025 (1y) | ||
| Nabeel Zafar Shums | Registered representative | Mar 2025 (1y) | ||
| Chaundra Kay Straker | Registered representative | Mar 2025 (1y) | ||
| Andrew Jacob Parow | Registered representative | Apr 2025 (1y) | ||
| Alex Emery Joseph | Registered representative | Apr 2025 (1y) | ||
| Andrew C Harris | Registered representative | Apr 2025 (1y) | ||
| Ann Marie Ladnier | Registered representative | Apr 2025 (1y) | ||
| Anthony William Potthoff | Registered representative | Apr 2025 (1y) | ||
| Carter John Davis | Registered representative | Apr 2025 (1y) | ||
| David Cardenas Ramirez | Registered representative | Apr 2025 (1y) | ||
| Jack K Bush | Registered representative | Apr 2025 (1y) | ||
| Jackson Williams | Registered representative | Apr 2025 (1y) | ||
| Jacob Duane Green | Registered representative | Apr 2025 (1y) | ||
| Jared M Daeschner | Registered representative | Apr 2025 (1y) | ||
| John Barlow Moore | Registered representative | Apr 2025 (1y) | ||
| Krystian Thomas Bajorek | Registered representative | Apr 2025 (1y) | ||
| Neill Parker Nelson | Registered representative | Apr 2025 (1y) | ||
| Owen Allen Malinauskas | Registered representative | Apr 2025 (1y) | ||
| Zachary Shibe Macfarland | Registered representative | Apr 2025 (1y) | ||
| Angela Rae Heaton | Registered representative | Apr 2025 (1y) | ||
| Tyler Michael Reller | Registered representative | CFP | Apr 2025 (1y) | |
| Rebecca Sue Landa | Registered representative | May 2025 (1y) | ||
| Bacilia Gomez | Registered representative | May 2025 (1y) | ||
| Brandy Marie Burgess | Registered representative | Jul 2025 (1y) | ||
| Sean William Mcconnell | Registered representative | Jul 2025 (1y) | ||
| Isaac Harrison House | Registered representative | Jul 2025 (1y) | ||
| Jackson Robert Krebs | Registered representative | Jul 2025 (1y) | ||
| Jonathan Armando Gonzalez | Registered representative | Jul 2025 (1y) | ||
| Leevens Cherisma | Registered representative | Jul 2025 (1y) | ||
| Kyle Matthew Sellers | Registered representative | Jul 2025 (1y) | ||
| Marcus Stotts | Registered representative | Jul 2025 (1y) | ||
| Nathan Walker Antonik | Registered representative | Aug 2025 (1y) | ||
| Derek William Ahrens | Registered representative | Aug 2025 (1y) | ||
| John Michael Jacobsen | Registered representative | Aug 2025 (1y) | ||
| Matthew S Doherty | Registered representative | Oct 2025 (1y) | ||
| Gregory Klibanov | Registered representative | Oct 2025 (1y) | ||
| Timothy E Moore | Registered representative | Nov 2025 (1y) | ||
| Alec Luna | Registered representative | Jan 2026 (1y) | ||
| Chandler Drew Fiscella | Registered representative | Jan 2026 (1y) | ||
| Lucas Thy Van | Registered representative | Jan 2026 (1y) | ||
| Matthew James Marcus | Registered representative | Jan 2026 (1y) | ||
| Shaun Michael Felber | Registered representative | Feb 2026 (0y) | ||
| Michael Bennett | Registered representative | Feb 2026 (0y) | ||
| Bryan Repishti | Registered representative | Mar 2026 (0y) | ||
| Robert L Reece | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| Aidan Brian Delaney | Registered representative | Apr 2026 (0y) | ||
| Jonah Madison Dejung | Registered representative | May 2026 (0y) | ||
| Christopher Michael Stokes | Registered representative | May 2026 (0y) | ||
| David Matthew Stortz | Registered representative | May 2026 (0y) | ||
| Landon James Pate | Registered representative | May 2026 (0y) | ||
| Maria Uyen Nguyen | Registered representative | May 2026 (0y) | ||
| Owen Scott Brauch | Registered representative | May 2026 (0y) | ||
| Riley Margaret Wolfram | Registered representative | May 2026 (0y) | ||
| Robert Cameron Warren | Registered representative | May 2026 (0y) | ||
| Silas Paul Winders | Registered representative | May 2026 (0y) | ||
| William Robert Grace | Registered representative | May 2026 (0y) | ||
| Melissa Laura Campbell | Registered representative | May 2026 (0y) | ||
| Devin Michael Young | Registered representative | May 2026 (0y) | ||
| Draven Henderson | Registered representative | May 2026 (0y) | ||
| Yesenia Denisse Burgos | Registered representative | Jun 2026 (0y) | ||
| Thomas J Riggers | Registered representative | Jun 2026 (0y) | ||
| Aaron Allen Weringa | Registered representative | Jun 2026 (0y) | ||
| Michael Alan Maddock | Registered representative | Jun 2026 (0y) | ||
| Adam Lucart | Registered representative | Jun 2026 (0y) | ||
| Logan Shearer | Registered representative | Jul 2026 (0y) | ||
| Matthew Gerard Lyons | Registered representative | Jul 2026 (0y) | ||
| Gina M Trokey | Registered representative | Jul 2026 (0y) | ||
| Mason S Lerch | Registered representative | Jul 2026 (0y) | ||
| Nathan Daniel D'erminio | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Principal Holding Company, Llc | Owner | Jan 2024 | A | 75% or more |
| Principal Life Insurance Company | Owner | Jul 1968 | B | ≈ 56.25% – 100% via Principal Holding Company, Llc |
| Principal Financial Services, Inc. | Owner | Oct 2001 | B | ≈ 42.19% – 100% via Principal Life Insurance Company |
| Principal Financial Group, Inc. | Owner | Apr 2001 | B | ≈ 31.64% – 100% via Principal Financial Services, Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Principal Life Insurance Company: 75% – 100% of Principal Holding Company, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Principal Financial Services, Inc.: 75% – 100% of Principal Life Insurance Company × 75% – 100% of Principal Holding Company, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Principal Financial Group, Inc.: 75% – 100% of Principal Financial Services, Inc. × 75% – 100% of Principal Life Insurance Company × 75% – 100% of Principal Holding Company, Llc × 75% – 100% direct ≈ 31.64% – 100% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/10/2026 | 1.59 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Apex Clearing $1.4B (100% of AUM) Jul 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: Jul 10, 2026.
View current Form ADV (SEC/IAPD) ↗