Firms by custodian
Registered investment advisers that custody at Principal Financial Group
4 SEC-registered advisers report Principal Financial Group as a custodian holding 10% or more of separately managed account assets in Form ADV Schedule D, Section 5.K.(3). Listed by regulatory assets under management.
4 firms listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| Allspring Global InvestmentsCRD 104973 | Charlotte, NC | $475.78B | 301 | 10,401 |
| Chandler Asset ManagementCRD 107287 | San Diego, CA | $45.31B | 20 | 259 |
| Highland AssociatesCRD 104948 | Birmingham, AL | $20.99B | 18 | 65 |
| Keystate AdvisoryCRD 156226 | Las Vegas, NV | $16.59B | 8 | 80 |
Allspring Global InvestmentsCRD 104973$475.78B
- Headquarters
- Charlotte, NC
- Advisory staff
- 301
- Clients
- 10,401
Chandler Asset ManagementCRD 107287$45.31B
- Headquarters
- San Diego, CA
- Advisory staff
- 20
- Clients
- 259
Highland AssociatesCRD 104948$20.99B
- Headquarters
- Birmingham, AL
- Advisory staff
- 18
- Clients
- 65
Keystate AdvisoryCRD 156226$16.59B
- Headquarters
- Las Vegas, NV
- Advisory staff
- 8
- Clients
- 80
Figures are from each firm's most recent Form ADV and are dated on its profile. Listing here is a matter of public record, not a recommendation.
About this list
A custodian holds client accounts; the adviser directs them but does not take possession of the money. Form ADV Schedule D, Section 5.K.(3) requires an adviser to name every custodian holding 10% or more of its separately managed account assets, which is where this list comes from.
A firm may use several custodians, so it can appear on more than one of these lists, and smaller custodial relationships below the 10% threshold are not reported at all. Naming Principal Financial Group here says only what the filing says, and implies nothing about either firm's service.