Firms by custodian
Registered investment advisers that custody at Principal Global Investors
One SEC-registered adviser reports Principal Global Investors 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.
1 firm listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| Marquette AssociatesCRD 21572 | Chicago, IL | $47.06B | 64 | 348 |
Marquette AssociatesCRD 21572$47.06B
- Headquarters
- Chicago, IL
- Advisory staff
- 64
- Clients
- 348
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 Global Investors here says only what the filing says, and implies nothing about either firm's service.