PRINCIPAL GLOBAL INVESTORS, LLC of DES MOINES, IA is an SEC-registered investment adviser (CRD 109002). Regulatory assets under management: $427.7B.
Compensation: % of AUM, Fixed, Performance, Other.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos, Other.
Showing 25 of 71 people.
| Name | Role | Location |
|---|---|---|
| Jill Marie Hittner | CHIEF FINANCIAL OFFICER; EXECUTIVE DIRECTOR/CHIEF FINANCIAL OFFICER PGI | Des Moines, IA |
| Kamal Bhatia | CHIEF EXECUTIVE OFFICER & PRESIDENT | — |
| Kenneth Allen Mccullum | DIRECTOR; SVP & CHIEF RISK OFFICER | — |
| Todd Anthony Jablonski | CIO & GLOBAL HEAD OF MULTI-ASSET AND QUANTITATIVE STRATEGIES; CIO-PGAA | — |
| Justin Thomas Lange | CHIEF COMPLIANCE OFFICER | — |
| Todd Eugene Everett | GLOBAL HEAD OF PRIVATE MARKETS | — |
| George Peter Maris | CIO & GLOBAL HEAD OF EQUITIES | — |
| Michael Jason Goosay | CIO & GLOBAL HEAD OF FIXED INCOME | — |
| George Djurasovic | GENERAL COUNSEL | — |
| Barbara Wenig | CHIEF BUSINESS OFFICER; GLOBAL HEAD OF OPERATIONS | — |
| Timothy Allen Hill | SENIOR EXECUTIVE MANAGING DIRECTOR; SENIOR EXECUTIVE MANAGING DIRECTOR, U.S. AND EUROPE CLIENT GROUP | — |
| Brian Steven Ness | EXECUTIVE DIRECTOR & CIO PGAM & PI | — |
| Ellen Wilson Shumway | DIRECTOR; GLOBAL HEAD OF PRODUCT | — |
| Daniel Joseph Houston | DIRECTOR | — |
| MCCULLUM KENNETH A | SVP & CHIEF RISK OFFICER | — |
| ROUGHTON MICHAEL DENNIS | COUNSEL | — |
| SERAJI-SPELLERBERG MINOO | CHIEF COMPLIANCE OFFICER - NORTH AMERICA | — |
| SHAFF KAREN ELIZABETH | DIRECTOR | — |
| ZIMPLEMAN LARRY DONALD | BOARD CHAIRMAN; DIRECTOR | — |
| BEER MICHAEL JON | EXECUTIVE DIRECTOR - FUNDS; EXECUTIVE DIRECTOR - PRINCIPAL FUNDS | — |
| DONOHUE ANDREW JOHN | CHIEF COMPLIANCE OFFICER | — |
| HILLER JEFFREY | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER-GLOBAL | — |
| BLAKE DAVID MICHAEL | EXECUTIVE DIRECTOR; GLOBAL HEAD OF PUBLIC MARKETS; SENIOR EXECUTIVE DIRECTOR - FIXED INCOME | — |
| DUNBAR TIMOTHY MARK | DIRECTOR; EXECUTIVE DIRECTOR | — |
| MCCAUGHAN JAMES PATRICK | CHIEF EXECUTIVE OFFICER; EXECUTIVE VP AND GLOBAL HEAD OF ASSET MANAGEMENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-09-08 | regulatory | 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… | Final | $34K |