# PRINCIPAL GLOBAL INVESTORS, LLC

PRINCIPAL GLOBAL INVESTORS, LLC of DES MOINES, IA is an SEC-registered investment adviser.

## Registration

- CRD: 109002
- Type: SEC-registered investment adviser
- SEC file number: 801-55959
- Location: 801 GRAND AVE, DES MOINES, IA, 50392-0001
- Phone: 800-787-1621
- Latest filing: 2026-05-28
- Regulatory AUM: $427.7B
- Discretionary AUM: $419.2B
- Non-discretionary AUM: $8.5B
- Clients: 1,394
- Accounts: 8,169

## Business model

- Compensation: % of AUM, Fixed, Performance, Other
- Clients served: High net worth, Pooled vehicles, Charities, Investment cos, Other

## Officers, owners & control persons (71)

_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 | — |


## Disclosures (8)

| 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 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/109002/brochure
- Similar advisers: https://search.stillhousedata.com/firm/109002/similar
- Related entities: https://search.stillhousedata.com/firm/109002/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/109002

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.