PRINCIPAL GLOBAL INVESTORS, LLC

PRINCIPAL GLOBAL INVESTORS, LLC of DES MOINES, IA is an SEC-registered investment adviser (CRD 109002). Regulatory assets under management: $427.7B.

Registration

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.

NameRoleLocation
Jill Marie HittnerCHIEF FINANCIAL OFFICER; EXECUTIVE DIRECTOR/CHIEF FINANCIAL OFFICER PGIDes Moines, IA
Kamal BhatiaCHIEF EXECUTIVE OFFICER & PRESIDENT
Kenneth Allen MccullumDIRECTOR; SVP & CHIEF RISK OFFICER
Todd Anthony JablonskiCIO & GLOBAL HEAD OF MULTI-ASSET AND QUANTITATIVE STRATEGIES; CIO-PGAA
Justin Thomas LangeCHIEF COMPLIANCE OFFICER
Todd Eugene EverettGLOBAL HEAD OF PRIVATE MARKETS
George Peter MarisCIO & GLOBAL HEAD OF EQUITIES
Michael Jason GoosayCIO & GLOBAL HEAD OF FIXED INCOME
George DjurasovicGENERAL COUNSEL
Barbara WenigCHIEF BUSINESS OFFICER; GLOBAL HEAD OF OPERATIONS
Timothy Allen HillSENIOR EXECUTIVE MANAGING DIRECTOR; SENIOR EXECUTIVE MANAGING DIRECTOR, U.S. AND EUROPE CLIENT GROUP
Brian Steven NessEXECUTIVE DIRECTOR & CIO PGAM & PI
Ellen Wilson ShumwayDIRECTOR; GLOBAL HEAD OF PRODUCT
Daniel Joseph HoustonDIRECTOR
MCCULLUM KENNETH ASVP & CHIEF RISK OFFICER
ROUGHTON MICHAEL DENNISCOUNSEL
SERAJI-SPELLERBERG MINOOCHIEF COMPLIANCE OFFICER - NORTH AMERICA
SHAFF KAREN ELIZABETHDIRECTOR
ZIMPLEMAN LARRY DONALDBOARD CHAIRMAN; DIRECTOR
BEER MICHAEL JONEXECUTIVE DIRECTOR - FUNDS; EXECUTIVE DIRECTOR - PRINCIPAL FUNDS
DONOHUE ANDREW JOHNCHIEF COMPLIANCE OFFICER
HILLER JEFFREYCHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER-GLOBAL
BLAKE DAVID MICHAELEXECUTIVE DIRECTOR; GLOBAL HEAD OF PUBLIC MARKETS; SENIOR EXECUTIVE DIRECTOR - FIXED INCOME
DUNBAR TIMOTHY MARKDIRECTOR; EXECUTIVE DIRECTOR
MCCAUGHAN JAMES PATRICKCHIEF EXECUTIVE OFFICER; EXECUTIVE VP AND GLOBAL HEAD OF ASSET MANAGEMENT

Disclosures (8)

InitiatedTypeAllegationsStatusAmount
2022-09-08regulatoryIN 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

Private funds (10)

Hedge Fund: 6 · Private Equity Fund: 4

FundTypeFormedOwnersGross asset valueMin investment
FINISTERRE EMD TOTAL RETURN FUND, LPHedge FundDelaware3$329.7M$20.0M
PRINCIPAL ALTERNATIVE CREDIT UNLEVERED FUND, LPHedge FundDelaware3$164.9M$5.0M
PAC EVERGREEN FUND, LPHedge FundCayman Islands1$108.5M
PRINCIPAL ALTERNATIVE CREDIT UNLEVERED FUND (OFFSHORE), LPHedge FundCayman Islands1$86.1M
PAC SEPARATE ACCOUNT (CAYMAN) IV, LPPrivate Equity FundCayman Islands1$67.8M
PAC SEPARATE ACCOUNT (CAYMAN) II, LPPrivate Equity FundCayman Islands1$56.4M
PAC SEPARATE ACCOUNT (CAYMAN) III, LPPrivate Equity FundCayman Islands2$56.3M
PAC SEPARATE ACCOUNT (CAYMAN), LPPrivate Equity FundCayman Islands1$52.8M
PRINCIPAL ALTERNATIVE CREDIT FUND (OFFSHORE), LPHedge FundCayman Islands2$34.4M$5.0M
PRINCIPAL ALTERNATIVE CREDIT UNLEVERED FUND (OFFSHORE) - C, LPHedge FundCayman Islands1$15.7M$5.0M

Branch offices (19)

Showing 15 of 19 offices.

CityStateEmployeesPhone
NEW YORKNY35212-603-3600
ROSEVILLECA25800-986-3343
SEATTLEWA23206-913-5800
LONDON23800-986-3343
SAO PAULO20800-986-3343
WANCHAI15852-2827-1628
CHICAGOIL12800-986-3343
STAMFORDCT11(203)322-0189
SINGAPORE8800-986-3343
LAKE OSWEGOOR6800-986-3343
DENVERCO5800-986-3343
MIAMIFL31-305-619-8795
MINNEAPOLISMN318004267488
RALEIGHNC2800-986-3343
ATLANTAGA1800-986-3343

Fund service providers (2)

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