PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED of WANCHAI is an SEC-registered investment adviser (CRD 322390). Regulatory assets under management: $14.4B.
Compensation: % of AUM, Fixed, Performance.
Clients served: Pooled vehicles, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Kamal Bhatia | PRESIDENT & CEO, PRINCIPAL ASSET MANAGEMENT | — |
| Justin Thomas Lange | CHIEF COMPLIANCE OFFICER | — |
| George Djurasovic | GENERAL COUNSEL | — |
| Barbara Wenig | CHIEF BUSINESS OFFICER | — |
| Rongsa Zhong | DIRECTOR | — |
| Raj Kumar Singh | DIRECTOR | — |
| Julian Christopher Vivian Pull | CHIEF FINANCIAL OFFICER, ASIA | — |
| Thomas Wee Yee Cheong | EXECUTIVE VICE PRESIDENT, PRINCIPAL ASIA | — |
| Alan Xi Wang | HONG KONG CHINA EQUITIES MD & CIO | — |
| Yo-Hann Tan | DIRECTOR | — |
| Phillip Howard Hasenfus Saran | DIRECTOR | — |
| Steve Po Siu Chiu | CHIEF EXECUTIVE OFFICER | — |
| DONOHUE ANDREW JOHN | CHIEF COMPLIANCE OFFICER | — |
| VOHRA ROHIT | DIRECTOR | — |
| DJURASOVIC GEORGE | GENERAL COUNSEL | — |
| WEST KENNETH KIRK | DIRECTOR | — |
| WU MICHELE XIAOMING | OFFICER | — |
| CHING DEREK HO YIN | DIRECTOR | — |
| SARAN PHILLIP HOWARD HASENFUS | OFFICER | — |
| ECHEGORRI RODRIGUEZ ALEJANDRO ELIAS | DIRECTOR | — |
| Lange Justin Thomas | CHIEF COMPLIANCE OFFICER | — |
| Chiu Steve Po Slu | CHIEF EXECUTIVE OFFICER | — |
| Zhong Rongsa | DIRECTOR | — |
| SINGH AMARENDRA KUMAR | DIRECTOR | — |
| John Michael Egan | CHIEF FINANCIAL OFFICER | — |
| 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 |
| City | State | Employees | Phone |
|---|---|---|---|
| KWUN TONG, KOWLOON | — | 0 | 852-2263-0263 |
| KWUN TONG, KOWLOON | — | 0 | 852-2263-0263 |