PRINCIPAL SECURITIES INC
Q4 2023 Form 13-F
DES MOINES, IOWA
CIK 0000012600
· CRD 1137
· SEC-registered investment adviser
$2.7B Reported Value Total
PRINCIPAL SECURITIES, INC. reports 46,075 total accounts under management (AUM). There are 35,919 discretionary accounts valued at $6,955,842,506, and 10,156 non-discretionary accounts valued at $2,461,012,355.
Source: Form ADV filed * Note that certain holdings are exempt from Form 13-F reporting, so the AUM totals may be greater than the Form 13-F total.
Source: Form ADV filed 2026-03-30
Reported value
$2.7B
Quarter over quarter
0.0%
Holdings
3,208
Top-10 concentration
20.5%
Filing Structure
Reports holdings for
- PRINCIPAL FINANCIAL GROUP INC · File #028-10106 · Q1 2024 – Q1 2026 · declared by one filing
Key People
Form ADV owners & control persons
Vivek Agrawal
DIRECTOR
Chad Thomas Claire
CHIEF INFORMATION OFFICER
Thomas John Drogan
CHIEF COMPLIANCE OFFICER
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Q4 2023 13F record
Q4 2023 13F filing summary
| Period of report | December 31, 2023 |
|---|---|
| Filed | February 07, 2024 |
| Form | 13F-HR |
| Reported value | $2.7B |
| Positions | 3,208 |
| Change in reported value | First reported quarter |
| Top-10 concentration | 20.5% |
13F filings by quarter
| Quarter | Positions | Value |
|---|---|---|
|
Q2 2026 13F
Filed Aug 4, 2026
|
1,538 | $8.3B |
|
Q1 2026 13F
Filed May 13, 2026
|
1,410 | $6.8B |
|
Q4 2025 13F
Filed Feb 12, 2026
|
1,344 | $6.5B |
|
Q3 2025 13F
Filed Nov 12, 2025
|
3,731 | $6.1B |
|
Q2 2025 13F
Filed Aug 11, 2025
|
3,673 | $5.3B |
|
Q1 2025 13F
Filed Apr 30, 2025
|
3,549 | $4.5B |
|
Q4 2024 13F
Filed Jan 30, 2025
|
3,544 | $4.4B |
|
Q3 2024 13F
Filed Oct 28, 2024
|
3,431 | $4.1B |
|
Q2 2024 13F
Filed Jul 31, 2024
|
3,387 | $3.6B |
|
Q1 2024 13F
Filed May 10, 2024
|
3,311 | $3.2B |
|
Q4 2023 13F
Filed Feb 7, 2024
|
3,208 | $2.7B |
Top 20 holdings · Q4 2023
| # | Holding | Reported value | % of portfolio |
|---|---|---|---|
| 1 | AGG ISHARES TR | $102.6M | 3.82% |
| 2 | USMC PRINCIPAL EXCHANGE TRADED FD | $78.4M | 2.92% |
| 3 | IEFA ISHARES TR | $77.5M | 2.89% |
| 4 | IVV ISHARES TR | $60.0M | 2.23% |
| 5 | GSUS GOLDMAN SACHS ETF TR | $52.1M | 1.94% |
| 6 | MSFT MICROSOFT CORP | $41.1M | 1.53% |
| 7 | GCOR GOLDMAN SACHS ETF TR | $39.6M | 1.47% |
| 8 | IJR ISHARES TR | $32.8M | 1.22% |
| 9 | IVW ISHARES TR | $32.6M | 1.22% |
| 10 | IWB ISHARES TR | $32.4M | 1.21% |
| 11 | IG PRINCIPAL EXCHANGE TRADED FD | $31.7M | 1.18% |
| 12 | AMZN AMAZON COM INC | $29.6M | 1.1% |
| 13 | AAPL APPLE INC | $28.5M | 1.06% |
| 14 | PY PRINCIPAL EXCHANGE TRADED FD | $26.5M | 0.99% |
| 15 | SPYM SPDR SER TR | $25.6M | 0.96% |
| 16 | GSIE GOLDMAN SACHS ETF TR | $25.5M | 0.95% |
| 17 | IEMG ISHARES INC | $24.5M | 0.91% |
| 18 | IUSV ISHARES TR | $23.2M | 0.87% |
| 19 | VTI VANGUARD INDEX FDS | $22.9M | 0.85% |
| 20 | STIP ISHARES TR | $22.2M | 0.83% |
Values as reported on the Q4 2023 Form 13F. Every position is in the holdings table below.