PRINCIPAL SECURITIES, INC.
Registered adviserFiling Date
Global Rank
#614
/ 8,818
▲ 33
Top Industry
Semiconductors
10.9%
Period ended 4 months ago
Filed Aug 4, 2026 · 3mo
11 quarters · since Dec 2023
Regulatory profile
From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.
Holder type
Registered adviser
Form ADV roster, Oct 1, 2026
Regulatory AUM
$17,024,265,096
Main clients
Individuals and high net worth
(98% of AUM)
Form ADV history
Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.
| Rosters | Regulatory AUM | Main clients |
|---|---|---|
| Apr 2026 to Oct 2026 | $17,024,265,096 | Individuals and high net worth (98%) |
| Apr 2025 to Mar 2026 | $14,827,718,110 | Individuals and high net worth (98%) |
| Apr 2024 to Mar 2025 | $12,105,712,948 | Individuals and high net worth (98%) |
| May 2023 to Mar 2024 | $9,416,854,861 | Individuals and high net worth (98%) |
| Apr 2023 | $9,416,854,861 | Individuals and high net worth (98%) |
| Apr 2022 to Mar 2023 | $11,438,676,101 | Individuals and high net worth (97%) |
3 earlier changes not shown.
Portfolio style
Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.
Style
Diversified active
Top 10 weight 53.0%, 15.4 effective positions, active share 61.4% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests
Turnover
Low turnover
17.3% over the last four quarters (under 30%)
Horizon
Medium horizon
Value-weighted holding period 10.0 quarters (4 to under 12)
Closest benchmark: every 13F filer's combined book, active share 61.4%; sector active share 56.2% against the combined 13F book's sector weights.
Over time 11 measured quarters
How the bands are measured
Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.
Clone Performance
Build a hypothetical price-return history from this filer's public 13F holdings.
View clone backtestPortfolio Concentration
1,533 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026Top Position
17.6%
−0.4 pts
Top 5
44.3%
+1.1 pts
Top 10
53.0%
+1.2 pts
HHI
650
Diversified+18
Portfolio Trend
11 quarters · across all stocks
Sector Breakdown
As of Jun 30, 2026| Sector | % Portfolio | Value |
|---|---|---|
| Unclassified | 69.1% | $5,733,598,551 |
| Technology | 8.8% | $731,505,157 |
| Financial Services | 5.2% | $434,396,749 |
| Healthcare | 5.0% | $419,194,882 |
| Consumer Cyclical | 2.8% | $229,555,250 |
| Industrials | 2.7% | $225,921,074 |
| Communication Services | 2.6% | $214,225,143 |
| Consumer Defensive | 1.3% | $107,998,876 |
| Energy | 1.0% | $80,521,115 |
| Utilities | 0.6% | $47,565,940 |
| Basic Materials | 0.5% | $42,455,538 |
| Real Estate | 0.4% | $34,130,578 |
Last Quarter's Activity
Export CSVAdded To
Positions the filer increased
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| PIEQ | Principal International Equity ETF | +6,900,075 | 11,041,875 | $396,292,893 | |
| IG | Principal Investment Grade Corporate ETF | +1,585,178 | 6,438,151 | $133,044,390 | |
| YLD | Principal Active High Yield ETF | +1,471,513 | 4,807,872 | $91,734,197 | |
| — | +984,957 | 5,804,126 | $192,348,735 | ||
| GOVT | iShares U.S. Treasury Bond ETF | +354,138 | 1,657,284 | $37,752,929 | |
| SPLB | State Street(R) SPDR(R) Portfolio Long Term Corporate Bond ETF | +266,634 | 763,272 | $17,097,292 | |
| SBAR | +263,868 | 1,174,200 | $30,059,520 | ||
| GSIE | Goldman Sachs ActiveBeta(R) International Equity ETF | +259,868 | 1,266,757 | $57,890,794 | |
| — | +250,706 | 298,144 | $8,172,127 | ||
| GEM | Goldman Sachs ActiveBeta(R) Emerging Markets Equity ETF | +249,241 | 596,572 | $31,021,744 | |
| IDEF | +225,587 | 416,843 | $13,247,270 | ||
| BAI | BlackRock ETF Trust | +219,657 | 487,559 | $25,704,110 | |
| PREF | Principal Spectrum Preferred Securities Active ETF | +206,972 | 1,419,536 | $27,056,356 | |
| BUCK | Simplify Treasury Option Income ETF | +196,861 | 608,397 | $14,248,657 | |
| PY | Principal Value ETF | +189,584 | 1,617,997 | $87,211,656 | |
| — | +172,441 | 319,166 | $18,406,303 | ||
| VVR | Invesco Senior Income Trust | +157,731 | 795,132 | $2,385,396 | |
| VO | VANGUARD MID-CAP INDEX FUND | +155,030 | 206,970 | $16,675,572 | |
| IUSB | iShares Core Universal USD Bond ETF | +145,938 | 760,235 | $35,084,845 | |
| CORO | +132,312 | 421,483 | $15,426,277 | ||
| IDHQ | Invesco Ltd. | +130,494 | 244,324 | $10,679,402 | |
| SCHE | Schwab Emerging Markets Equity ETF | +115,794 | 480,364 | $17,417,998 | |
| APUE | ActivePassive U.S. Equity ETF | +114,954 | 1,483,929 | $68,557,519 | |
| MCHI | iShares MSCI China ETF | +113,877 | 123,683 | $6,311,543 | |
| AGGH | Simplify Exchange Traded Funds | +103,015 | 508,212 | $10,250,636 | |
| No positions match the current search. | |||||
Trimmed
Positions the filer reduced
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| AGG | iShares Core U.S. Aggregate Bond ETF | −464,263 | 893,305 | $88,419,328 | |
| LVHI | Franklin International Low Volatility High Dividend Index ETF | −304,031 | 189,204 | $7,678,844 | |
| EWU | iShares MSCI United Kingdom ETF | −259,081 | 242,982 | $11,211,189 | |
| COWZ | Pacer US Cash Cows 100 ETF | −238,800 | 43,402 | $2,699,604 | |
| IEMG | iShares Trust | −221,180 | 582,315 | $48,238,974 | |
| CAFX | Congress Intermediate Bond ETF | −210,531 | 104,213 | $2,566,766 | |
| RYLD | Global X Russell 2000 Covered Call ETF | −207,106 | 231,075 | $3,694,889 | |
| IJR | iShares Core S&P Small-Cap ETF | −197,088 | 199,636 | $29,608,015 | |
| VCIT | VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND | −170,362 | 11,622 | $960,558 | |
| SHV | iShares 0-1 Year Treasury Bond ETF | −99,756 | 37,573 | $4,146,180 | |
| SLQD | iShares 0-5 Year Investment Grade Corporate Bond ETF | −93,429 | 14,077 | $709,058 | |
| PSC | Principal U.S. Small-Cap ETF | −78,914 | 2,457,408 | $172,323,278 | |
| FQAL | Fidelity Quality Factor ETF | −72,839 | 8,572 | $697,426 | |
| IAGG | iShares Core International Aggregate Bond ETF | −66,101 | 19,241 | $973,594 | |
| IEFA | iShares Core MSCI EAFE ETF | −62,406 | 575,931 | $55,623,415 | |
| SCHG | Schwab U.S. Large-Cap Growth ETF | −57,053 | 1,417,627 | $47,972,497 | |
| — | −52,004 | 131,189 | $13,795,835 | ||
| SBUX | Starbucks Corp | −43,869 | 29,151 | $2,978,940 | |
| DCRE | DoubleLine Commercial Real Estate Debt ETF | −41,915 | 50,971 | $2,640,552 | |
| ETY | Eaton Vance Tax-Managed Diversified Equity Income Fund | −41,639 | 1,078,833 | $15,686,231 | |
| JEPI | JPMorgan Equity Premium Income ETF | −41,092 | 370,279 | $20,913,357 | |
| XMHQ | Victory Portfolios II | −39,244 | 18,861 | $2,129,029 | |
| FNDF | Schwab Fundamental International Equity ETF | −35,654 | 193,524 | $10,210,326 | |
| IWB | iShares Russell 1000 ETF | −35,236 | 147,167 | $60,264,886 | |
| SONY | Sony Group Corp | −35,203 | 21,217 | $425,613 | |
| No positions match the current search. | |||||
New Positions
Positions the filer opened this quarter
25 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| GBND | Goldman Sachs Core Bond ETF | 1,104,041 | $55,820,312 | |
| EWG | iShares MSCI Germany ETF | 415,435 | $17,186,545 | |
| GIGL | Goldman Sachs Corporate Bond ETF | 309,189 | $15,643,726 | |
| SFLR | 354,662 | $13,682,859 | ||
| GSC | Goldman Sachs Small Cap Equity ETF | 110,713 | $7,664,660 | |
| IALT | 174,643 | $4,898,736 | ||
| IGLD | FT Vest Gold Strategy Target Income ETF | 202,438 | $4,263,344 | |
| EAPR | 121,463 | $3,997,225 | ||
| GGOV | 69,026 | $3,471,317 | ||
| UFO | Procure Space ETF | 56,876 | $2,881,906 | |
| HONA | Honeywell Aerospace Inc. | 12,287 | $2,716,409 | |
| DIVB | BlackRock, Inc. | 38,545 | $2,374,372 | |
| SPCX | Space Exploration Technologies Corp | 13,567 | $2,318,057 | |
| VIK | Viking Holdings Ltd | 16,809 | $1,759,398 | |
| BOTT | Themes Humanoid Robotics ETF | 29,387 | $1,492,301 | |
| ATI | Ati Inc | 6,215 | $1,224,976 | |
| BG | Bunge Global SA | 11,135 | $1,188,438 | |
| ALC | Alcon Inc | 17,498 | $1,174,115 | |
| URAN | Themes Uranium & Nuclear ETF | 28,116 | $1,073,890 | |
| DPZ | Dominos Pizza Inc | 3,593 | $1,063,671 | |
| STM | STMicroelectronics N.V. | 13,327 | $998,059 | |
| BWA | Borgwarner Inc | 14,335 | $951,844 | |
| SOLS | Solstice Advanced Materials Inc. | 10,162 | $900,353 | |
| XOVR | EntrepreneurShares Series Trust ERShares Private-Public Crossover ETF | 39,616 | $833,916 | |
| SPXT | ProShares S&P 500 Ex-Technology ETF | 7,586 | $821,237 | |
| No positions match the current search. | ||||
Sold Out
Positions the filer fully exited
25 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| JUST | Goldman Sachs JUST U.S. Large Cap Equity ETF | 30,129 | $2,786,811 | |
| ICF | iShares Select U.S. REIT ETF | 36,769 | $2,275,633 | |
| VRP | Invesco Ltd. | 84,850 | $2,034,703 | |
| CPRT | Copart Inc | 28,577 | $948,756 | |
| LYB | LyondellBasell Industries N.V. | 10,537 | $848,860 | |
| BRX | Brixmor Property Group Inc. | 27,973 | $805,622 | |
| SIG | Signet Jewelers Ltd | 8,418 | $712,499 | |
| ALGN | Align Technology Inc | 4,156 | $712,463 | |
| KT | Kt Corp | 32,666 | $700,685 | |
| CUBE | CubeSmart | 15,825 | $579,986 | |
| IMAR | 18,736 | $543,906 | ||
| CRDT | Simplify Opportunistic Income ETF | 23,859 | $537,519 | |
| PPL | PPL Corp | 12,061 | $460,730 | |
| SCCO | Southern Copper Corp | 2,592 | $445,979 | |
| RFIX | 10,629 | $430,049 | ||
| SLAB | Silicon Laboratories Inc. | 1,972 | $410,471 | |
| GEHC | GE HealthCare Technologies Inc. | 5,436 | $386,934 | |
| RFV | Victory Portfolios II | 2,960 | $384,711 | |
| AAAU | Goldman Sachs Physical Gold ETF | 7,741 | $357,556 | |
| ICLN | iShares Global Clean Energy ETF | 18,277 | $334,286 | |
| PSP | Victory Portfolios II | 5,796 | $327,589 | |
| LDOS | Leidos Holdings, Inc. | 2,026 | $315,083 | |
| PRIM | Primoris Services Corp | 2,181 | $311,970 | |
| PCG | PG&E Corp | 17,294 | $303,855 | |
| IGBH | iShares Interest Rate Hedged Long-Term Corporate Bond ETF | 12,507 | $302,419 | |
| No positions match the current search. | ||||
1,533 tracked positions ·
$8,301,068,853 total
· filing declares
1,539 positions · $8,305,462,292
· as of Jun 30, 2026
All sectors
Basic Materials
Communication Services
Consumer Cyclical
Consumer Defensive
Energy
Financial Services
Healthcare
Industrials
Real Estate
Technology
Utilities
Showing 1–50
of 1,533 positions by value
· page 1 of 31
| Ticker | Company | Type | Shares | Value (USD) | % of Portfolio | History |
|---|---|---|---|---|---|---|
| PIEQ |
Principal International Equity ETF
|
Added | 11,041,875 | $396,292,893 | 4.77% | |
| USMC |
Principal U.S. Mega-Cap ETF
|
Added | 4,823,521 | $357,553,141 | 4.31% | |
| IVV |
iShares Core S&P 500 ETF
|
Added | 371,938 | $278,540,648 | 3.36% | |
|
|
Added | 5,804,126 | $192,348,735 | 2.32% | ||
| PSC |
Principal U.S. Small-Cap ETF
|
Reduced | 2,457,408 | $172,323,278 | 2.08% | |
| BCHP |
Principal Exchange-Traded Funds
|
Added | 4,261,372 | $154,133,825 | 1.86% | |
| IG |
Principal Investment Grade Corporate ETF
|
Added | 6,438,151 | $133,044,390 | 1.60% | |
| GSUS |
Goldman Sachs MarketBeta U.S. Equity ETF
|
Added | 1,209,324 | $124,681,304 | 1.50% | |
| NVDA |
Nvidia Corp
Technology
|
Added | 512,188 | $102,483,696 | 1.23% | |
| AAPL |
Apple Inc.
Technology
|
Added | 336,456 | $97,356,908 | 1.17% | |
| YLD |
Principal Active High Yield ETF
|
Added | 4,807,872 | $91,734,197 | 1.11% | |
| AGG |
iShares Core U.S. Aggregate Bond ETF
|
Reduced | 893,305 | $88,419,328 | 1.07% | |
| PY |
Principal Value ETF
|
Added | 1,617,997 | $87,211,656 | 1.05% | |
| MSFT |
Microsoft Corp
Technology
|
Added | 233,753 | $87,194,544 | 1.05% | |
| AMZN |
Amazon Com Inc
Consumer Cyclical
|
Added | 347,640 | $82,856,517 | 1.00% | |
| IUSV |
iShares Core S&P U.S. Value ETF
|
Reduced | 671,256 | $73,938,848 | 0.89% | |
| SPYM |
State Street(R) SPDR(R) Portfolio S&P 500(R) ETF
|
Reduced | 838,885 | $73,721,213 | 0.89% | |
| GOOGL |
Alphabet Inc.
Communication Services
|
Reduced | 194,208 | $69,404,112 | 0.84% | |
| APUE |
ActivePassive U.S. Equity ETF
|
Added | 1,483,929 | $68,557,519 | 0.83% | |
| VTI |
VANGUARD TOTAL STOCK MARKET INDEX FUND
|
Reduced | 168,597 | $62,387,633 | 0.75% | |
| GCOR |
Goldman Sachs Access U.S. Aggregate Bond ETF
|
Added | 1,507,766 | $62,059,648 | 0.75% | |
| IWB |
iShares Russell 1000 ETF
|
Reduced | 147,167 | $60,264,886 | 0.73% | |
| IVW |
iShares S&P 500 Growth ETF
|
Added | 428,592 | $58,944,257 | 0.71% | |
| GSIE |
Goldman Sachs ActiveBeta(R) International Equity ETF
|
Added | 1,266,757 | $57,890,794 | 0.70% | |
| FTEC |
Fidelity MSCI Information Technology Index ETF
|
Reduced | 198,769 | $56,764,451 | 0.68% | |
| GBND |
Goldman Sachs Core Bond ETF
|
NEW | 1,104,041 | $55,820,312 | 0.67% | |
| IEFA |
iShares Core MSCI EAFE ETF
|
Reduced | 575,931 | $55,623,415 | 0.67% | |
| SCHP |
Schwab U.S. TIPS ETF
|
Added | 1,978,213 | $52,422,644 | 0.63% | |
| GSLC |
Goldman Sachs ActiveBeta(R) U.S. Large Cap Equity ETF
|
Added | 355,063 | $50,379,889 | 0.61% | |
| AVGO |
Broadcom Inc.
Technology
|
Added | 128,290 | $48,461,547 | 0.58% | |
| IEMG |
iShares Trust
|
Reduced | 582,315 | $48,238,974 | 0.58% | |
| SCHG |
Schwab U.S. Large-Cap Growth ETF
|
Reduced | 1,417,627 | $47,972,497 | 0.58% | |
| IDEV |
iShares Core MSCI International Developed Markets ETF
|
Added | 536,680 | $47,769,886 | 0.58% | |
| GOOG |
Alphabet Inc.
Communication Services
|
Added | 134,297 | $47,451,159 | 0.57% | |
| IUSG |
iShares Core S&P U.S. Growth ETF
|
Reduced | 231,839 | $43,606,597 | 0.53% | |
| META |
Meta Platforms, Inc.
Communication Services
|
Added | 76,424 | $43,048,874 | 0.52% | |
| MBB |
iShares MBS ETF
|
Added | 449,653 | $42,501,201 | 0.51% | |
| QQQ |
Invesco Qqq Trust, Series 1
|
Added | 55,842 | $41,122,048 | 0.50% | |
| IXUS |
iShares Core MSCI Total International Stock ETF
|
Reduced | 404,333 | $38,589,541 | 0.46% | |
| GOVT |
iShares U.S. Treasury Bond ETF
|
Added | 1,657,284 | $37,752,929 | 0.45% | |
| VEA |
Vanguard FTSE Developed Markets ETF
|
Reduced | 495,560 | $35,308,650 | 0.43% | |
| IUSB |
iShares Core Universal USD Bond ETF
|
Added | 760,235 | $35,084,845 | 0.42% | |
| JPM |
Jpmorgan Chase & Co
Financial Services
|
Added | 106,584 | $34,888,140 | 0.42% | |
| TSM |
Taiwan Semiconductor Manufacturing Co Ltd
Technology
|
Added | 72,621 | $34,681,610 | 0.42% | |
| BND |
VANGUARD TOTAL BOND MARKET INDEX FUND
|
Added | 465,841 | $34,197,387 | 0.41% | |
| VTV |
VANGUARD VALUE INDEX FUND
|
Added | 155,650 | $33,920,804 | 0.41% | |
| DYNF |
iShares U.S. Equity Factor Rotation Active ETF
|
Added | 481,587 | $32,752,731 | 0.39% | |
| GEM |
Goldman Sachs ActiveBeta(R) Emerging Markets Equity ETF
|
Added | 596,572 | $31,021,744 | 0.37% | |
| SPY |
Spdr S&P 500 ETF Trust
|
Added | 40,728 | $30,414,448 | 0.37% | |
| SBAR |
|
Added | 1,174,200 | $30,059,520 | 0.36% |
Showing the top 50 of 1,533 positions. Create a free account to see every position, past quarters, search, filters and CSV export.
Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.