CIK 12600
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2025-Q4. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.
Firm-level facts as reported by the adviser on Form ADV Part 1A (latest filing 2026-03-30). Regulatory assets under management (RAUM) is Form ADV's gross figure and can differ from a 13F long book — it includes private-fund assets, leverage and non-13(f) securities. Titles and figures as-filed. Latest ADV filing 2026-03-30. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| AGRAWAL, VIVEK | DIRECTOR | 2025-03 | <5% ·◆ |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 2019-12 | <5% ·◆ |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2024-05 | <5% ·◆ |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 2019-05 | <5% ·◆ |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 2024-05 | <5% ·◆ |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 2021-05 | <5% ·◆ |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2018-07 | <5% ·◆ |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 2019-12 | <5% ·◆ |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 2024-12 | <5% ·◆ |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 2024-12 | <5% ·◆ |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 2019-12 | <5% ·◆ |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 2021-03 | <5% ·◆ |
| PRINCIPAL FINANCIAL SERVICES, INC.entity | OWNER | 2001-10 | 75%+ ·◆ |
Direct owners and executive officers as filed on the adviser's Form ADV Schedule A (as-filed titles; ADV updates annually and on material change). This lists officers and 5%+ owners — not necessarily the full portfolio-management team.
Signed this manager's latest 13F (2026-Q1). The filing's authorized signatory — frequently a compliance officer, general counsel, or CFO — not necessarily the portfolio manager or firm leadership.
| Name | Role (as filed) | Departed after | Now at (if tracked) |
|---|---|---|---|
| STRABLE-SOETHOUT, DEANNA, D. | DIRECTOR | 2024-12 | Origin Asset Management LLP |
| BEITZEL, CARLA KAY | VICE PRESIDENT OF DISTRIBUTION | 2024-12 | — not seen at a tracked firm |
| RIGLER, DAVID ANDREW | CHIEF FINANCIAL OFFICER | 2024-12 | — not seen at a tracked firm |
| TREADWAY, ANTHONY SHEA | DIRECTOR | 2024-05 | — not seen at a tracked firm |
| BELTRAN, JESUS MANUEL | CHIEF SUPERVISION OFFICER | 2024-03 | — not seen at a tracked firm |
| COOPER, BROCK JEFFREY | CHIEF COMPLIANCE OFFICER | 2024-03 | — not seen at a tracked firm |
| ALVAREZ, CATHERINE MEAGHAN | VICE PRESIDENT / CHIEF COMPLIANCE OFFICER | 2023-08 | — not seen at a tracked firm |
| WELDON, TRACI LEA | SENIOR VICE PRESIDENT · VICE PRESIDENT/CHIEF COMPLIANCE OFFICER · VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 2022-03 | — not seen at a tracked firm |
| CECERE, NICHOLAS MICHAEL | DIRECTOR/SENIOR VICE PRESIDENT · DIRECTOR | 2021-09 | — not seen at a tracked firm |
| GRAHAM, GINA | VICE PRESIDENT/TREASURER · VICE PRESIDENT AND TREASURER | 2021-03 | — not seen at a tracked firm |
| LAWLER, JULIA, MARIE | DIRECTOR | 2021-01 | — not seen at a tracked firm |
| SHAFF, KAREN ELIZABETH | EXECUTIVE VICE PRESIDENT/GENERAL COUNSEL/SECRETARY · EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY · EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & CORPORATE SECRETARY | 2020-10 | — not seen at a tracked firm |
| LECLERE, JULIE SINN | CHIEF OPERATIONS OFFICER · SENIOR VICE PRESIDENT/MANAGING DIRECTOR | 2020-07 | — not seen at a tracked firm |
| CHRISTENSEN, SCOTT ALLEN | CHIEF FINANCIAL OFFICER | 2020-07 | — not seen at a tracked firm |
| VAN BAALE, JEFFREY ALAN | CHIEF INFORMATION OFFICER | 2020-01 | — not seen at a tracked firm |
| HODGSON, DOUGLAS BRIAN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2020-01 | — not seen at a tracked firm |
| HARMS, LEE MARVIN | CHIEF INFORMATION SECURITY OFFICER | 2019-11 | — not seen at a tracked firm |
| EVERETT, NORA, MARY | DIRECTOR/CHIEF EXECUTIVE OFFICER · DIRECTOR | 2018-11 | — not seen at a tracked firm |
| HOOGENSEN, KARA MARIE | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR · PRESIDENT/CHAIR | 2018-07 | — not seen at a tracked firm |
| LITCHFIELD, JENNIFER A R | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2018-06 | — not seen at a tracked firm |
| ELMING, GREGORY BERNARD | DIRECTOR | 2018-03 | — not seen at a tracked firm |
| WETHERELL, JOHN W | PRIVATE FUNDS CHIEF COMPLIANCE OFFICER · CHIEF COMPLIANCE OFFICER OF PRINCOR PRIVATE FUNDS | 2016-03 | — not seen at a tracked firm |
| HOLLEBRANDS, CURTIS BRIAN | CHIEF AML OFFICER | 2016-03 | — not seen at a tracked firm |
| BROWN, DAVID JAMES | SENIOR VICE PRESIDENT | 2015-07 | — not seen at a tracked firm |
| BOLLIN, TRACY WAYNE | CHIEF FINANCIAL OFFICER · CHIEF FINANCIAL OFFICER - FINANCIAL CONTROLLER | 2015-03 | — not seen at a tracked firm |
| BEER, MICHAEL JON | PRESIDENT AND CHIEF OPERATING OFFICER · EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER | 2015-02 | — not seen at a tracked firm |
| HOFFMAN, JOYCE NIXSON | SENIOR VICE PRESIDENT & CORPORATE SECRETARY | 2013-11 | — not seen at a tracked firm |
| ROUGHTON, MICHAEL DENNIS | SENIOR VICE PRESIDENT & SENIOR SECURITIES COUNSEL | 2013-05 | — not seen at a tracked firm |
| EUCHER, RALPH CRAIG | DIRECTOR | 2012-08 | — not seen at a tracked firm |
Named owners/officers on a past Form ADV Schedule A who are gone from the firm's latest filing. “Departed after” is the last dated filing they appear on. A landing shows only when the destination is another SEC-registered adviser we track.
