PRINCIPAL ENTERPRISE CAPITAL, LLC
Adviser information for PRINCIPAL ENTERPRISE CAPITAL, LLC last updated from Form ADV on March 28th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | NONE |
|---|---|
| Compensation | NONE |
Identifiers
| SEC RIA File Number | 801-73645 |
|---|---|
| SEC ERA File Number | 801-73645 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 157574 |
| Legal Entity Identifier | None |
Principal Office
801 GRAND AVEDES MOINES
IA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 1-800-533-1390, Fax: 1-866-850-4024
Websites
Chief Compliance Officer
JUSTIN THOMAS LANGE
CHIEF COMPLIANCE OFFICER
801 GRAND AVE
DES MOINES
IA
United States
Tel:
1-800-533-1390
Fax:
1-866-850-4024
L***********@************M
(Full email address available in API data)
Regulatory Contact
MARKHAM PENROD
ASSISTANT VICE PRESIDENT
801 GRAND AVE
DES MOINES
IA
United States
Tel:
8005331390
Fax:
1-866-850-4024
P*************@************M
(Full email address available in API data)
Industry Affiliates
| POST ADVISORY GROUP, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL ADVISED SERVICES | Other investment adviser, including financial planners |
| PRINCIPAL ASSET MANAGEMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL FUNDS DISTRIBUTOR, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PRINCIPAL GLOBAL INVESTORS (AUSTRALIA) LTD | Other investment adviser, including financial planners |
| PRINCIPAL GLOBAL INVESTORS (EU) LIMITED | Other investment adviser, including financial planners |
| PRINCIPAL GLOBAL INVESTORS (EUROPE) LTD | Other investment adviser, including financial planners |
| PRINCIPAL GLOBAL INVESTORS (HONG KONG) LTD | Other investment adviser, including financial planners |
| PRINCIPAL GLOBAL INVESTORS (IRELAND) LTD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL GLOBAL INVESTORS (JAPAN) LTD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL GLOBAL INVESTORS (SINGAPORE) LTD | Other investment adviser, including financial planners |
| PRINCIPAL GLOBAL INVESTORS (SWITZERLAND) GMBH | Other investment adviser, including financial planners |
| PRINCIPAL GLOBAL INVESTORS TRUST COMPANY | Trust company |
| PRINCIPAL ORIGIN | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL REAL ESTATE | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| SAMI BROKERAGE LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SPECTRUM ASSET MANAGEMENT, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PRINCIPAL FINANCIAL GROUP, INC. | Domestic Entity | PRINCIPAL FINANCIAL SERVICES, INC. | 100% OWNER | 10/2001 | > 75% |
| PRINCIPAL FINANCIAL SERVICES, INC. | Domestic Entity | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US) LLC | 100% OWNER | 05/2017 | > 75% |
| HALTER, PATRICK, GREGORY | Individual | – | CHAIRMAN | 12/2005 | < 5% |
| EVERETT, TODD, EUGENE | Individual | – | CHIEF EXECUTIVE OFFICER | 07/2020 | < 5% |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US) LLC | Domestic Entity | – | 100% OWNERSHIP | 05/2017 | > 75% |
| STRABLE-SOETHOUT, DEANNA, DAWNETTE | Individual | – | DIRECTOR | 08/2017 | < 5% |
| HITTNER, JILL, MARIE | Individual | – | DIRECTOR | 10/2018 | < 5% |
| Lange, Justin, Thomas | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2022 | < 5% |