at


Investment Adviser Firm Summary

PRINCIPAL GLOBAL INVESTORS, LLC (CRD# 109002 / SEC# 801-55959)
Alternate Names: ALIGNED INVESTORS , EDGE ASSET MANAGEMENT , MACRO CURRENCY GROUP , MULTI-ASSET ADVISORS , PRINCIPAL CAPITAL , PRINCIPAL CAPITAL MANAGEMENT LLC , PRINCIPAL GLOBAL EQUITIES , PRINCIPAL GLOBAL FIXED INCOME , PRINCIPAL GLOBAL INVESTORS , PRINCIPAL GLOBAL INVESTORS, LLC , PRINCIPAL PORTFOLIO STRATEGIES , QUALITY CORE INVESTORS

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/26/1998

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 01/23/2006
Alaska 01/27/2006
Arizona 01/23/2006
Arkansas 01/25/2006
California 01/23/2006
Colorado 01/23/2006
Connecticut 01/23/2006
Delaware 01/30/2006
District of Columbia 01/23/2006
Florida 01/24/2006
Georgia 01/23/2006
Hawaii 01/23/2006
Idaho 01/23/2006
Illinois 02/01/2006
Indiana 01/23/2006
Iowa 03/31/2005
Kansas 01/23/2006
Kentucky 01/23/2006
Louisiana 01/23/2006
Maine 01/23/2006
Maryland 01/23/2006
Massachusetts 01/23/2006
Michigan 01/23/2006
Minnesota 01/31/2006
Mississippi 01/23/2006
Missouri 01/23/2006
Montana 01/23/2006
Nebraska 01/23/2006
Nevada 01/23/2006
New Hampshire 01/23/2006
New Jersey 02/28/2006
New Mexico 01/23/2006
New York 01/23/2006
North Carolina 01/23/2006
North Dakota 01/23/2006
Ohio 01/23/2006
Oklahoma 01/23/2006
Oregon 01/23/2006
Pennsylvania 01/23/2006
Puerto Rico 01/23/2006
Rhode Island 01/23/2006
South Carolina 01/23/2006
South Dakota 01/25/2006
Tennessee 01/24/2006
Texas 01/23/2006
Utah 01/23/2006
Vermont 01/23/2006
Virgin Islands 10/26/2012
Virginia 01/23/2006
Washington 01/23/2006
West Virginia 01/23/2006
Wisconsin 01/23/2006
Wyoming 03/29/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser