PRINCIPAL CAPITAL INCOME INVESTORS LLC
Legal name: PRINCIPAL CAPITAL INCOME INVESTORS
CRD #110579 SEC #801-57813 DES MOINES, IA 1-800-533-1390
SEC Registered
Total AUM
$38.8B
Discretionary
$11.8B
Employees
51
Clients
--
Accounts
65
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 3, 2002
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| DIOU, EUGENE, JAMES | I | EXECUTIVE DIRECTOR GLOBAL STABLE VALUE | NA | Control |
| FRANCIS, DENNIS, PAUL | I | CHAIRMAN | NA | Control |
| FRANCIS, DENNIS, PAUL | I | CHAIRMAN | NA | Control |
| FRANCIS, DENNIS, PAUL | I | CHAIRMAN | NA | Control |
| HIBBS, RICHARD, W | I | EXECUTIVE VICE PRESIDENT - MARKETING | NA | Control |
| HIBBS, RICHARD, W | I | EXECUTIVE DIRECTOR - MARKETING | NA | Control |
| HIBBS, RICHARD, W | I | EXECUTIVE DIRECTOR - MARKETING | NA | Control |
| HOWALD, TIM | I | CHIEF OPERATING OFFICER | NA | Control |
| HOWALD, TIM | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HOWALD, TIM | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAUGHAN, JAMES, PATRICK | I | BOARD MEMBER | NA | Control |
| MUNDT, RANDALL, CRAIG | I | EXECUTIVE DIRECTOR | NA | Control |
| REEG, GLORIA, DARLENE | I | PRESIDENT | NA | Control |
| REEG, GLORIA, DARLENE | I | PRESIDENT | NA | Control |
| TIMMINS, MICHAEL, JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TIMMINS, MICHAEL, JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| TIMMINS, MICHAEL, JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAUGH, RICHARD, WILLIAM | I | EXECUTIVE DIRECTOR | NA | Control |
| WAUGH, RICHARD, WILLIAM | I | EXECUTIVE DIRECTOR | NA | Control |
| WAUGH, RICHARD, WILLIAM | I | EXECUTIVE DIRECTOR | NA | Control |
| PRINCIPAL CAPITAL MANAGEMENT LLC | DE | SOLE MEMBER, 100% OWNERSHIP | E | Control |
| PRINCIPAL CAPITAL MANAGEMENT LLC | DE | SOLE MEMBER, 100% OWNERSHIP | E | Control |
| PRINCIPAL CAPITAL MANAGEMENT LLC | DE | SOLE MEMBER, 100% OWNERSHIP | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PRINCIPAL FINANCIAL GROUP, INC. | DE | PRINCIPAL FINANCIAL SERVICES, INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP, INC. | DE | PRINCIPAL FINANCIAL SERVICES, INC. | E | Control |
| PRINCIPAL FINANCIAL GROUP, INC. | DE | PRINCIPAL FINANCIAL SERVICES, INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES, INC. | DE | PRINCIPAL LIFE INSURANCE COMPANY | E | Control |
| PRINCIPAL FINANCIAL SERVICES, INC. | DE | PRINCIPAL LIFE INSURANCE COMPANY | E | Control |
| PRINCIPAL FINANCIAL SERVICES, INC. | DE | PRINCIPAL LIFE INSURANCE COMPANY | E | Control |
| PRINCIPAL LIFE INSURANCE COMPANY | DE | PRINCIPAL CAPITAL MANAGEMENT LLC | E | Control |
| PRINCIPAL LIFE INSURANCE COMPANY | DE | PRINCIPAL CAPITAL MANAGEMENT LLC | E | Control |
| PRINCIPAL LIFE INSURANCE COMPANY | DE | PRINCIPAL CAPITAL MANAGEMENT LLC | E | Control |
| PRINCIPAL MUTUAL HOLDING COMPANY | DE | PRINCIPAL FINANCIAL GROUP, INC. | E | Control |
Registrations
Federal
IA
May 3, 2002 REGISTERED
Address
801 GRAND AVEDES MOINES, IA 50392
USA
Phone: 1-800-533-1390