SPECTRUM ASSET MANAGEMENT, INC.
CRD #300463 SEC #801-30405 STAMFORD, CT 203-322-0189
SEC Registered Private Funds
Total AUM
$19.7B
Discretionary
$15.1B
Employees
26
Clients
0
Accounts
78
Firm Details
- Organization Type
- Corporation
- State of Formation
- Connecticut
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 4, 2025
- Branch Offices
- 3
- LEI
- WARIMOO2Y13MJ7LNX31
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| BYER, MATTHEW, ROSS | I | EXECUTIVE DIRECTOR & CHIEF OPERATING OFFICER | NA | Control |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| HANCZOR, JOSEPH, ANDREW | I | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| JACOBY, LEWIS, PHILLIP | I | EXECUTIVE DIRECTOR & CHIEF INVESTMENT OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| LIEB, MARK, ALAN | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| ORLANDO, JEAN, MARIE | I | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | NA | |
| URCIUOLI, JOSEPH, JOHN | I | MANAGING DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| URCIUOLI, JOSEPH, JOHN | I | EXECUTIVE DIRECTOR & HEAD OF RESEARCH | NA | |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | E | Control |
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | DE | OWNER | 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 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 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 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 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 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 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 GROUP INC. | DE | PRINCIPAL FINANCIAL SERVICES INC. | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
| PRINCIPAL FINANCIAL SERVICES INC. | DE | PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | E | Control |
Registrations
Federal
IA
Nov 4, 2025 REGISTERED
Notice Filings (51)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VT WA WI WV
Address
2 HIGH RIDGE PARKSTAMFORD, CT 06905
United States
Phone: 203-322-0189