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Principal Securities, Inc.

SEC CIK
0000012600
Latest filing
Aug 4, 2026

Holdings in Q3 2025

Holdings as of Sep 30, 2025, filed Nov 12, 2025. Long positions only; changes compare share counts with Q2 2025.

Institution overview
Positions
3,731
+58 vs. Q2 2025
Portfolio value
$6.07B
+$749.5M (+14.1%) vs. Q2 2025
Filed
Nov 12, 2025
SEC
Holdings of Principal Securities, Inc. in Q3 2025
SecurityClassSharesValue% of portfolioShare changeActionHistory
Principal Exchange Traded FD74255Y870US MEGA CP ETF4,379,501$298.6M4.9%+373,083+9.3%Added–
iShares Core S&P 500 ETF464287200ETF268,803$179.9M3.0%+59,698+28.5%Added–
iShares Core U.S. Aggregate Bond ETF464287226ETF1,311,530$131.5M2.2%+104,435+8.7%Added–
Principal Exchange Traded FD74255Y714FOCU BLUE CH ETF3,382,028$127.3M2.1%+767,985+29.4%Added–
Principal Exchange Traded FD74255Y607PRIN U S SMALL2,219,443$126.4M2.1%−28,082−1.2%Reduced–
Goldman Sachs ETF Tr381430123MARKETBETA US EQ1,137,684$105.1M1.7%+19,063+1.7%Added–
MSFTMicrosoft CorpStock191,661$99.3M1.6%+14,941+8.5%AddedHistory
Principal Exchange Traded FD74255Y698INTL EQUITY ETF3,135,239$99.2M1.6%+766,245+32.3%Added–
iShares Core S&P US Value ETF464287663ETF736,567$73.6M1.2%+3,427+0.5%Added–
State Street SPDR Portfolio S&P 500 ETF78464A854ETF933,131$73.1M1.2%−66,437−6.6%Reduced–
NVDANVIDIA CorpStock388,113$72.4M1.2%+23,022+6.3%AddedHistory
AMZNAmazon Com IncStock315,536$69.3M1.1%+12,303+4.1%AddedHistory
AAPLApple Inc.Stock262,373$66.8M1.1%+16,609+6.8%AddedHistory
Principal Exchange Traded FD74255Y821PRNC INVT GRAD3,108,813$65.6M1.1%+550,679+21.5%Added–
iShares Tr464287622RUS 1000 ETF175,983$64.3M1.1%−2,928−1.6%Reduced–
iShares Core S&P U.S. Growth ETF464287671ETF348,963$57.4M0.9%+44,029+14.4%Added–
Goldman Sachs ETF Tr38149W101ACCESS US AGRAT1,312,863$54.9M0.9%+114,941+9.6%Added–
iShares Core MSCI Emerging Markets ETF46434G103ETF801,214$52.8M0.9%+44,959+5.9%Added–
Vanguard Morningstar Total Stock Market ETF922908769ETF155,275$51.0M0.8%+9,506+6.5%Added–
iShares S&P 500 Growth ETF464287309ETF418,180$50.5M0.8%+33,738+8.8%Added–
iShares Core MSCI Eafe ETF46432F842ETF561,976$49.1M0.8%−45,813−7.5%Reduced–
Principal Exchange Traded FD74255Y300PRNCPL VLU ETF933,336$49.0M0.8%+248,627+36.3%Added–
Trust for Professional Manag89834G729ACTIVEPASSIVE US1,176,065$48.0M0.8%+249,368+26.9%Added–
GOOGLAlphabet Inc.Stock194,972$47.4M0.8%+13,520+7.5%AddedHistory
METAMeta Platforms, Inc.Stock64,452$47.3M0.8%+3,571+5.9%AddedHistory
Goldman Sachs ETF Tr381430107ACTIVEBETA INT1,009,846$41.5M0.7%−78,246−7.2%Reduced–
Principal Exchange Traded FD74255Y102ACTIVE HIGH YL2,112,828$41.1M0.7%+670,164+46.5%Added–
Schwab U.S. Large-Cap Growth ETF808524300ETF1,279,964$40.8M0.7%−44,581−3.4%Reduced–
Schwab US Tips ETF808524870ETF1,501,036$40.5M0.7%+87,632+6.2%Added–
iShares Tr46435G326CORE MSCI INTL475,828$38.1M0.6%+37,442+8.5%Added–
iShares Core MSCI Total International Stock ETF46432F834ETF451,090$37.3M0.6%−15,082−3.2%Reduced–
J P Morgan Exchange Traded F46641Q332EQUITY PREMIUM620,587$35.4M0.6%+60,303+10.8%Added–
AVGOBroadcom Inc.Stock106,459$35.1M0.6%−3,272−3.0%ReducedHistory
Goldman Sachs ETF Tr381430503ACTIVEBETA US LG251,884$32.8M0.5%+9,620+4.0%Added–
iShares Core S&P Small Cap ETF464287804ETF264,525$31.4M0.5%−3,936−1.5%Reduced–
iShares Russell Top 200 Growth ETF464289438ETF109,086$29.9M0.5%+91,444+518.3%Added–
Vanguard Ftse Developed Markets ETF921943858ETF493,104$29.5M0.5%+1,986+0.4%Added–
Vanguard Total Bond Market ETF921937835ETF392,152$29.2M0.5%+41,681+11.9%Added–
JPMJPMorgan Chase & CoStock91,968$29.0M0.5%+3,753+4.3%AddedHistory
Principal Exchange Traded FD74255Y201QUALITY ETF367,369$28.0M0.5%−22,788−5.8%Reduced–
iShares S&P 500 Value ETF464287408ETF131,894$27.2M0.4%+7,494+6.0%Added–
GOOGAlphabet Inc.Stock110,698$27.0M0.4%+1,750+1.6%AddedHistory
Vanguard Morningstar Value ETF922908744ETF142,587$26.6M0.4%+7,215+5.3%Added–
VVisa Inc.Stock77,863$26.6M0.4%+2,546+3.4%AddedHistory
State Street SPDR Portfolio S&P 500 Growth ETF78464A409ETF254,136$26.6M0.4%+26,756+11.8%Added–
Invesco QQQ Trust Series I46090E103ETF43,860$26.3M0.4%+1,498+3.5%Added–
iShares Tr46434V613CORE UNIVRSL USD524,695$24.5M0.4%+57,121+12.2%Added–
Invesco Exch Traded FD Tr II46138E339S&P 500 MOMNTM198,768$24.1M0.4%−294,023−59.7%Reduced–
iShares Tr464288513IBOXX HI YD ETF292,729$23.8M0.4%+31,573+12.1%Added–
BRK.BBerkshire Hathaway IncStock46,708$23.5M0.4%+1,841+4.1%AddedHistory
Principal Exchange Traded FD74255Y680CAP APP SEL ETF803,223$23.3M0.4%+401,445+99.9%Added–
iShares Tr464287150CORE S&P TTL STK156,585$22.8M0.4%−2,439−1.5%Reduced–
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242ETF202,883$22.6M0.4%+46,489+29.7%Added–
iShares Tr464288588MBS ETF231,823$22.1M0.4%+59,345+34.4%Added–
Trust for Professional Manag89834G737ACTIVEPASSIVE EQ608,977$21.6M0.4%+60,093+10.9%Added–
TSMTaiwan Semiconductor Manufacturing Co LtdADR75,774$21.2M0.3%−7,871−9.4%ReducedHistory
Vanguard Long-Term Treasury ETF92206C847ETF360,581$20.5M0.3%+16,937+4.9%Added–
Fidelity MSCI Information Technology Index ETF316092808ETF86,652$19.3M0.3%+55,328+176.6%Added–
iShares Tr46435G334MSCI UK ETF NEW456,845$19.2M0.3%+32,955+7.8%Added–
BlackRock ETF Trust09290C103ISHARES US EQUIT319,887$18.9M0.3%+50,275+18.6%Added–
ETYEaton Vance Tax-Managed Diversified Equity Income FundCOM1,151,738$18.3M0.3%+17,259+1.5%AddedHistory
Schwab Fundamental U.S. Large Company ETF808524771ETF681,154$17.9M0.3%−10,209−1.5%Reduced–
Trust for Professional Manag89834G752ACTIVEPASSIVE CR598,469$17.9M0.3%+120,110+25.1%Added–
MAMastercard IncStock30,210$17.2M0.3%+1,388+4.8%AddedHistory
iShares MSCI USA Quality Factor ETF46432F339ETF87,584$17.0M0.3%−568−0.6%Reduced–
Global X FDS37954Y483NASDAQ 100 COVER988,061$16.8M0.3%−54,153−5.2%Reduced–
Global X FDS37954Y475S&P 500 COVERED428,043$16.8M0.3%+10,183+2.4%Added–
TSLATesla, Inc.Stock36,337$16.2M0.3%+3,261+9.9%AddedHistory
Schwab Fundamental Emerging Markets Equity ETF808524730ETF436,861$15.8M0.3%−31,504−6.7%Reduced–
Goldman Sachs ETF Tr381430479ACCESS INVT GR336,508$15.7M0.3%+11,727+3.6%Added–
Vanguard Index FDS922908652EXTEND MKT ETF73,706$15.4M0.3%+3,569+5.1%Added–
Vanguard Intermediate-Term Corporate Bond ETF92206C870ETF178,498$15.0M0.2%+1,255+0.7%Added–
Vanguard Scottsdale FDS92206C409SHRT TRM CORP BD186,974$14.9M0.2%+14,769+8.6%Added–
LLYEli Lilly & CoStock19,450$14.8M0.2%+302+1.6%AddedHistory
SCHWSchwab Charles CorpStock152,070$14.5M0.2%+8,144+5.7%AddedHistory
iShares U S ETF Tr46431W598BLOOMBERG ROLL268,906$14.1M0.2%+15,890+6.3%Added–
iShares Tr46435U853BROAD USD HIGH371,463$14.0M0.2%−19,079−4.9%Reduced–
ORCLOracle CorpStock49,599$13.9M0.2%−11,306−18.6%ReducedHistory
SPDR Series Trust78468R606ST PORT HIGH ETF582,366$13.9M0.2%−578−0.1%Reduced–
ABBVAbbVie Inc.Stock59,351$13.7M0.2%+1,480+2.6%AddedHistory
Vanguard Health Care ETF92204A504ETF52,467$13.6M0.2%+4,375+9.1%Added–
Goldman Sachs ETF Tr381430206ACTIVEBETA EME331,224$13.5M0.2%+13,062+4.1%Added–
SPYSPDR S&P 500 ETF TrustETF20,217$13.5M0.2%+345+1.7%AddedHistory
Goldman Sachs ETF Tr38149W598MAR 1000 GRO ETF210,808$13.3M0.2%+112,059+113.5%Added–
Vanguard Ftse Emerging Markets ETF922042858ETF242,833$13.2M0.2%+13,376+5.8%Added–
Vanguard S&P 500 ETF922908363ETF21,421$13.1M0.2%+1,958+10.1%Added–
iShares U.S. Treasury Bond ETF46429B267ETF563,417$13.0M0.2%+210,989+59.9%Added–
Vanguard Morningstar Mid-Cap ETF922908629ETF44,310$13.0M0.2%+2,693+6.5%Added–
Legg Mason ETF Invt52468L505FRANKLIN INTL LW374,473$13.0M0.2%+96,824+34.9%Added–
Invesco S&P 500 Quality ETF46137V241ETF176,324$12.9M0.2%+1,764+1.0%Added–
Principal Exchange Traded FD74255Y888SPECTRUM PFD672,795$12.9M0.2%+243,438+56.7%Added–
Schwab U.S. REIT ETF808524847ETF589,221$12.7M0.2%+95,923+19.4%Added–
BKNGBooking Holdings Inc.Stock2,346$12.7M0.2%−37−1.6%ReducedHistory
PMPhilip Morris International Inc.Stock76,547$12.4M0.2%+2,420+3.3%AddedHistory
HDHome Depot, Inc.Stock30,058$12.2M0.2%−341−1.1%ReducedHistory
Global X FDS37954Y293GLB X MLP ENRG I194,142$12.2M0.2%+18,591+10.6%Added–
WMTWalmart Inc.Stock117,095$12.1M0.2%−188−0.2%ReducedHistory
Invesco Exchange Traded FD T46137V449S&P 100 EQL WIGH105,043$12.0M0.2%+8,674+9.0%Added–
Simplify Exchange Traded Fun82889N632ENHANCED INM ETF520,839$12.0M0.2%+57,620+12.4%Added–
XOMExxonMobil Holdings CorpCOM105,404$11.9M0.2%+4,918+4.9%AddedHistory

Sold out since Q2 2025 (145)

Positions held at the end of Q2 2025 that are gone from this filing.

The largest 100 of 145 by value last quarter.

Positions of Principal Securities, Inc. sold out since Q2 2025
SecurityClassShares in Q2 2025Value in Q2 2025% of portfolio in Q2 2025History
Fidelity Covington Trust316092139DISRUPTIVE TECH20,942$816.9K<0.1%–
IBITiShares Bitcoin Trust ETFETF4,697$287.5K<0.1%History
ProShares Tr74347R842PSHS ULTRUSS20006,218$234.2K<0.1%–
ANSSAnsys IncCOM587$206.3K<0.1%History
ETHAiShares Ethereum Trust ETFSHS10,314$196.7K<0.1%History
HESHess CorpStock1,253$173.6K<0.1%History
Calamos ETF Tr12811T761S&P 500 STRUCTUR4,885$118.6K<0.1%–
Calamos ETF Tr12811T845NASDAQ 100 STRUT4,723$118.5K<0.1%–
Invesco Exchange Traded FD T46137V373S&P500 EQL STP2,800$83.9K<0.1%–
SPDR Index Shs FDS78463X863ST DOW INTL ETF1,953$53.5K<0.1%–
WBAWalgreens Boots Alliance, Inc.COM4,412$50.6K<0.1%History
Innov Prem Inc 10 Barr-July45783Y574ETP1,596$39.6K<0.1%–
WHDCactus, Inc.CL A880$38.5K<0.1%History
Pioneer High Income Tr72369H106COM4,447$36.0K<0.1%–
AZEKAZEK Co Inc.CL A573$31.1K<0.1%History
GMSGMS Inc.COM260$28.3K<0.1%History
iShares U S ETF Tr46431W705INT RT HDG C B305$28.2K<0.1%–
JPINuveen Preferred Securities & Income Opportunities FundCOM1,250$26.0K<0.1%History
First Tr Exch TRD Alphdx FD33737J133BRAZIL ALPHADEX2,083$25.0K<0.1%–
CHXChampionX CorpCOM989$24.6K<0.1%History
UUPInvesco DB US Dollar Index Bullish FundBULLISH FD833$22.4K<0.1%History
Elevation Series Trust210322731OPAL DIVID INCOM615$21.5K<0.1%–
Ea Series Trust02072L516ALPHA ARCHITECT231$20.5K<0.1%–
Listed FD Tr53656F847CORE ALT FD753$20.2K<0.1%–
iShares Tr46435U333FOCUSD VAL FAC279$20.1K<0.1%–
Series Portfolios Tr81752T528ELDRIDGE BBB B737$19.7K<0.1%–
Invesco Exchange Traded FD T46137Y609S&P 500A EQL488$18.7K<0.1%–
SKXSkechers USA IncCL A286$18.0K<0.1%History
Dimensional ETF Trust25434V104US CORE EQT MKT365$15.5K<0.1%–
iShares Tr464287838U.S. BAS MTL ETF100$14.0K<0.1%–
JNPRJuniper Networks IncCOM328$13.1K<0.1%History
NVEENV5 Global, Inc.COM545$12.6K<0.1%History
WisdomTree Tr97717X131INTL QULTY DIV309$12.3K<0.1%–
Invesco Exchange Traded FD T46137V837DORS WRI MOM ETF109$11.8K<0.1%–
Dimensional ETF Trust25434V831US HIGH PROF ETF326$11.6K<0.1%–
AIOVirtus Artificial Intelligence & Technology Opportunities FundCOM389$9.65K<0.1%History
ProShares Tr74347G606S&P TECH DIVIDEN105$8.74K<0.1%–
THQabrdn Healthcare Opportunities FundSHS450$8.28K<0.1%History
BDNBrandywine Realty TrustSH BEN INT NEW1,840$7.89K<0.1%History
Pacer FDS Tr69374H709GLOBL CASH ETF195$7.40K<0.1%–
CHWCalamos Global Dynamic Income FundCOM1,000$7.13K<0.1%History
WOLFWolfspeed, Inc.Stock17,761$7.08K<0.1%History
BGRBlackRock Energy & Resources TrustCOM500$6.63K<0.1%History
First Tr Exchange-Traded Alp33737M201MID CAP VAL FD124$6.42K<0.1%–
First Tr Exchange-Traded FD33734X168MATERIALS ALPH107$6.09K<0.1%–
WDIWestern Asset Diversified Income Fund (WDI)COM SHS BEN INT400$5.94K<0.1%History
Fidelity Merrimack STR Tr316188101CORP BOND ETF125$5.92K<0.1%–
POETPoet Technologies Inc.COM NEW1,120$5.83K<0.1%History
OPFIOppFi Inc.COM CL A400$5.60K<0.1%History
SBLKStar Bulk Carriers Corp.SHS PAR308$5.32K<0.1%History
Paramount Global92556H206CL B394$5.08K<0.1%–
ProShares Tr74347X831ULTRAPRO QQQ60$4.98K<0.1%–
J P Morgan Exchange Traded F46641Q845DIVERSFD EQT ETF103$4.68K<0.1%–
First Tr Exch TRD Alphdx FD33737J802INDIA NFTY50 EQW70$4.20K<0.1%–
J P Morgan Exchange Traded F46654Q757JPMORGAN INTL VL59$4.09K<0.1%–
BTXBlackRock Technology & Private Equity Term TrustSHS BEN INT555$4.07K<0.1%History
FUNSix Flags Entertainment CorporationCOM133$4.05K<0.1%History
Kraneshares Tr500767587QUADRATIC DEFLA322$4.03K<0.1%–
PRPHProPhase Labs, Inc.COM10,000$3.91K<0.1%History
PPBIPacific Premier Bancorp IncCOM179$3.77K<0.1%History
Advisorshares Tr00768Y545VICE E T F108$3.70K<0.1%–
ASPNAspen Aerogels IncCOM604$3.58K<0.1%History
GNTGAMCO Natural Resources, Gold & Income TrustSH BEN INT500$3.15K<0.1%History
Cambria ETF Tr132061201SHSHLD YIELD ETF46$2.99K<0.1%–
OPCHOption Care Health, Inc.COM NEW90$2.92K<0.1%History
Global X Uranium ETF37954Y871ETF67$2.60K<0.1%–
WNSWNS (Holdings) LtdCOM SHS41$2.59K<0.1%History
AMEDAmedisys IncCOM25$2.46K<0.1%History
VTLEVital Energy, Inc.COM152$2.45K<0.1%History
Tema ETF Trust87975E305LUXURY ETF105$2.39K<0.1%–
SKWDSkyward Specialty Insurance Group, Inc.COM38$2.20K<0.1%History
QUIKQUICKLOGIC CorpCOM NEW350$2.16K<0.1%History
RDUSRadius Recycling, Inc.CL A72$2.14K<0.1%History
VERVVerve Therapeutics, Inc.COM188$2.11K<0.1%History
CEPCantor Equity Partners, Inc.SHS CL A70$1.95K<0.1%History
BLFSBiolife Solutions IncCOM NEW89$1.92K<0.1%History
Webull CorpG9572D129*W EXP 04/10/2021,000$1.87K<0.1%–
Paramount Global92556H107CL A81$1.86K<0.1%–
Innovator ETFs Trust45783Y533INNOVATOR INTER60$1.85K<0.1%–
Lattice Strategies Tr518416870HART DI EQUI ETF31$1.84K<0.1%–
VanEck Vectors ETF Tr92189F593MORNINGSTAR INTL52$1.80K<0.1%–
ESGREnstar Group LTDSHS5$1.68K<0.1%History
First Tr Exch Traded FD III33739P871HORIZON MNGD ETF45$1.57K<0.1%–
First Tr Exch Traded FD III33739P889HORIZON DMST ETF39$1.56K<0.1%–
AB Active ETFs Inc00039J830SHOR DU YIEL ETF42$1.51K<0.1%–
MGNIMagnite, Inc.COM62$1.50K<0.1%History
FAROFaro Technologies IncCOM33$1.45K<0.1%History
UNITUniti Group Inc.COM285$1.23K<0.1%History
HLVXHilleVax, Inc.COM600$1.19K<0.1%History
NINENine Energy Service, Inc.COM1,540$1.19K<0.1%History
American Centy ETF Tr025072703INTL EQT ETF15$1.13K<0.1%–
PSQHPSQ Holdings, Inc.CL A500$1.02K<0.1%History
DBBInvesco DB Base Metals FundBASE METALS FD52$1.01K<0.1%History
Neos ETF Trust78433H303NEOS S&P 500 HI20$1.01K<0.1%–
SUZSuzano S.A.SPON ADS97$913<0.1%History
KLGWK Kellogg CoCOM57$909<0.1%History
ROOTRoot, Inc.CL A NEW7$896<0.1%History
HFROHighland Opportunities & Income FundHIGHLAND INCOME168$874<0.1%History
XYFX FinancialSPONSORED ADS45$786<0.1%History
SVCService Properties TrustCOM SH BEN INT322$770<0.1%History