Principle Wealth

RIASEC Registered
Total AUM
$3.2B
Discretionary
$3.2B
100% of AUM
Avg account
$778K
Accounts
4,120
Employees
28
Advisory reps
21

Firm details

Headquarters
Madison, Connecticut
CRD number
290180
Registered since
October 20, 2017
Custodians
FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • HNWI87.55%
  • Individuals6.47%
  • Pension & Profit Sharing Plans3.53%
  • Corporations / Businesses2.37%
  • Charitable Organizations0.09%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Principle Wealth is an independent registered investment adviser organized as an LLC and registered with the SEC in 2017. The firm acts as a capital allocator for a mixed client base that includes high-net-worth individuals and families as well as institutional clients. Its advisory offering covers financial planning, discretionary portfolio management for individuals, small businesses and institutions, pension consulting services, and the selection of third‑party advisers. Fee arrangements combine percentage-of-AUM billing with fixed fees. Principle Wealth does not identify itself as an ESG-focused investor. The firm has received several industry mentions, including recognition from Citywire (50 Growers Across America, 2022) and placements on Forbes’ lists of Top RIA Firms and America’s Top RIA Firms in 2022, 2023 and 2024.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 58%, Public Funds/Mutual Funds 34%, Cash & Cash Equivalents 6%, US Government Bonds 2%58%
  • Exchange Traded Equities58%
  • Public Funds/Mutual Funds34%
  • Cash & Cash Equivalents6%
  • US Government Bonds2%

Owners & executives

FINTRX

Contacts

FINTRX

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 177

Active vs passive

$1.1B in ETFs

Passive

70%

$796M

Active

11%

$338M

ETFProviderStyleCategoryValueShares% of portfolio
INVESCO S&P 500 TOP 50 ETF (XLG)InvescoPassiveLarge Blend$166M2,609,72714.64%

Location

Primary office

Madison, CT

New Haven

Location

Madison, CT

Headquartered in Madison, CT, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
New Haven
Address
48 Wall St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth