Principle Wealth

RIASEC Registered

Total AUM

$3.2B

Discretionary

$3.2B

100% of AUM

Avg account

$778K

Accounts

4,120

Employees

Advisory reps

Firm details

Headquarters: Madison, Connecticut
CRD number: 290180
Registered since: October 20, 2017
Website: principlewealthpartners.com
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.