Principal Securities, Inc.
In its 13F for Q1 2026 (holdings as of March 31, 2026, filed May 13, 2026), Principal Securities, Inc. reported 1,410 stock positions worth $6.8 billion. Its top holding was Principal US Mega-Cap ETF (USMC) at 4.5% of the portfolio, followed by iShares Core S&P 500 ETF (IVV, 3.0%) and Principal US Small-Cap ETF (PSC, 2.1%). Compared with Q4 2025, it opened 138 new positions, sold out of 72, added to 817 and reduced 439. The biggest buy was Principal CPTL Apprec S3 ETF (LCAP, shares +64%) and the biggest sale SS SPDR P S&P 500 Growth ETF (SPYG, shares −92%).
- Most Recent 13F
- Q2 2026
- Location
- DES MOINES, IA
- CIK
- 0000012600
- Portfolio Value
- $6.8B (Q1 2026)
- SEC Filing
- 0000012600-26-000009 ↗ filed May 13, 2026
Holdings Value
Holdings 1,410 stocks · $6.8B
| USMC Principal US Mega-Cap ETF | 4.47% | 4,736,954 | $304.6M | Add +6.0% |
| IVV iShares Core S&P 500 ETF | 2.97% | 309,596 | $202.2M | Add +4.9% |
| PSC Principal US Small-Cap ETF | 2.13% | 2,536,322 | $145.4M | Add +9.3% |
| PIEQ Principal Intl Eqty ETF | 2.06% | 4,141,800 | $140.7M | Add +11.2% |
| LCAP Principal CPTL Apprec S3 ETF | 2.05% | 4,819,169 | $139.7M | Add +64.0% |
| BCHP Principal Foc Blue Chip ETF | 2.04% | 4,254,860 | $139.2M | Add +9.5% |
| AGG iShares Core U.S. Aggregate | 1.98% | 1,357,568 | $134.8M | Reduce -2.2% |
| GSUS Goldman Sachs Marketbeta US | 1.52% | 1,157,612 | $103.7M | Reduce -1.9% |
| IG Prin Invest Grad Corp. ETF-Ui | 1.47% | 4,852,973 | $100.2M | Add +16.7% |
| NVDA Nvidia Corp. | 1.23% | 480,360 | $83.8M | Add +12.7% |
| MSFT Microsoft Corp. | 1.22% | 223,933 | $82.9M | Add +10.6% |
| AAPL Apple Inc. | 1.17% | 314,960 | $79.9M | Add +8.7% |
| PY Principal Value ETF | 1.08% | 1,428,413 | $73.5M | Add +23.4% |
| IUSV iShares Core S&P U.S. Value | 1.05% | 702,083 | $71.8M | Add +11.9% |
| AMZN Amazon.com Inc. | 1.04% | 338,859 | $70.6M | Add +4.8% |
| SPYM Ste STR SPDR PT S&P 500 ETF | 0.97% | 866,610 | $66.3M | Add +3.9% |
| IWB iShares Russell 1000 ETF | 0.95% | 182,403 | $65.0M | Add +1.5% |
| YLD Principal Act Hi YLD ETF | 0.93% | 3,336,359 | $63.3M | Add +16.2% |
| GCOR Goldman Sachs Access US Agg | 0.88% | 1,445,620 | $59.7M | Add +9.7% |
| IEFA iShares Core MSCI Eafe ETF | 0.85% | 638,337 | $57.8M | Add +23.0% |
| IEMG iShares Core MSCI Emerging | 0.82% | 803,495 | $56.0M | Reduce -1.3% |
| GOOGL Alphabet Inc. Class A | 0.82% | 194,773 | $56.0M | Add +1.2% |
| APUE Activepassive US Equity ETF | 0.80% | 1,368,975 | $54.9M | Add +5.2% |
| VTI VG Morningstar TS MKT ETF-US | 0.80% | 170,307 | $54.6M | Add +7.9% |
| SCHP Schwab U.S. Tips ETF | 0.76% | 1,949,070 | $51.9M | Add +23.2% |
| IJR iShares Core S&P Small-Cap E | 0.72% | 396,724 | $49.3M | Add +9.8% |
| IVW iShares S&P 500 Growth ETF | 0.70% | 422,113 | $47.7M | Reduce -2.9% |
| FTEC Fidelity MSCI Info Tech Indx | 0.65% | 212,930 | $44.3M | Add +42.9% |
| GSIE Goldman Sachs Activebeta Int | 0.64% | 1,006,889 | $43.4M | Add +6.5% |
| SCHG Schwab US Large-Cap Growth | 0.63% | 1,474,680 | $43.0M | Add +8.5% |
| IDEV iShares Core MSCI Dev MKTS | 0.61% | 496,389 | $41.5M | Reduce -2.0% |
| META Meta Platforms Inc. Class A | 0.60% | 71,947 | $41.2M | Add +5.8% |
| IUSG iShares Core S&P U.S. Growth | 0.58% | 254,203 | $39.4M | Reduce -17.2% |
| AVGO Broadcom Inc. | 0.57% | 126,181 | $39.1M | Add +11.3% |
| GOOG Alphabet Inc. Class C | 0.55% | 130,477 | $37.4M | Add +6.7% |
| IXUS iShares Core Intl Stock ETF | 0.54% | 425,599 | $36.9M | Reduce -0.1% |
| MBB iShares MBS ETF | 0.52% | 370,956 | $35.2M | Add +32.7% |
| GSLC Goldman Activebeta US LC ETF | 0.51% | 278,631 | $34.9M | Add +9.2% |
| VEA Vanguard Ftse Developed ETF | 0.47% | 498,917 | $32.0M | Add +2.7% |
| JPM JPMorgan Chase & Co. | 0.44% | 102,594 | $30.2M | Add +5.8% |
| BND Vanguard Total Bond Market | 0.44% | 407,882 | $30.0M | Add +2.4% |
| GOVT iShares US Treasury Bond ETF | 0.44% | 1,303,146 | $29.9M | Add +68.0% |
| VTV Vanguard Mrngstr Val ETF-Aui | 0.42% | 147,560 | $29.0M | Reduce -2.2% |
| IUSB Ishr CR Unvrse Usd BD ETF-Ui | 0.42% | 614,297 | $28.4M | Add +13.1% |
| IVE iShares S&P 500 Value ETF | 0.40% | 127,933 | $27.0M | Reduce -9.9% |
| QQQ Invesco QQQ Trust Series 1 | 0.40% | 46,772 | $27.0M | Add +5.0% |
| BRK.B Berkshire Hathaway Inc. Class B | 0.38% | 53,557 | $25.7M | Add +8.8% |
| DYNF Ishrs US E F R A ETF-Usd Inc. | 0.37% | 427,852 | $24.9M | Add +4.7% |
| APIE Activepassive Intl Eqty ETF | 0.36% | 694,896 | $24.5M | Add +4.1% |
| V Visa Inc. Class A | 0.36% | 80,335 | $24.3M | Add +7.3% |
| TSM Taiwan Semiconductor-SP ADR | 0.35% | 70,981 | $24.0M | Reduce -6.7% |
| JEPI JPMorgan Equity Premium Inco | 0.34% | 411,371 | $23.3M | Reduce -21.9% |
| EWU iShares MSCI United Kingdom | 0.34% | 502,063 | $22.9M | Add +2.0% |
| PREF Pri Spe Pre Sec Acti-Usd Inc. | 0.33% | 1,212,564 | $22.8M | Add +30.8% |
| ITOT iShares Core S&P Total U.S. | 0.33% | 157,681 | $22.5M | Reduce -1.4% |
| SBAR Simplify Barrier Income ETF | 0.33% | 910,332 | $22.3M | Add +108.1% |
| VGLT Vanguard Long-Term Treasury | 0.32% | 395,286 | $21.9M | Add +4.0% |
| LLY Eli Lilly & Co. | 0.31% | 23,156 | $21.3M | Add +8.7% |
| QUAL iShares MSCI USA Quality Fac | 0.31% | 110,632 | $21.2M | Add +1.5% |
| VCSH Vanguard S/T Corp. Bond ETF | 0.31% | 263,105 | $20.9M | Add +19.1% |
| LVHI Franklin International Low V | 0.29% | 493,235 | $20.0M | Add +31.4% |
| FNDE Schwab Fndmntl Em MRK Eq ETF | 0.29% | 513,907 | $19.7M | Add +8.0% |
| APCB Activepassive Core Bond ETF | 0.28% | 659,492 | $19.4M | Add +1.7% |
| HYG Ishr Ibx Usd Hiyld CB ETF-Ui | 0.28% | 237,492 | $18.9M | Reduce -3.8% |
| XMMO Invesco S&P Midcap Momentum | 0.27% | 127,717 | $18.5M | Add +83.4% |
| XOM Exxon Mobil Corp. | 0.27% | 109,151 | $18.5M | Add +0.1% |
| SPY SS SPDR S&P 500 ETF Trust-US | 0.27% | 28,295 | $18.4M | Add +17.2% |
| COWZ Pacer US Cash Cows 100 ETF | 0.26% | 282,202 | $17.7M | Add +112.4% |
| QYLD Global X Nasd 100 Cov Call | 0.26% | 1,028,435 | $17.6M | Add +2.6% |
| XYLD Global X S&P 500 Cove Call E | 0.26% | 447,763 | $17.5M | Add +3.5% |
| TSLA Tesla Inc. | 0.26% | 47,087 | $17.5M | Add +13.8% |
| CMDY iShares Bloomberg Roll Selec | 0.25% | 286,107 | $17.0M | Reduce -0.5% |
| IWX iShares Russell Top 200 Valu | 0.25% | 183,193 | $17.0M | Reduce -17.0% |
| FNDX Schwab Fndmntl US LRG Co. ETF | 0.25% | 603,952 | $16.8M | Add +2.5% |
| GIGB Goldman Sachs Inv GRD Corp. | 0.25% | 365,151 | $16.7M | Add +8.7% |
| JNJ Johnson & Johnson | 0.24% | 66,416 | $16.2M | Add +6.2% |
| WMT Walmart Inc. | 0.24% | 130,318 | $16.2M | Reduce -2.8% |
| MA Mastercard Inc. Class A | 0.24% | 32,388 | $16.2M | Add +8.7% |
| BYRE Principal RL Est Act Opp ETF | 0.24% | 639,174 | $16.0M | Add +11.4% |
| GSY Invesco Ultra Short Duration | 0.23% | 317,052 | $15.9M | Add +55.6% |
| VHT Vanguard Health Care ETF | 0.23% | 57,682 | $15.7M | Add +2.6% |
| VXF Vanguard Extended Market ETF | 0.23% | 75,457 | $15.5M | Add +2.5% |
| PQDI Principal SP & Inc. ETF-US Inc. | 0.23% | 805,985 | $15.5M | Add +9.7% |
| IWY iShares Russell Top 200 Grow | 0.23% | 62,380 | $15.5M | Reduce -7.3% |
| XETYX Eaton Vance Tax-MGD Div Eqty | 0.23% | 1,120,472 | $15.5M | Reduce -1.2% |
| LQD Ishr Ibx Usd Invgd CB ETF-Ui | 0.22% | 139,735 | $15.2M | Reduce -29.1% |
| CGDV Cap Group Dividend Value filed as CAPITAL GROUP DIVIDEND VALUE | 0.22% | 357,215 | $15.2M | Add +20.3% |
| CVX Chevron Corp. | 0.22% | 73,379 | $15.2M | Add +5.3% |
| SHV iShares 0-1 Year Treasury Bo | 0.22% | 137,329 | $15.2M | Add +465.4% |
| VCIT Vanguard Int-Term Corporate | 0.22% | 181,984 | $15.1M | Add +0.5% |
| GEM Goldman Sachs Activebeta Em | 0.22% | 347,331 | $15.0M | Add +4.5% |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | 0.22% | 51,940 | $14.9M | Add +17.4% |
| SCHH Schwab US REIT ETF | 0.21% | 680,970 | $14.6M | Add +6.6% |
| AMAT Applied Materials Inc. | 0.21% | 40,925 | $14.0M | Add +0.4% |
| VWO Vanguard Ftse Emerging Marke | 0.20% | 256,189 | $13.8M | Add +3.2% |
| CAT Caterpillar Inc. | 0.20% | 19,442 | $13.8M | Reduce -8.3% |
| GGUS Goldman SS MB RL 1000 GE ETF | 0.20% | 235,630 | $13.7M | Add +10.0% |
| PM Philip Morris International | 0.20% | 82,184 | $13.6M | Add +8.1% |
| CGMU Cap Group Municipal Income | 0.20% | 498,585 | $13.5M | Add +13.8% |
| VOE Vngrd Mrngstr MD-Cap Val ETF | 0.19% | 71,606 | $13.2M | Add +14.8% |
Other holdings (1): bonds, preferreds, convertibles and warrants · $61K (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| CAPITAL SOUTHWEST CORP (CSWC 5.125 11/15/29) | NOTE 5.125%11/1 · principal | 60,000 | $61K | No change |
Total filed on the 13F, all lines: $6.8B.
Portfolio Sells Q4 2025 → Q1 2026
| SPYG SS SPDR P S&P 500 Growth ETF | Reduce -91.8% | 0.03% | −0.41 |
| IUSG iShares Core S&P U.S. Growth | Reduce -17.2% | 0.58% | −0.22 |
| OEF iShares S&P 100 ETF | Reduce -88.3% | 0.02% | −0.21 |
| GSUS Goldman Sachs Marketbeta US | Reduce -1.9% | 1.52% | −0.20 |
| VDC Vanguard Consumer Staple ETF | Reduce -88.7% | 0.02% | −0.17 |
| SPHY SS SPDR P High Yield ETF | Reduce -80.8% | 0.04% | −0.16 |
| AGG iShares Core U.S. Aggregate | Reduce -2.2% | 1.98% | −0.16 |
| USHY iShares Broad Usd High Yield | Reduce -79.1% | 0.04% | −0.16 |
| IVW iShares S&P 500 Growth ETF | Reduce -2.9% | 0.70% | −0.13 |
| SHYG iShares 0-5 YR HY Corp. Bond | Reduce -86.8% | 0.02% | −0.12 |
| JEPI JPMorgan Equity Premium Inco | Reduce -21.9% | 0.34% | −0.12 |
| LQD Ishr Ibx Usd Invgd CB ETF-Ui | Reduce -29.1% | 0.22% | −0.11 |
| FELC Fidelity Enh LRG Cap Cor ETF | Reduce -90.1% | 0.01% | −0.09 |
| VOX Vanguard Communication Servi | Reduce -68.0% | 0.03% | −0.08 |
| IVE iShares S&P 500 Value ETF | Reduce -9.9% | 0.40% | −0.07 |
| IWX iShares Russell Top 200 Valu | Reduce -17.0% | 0.25% | −0.06 |
| EFV iShares MSCI Eafe Value ETF | Reduce -38.3% | 0.10% | −0.06 |
| FENI Fidelity Enhanced Intl ETF | Reduce -40.0% | 0.08% | −0.06 |
| CRM Salesforce Inc. | Reduce -4.0% | 0.11% | −0.06 |
| IWY iShares Russell Top 200 Grow | Reduce -7.3% | 0.23% | −0.06 |
| NAPR Innovator Growth 100 Power B | Reduce -93.7% | 0.00% | −0.06 |
| ITA iShares U.S. Aerospace & Def | Reduce -51.3% | 0.05% | −0.06 |
| WFC Wells Fargo & Co. | Reduce -9.6% | 0.16% | −0.06 |
| IAPR Innovator International Deve | Sold out | 0.00% | −0.05 |
| ACN Accenture PLC Class A | Reduce -27.1% | 0.05% | −0.05 |
| EAPR Innovator Emerging Markets P | Sold out | 0.00% | −0.04 |
| XETYX Eaton Vance Tax-MGD Div Eqty | Reduce -1.2% | 0.23% | −0.04 |
| ABBV Abbvie Inc. | Reduce -9.4% | 0.19% | −0.04 |
| FQAL Fidelity Quality Factor ETF | Reduce -25.5% | 0.09% | −0.04 |
| DEO Diageo PLC-Sponsored ADR | Reduce -49.2% | 0.03% | −0.04 |
| SPMO Invesco S&P 500 Momentum ETF | Reduce -82.9% | 0.01% | −0.04 |
| ORCL Oracle Corp. | Reduce -2.1% | 0.09% | −0.04 |
| ITOT iShares Core S&P Total U.S. | Reduce -1.4% | 0.33% | −0.04 |
| IDEV iShares Core MSCI Dev MKTS | Reduce -2.0% | 0.61% | −0.04 |
| IQV Iqvia Holdings Inc. | Reduce -6.1% | 0.07% | −0.04 |
| CRH CRH PLC | Reduce -41.5% | 0.03% | −0.03 |
| ABT Abbott Laboratories | Reduce -10.3% | 0.08% | −0.03 |
| BAC Bank of America Corp. | Reduce -10.7% | 0.10% | −0.03 |
| PAPR Innovator U.S. Equity Power | Reduce -87.1% | 0.00% | −0.03 |
| UNH Unitedhealth Group Inc. | Reduce -3.0% | 0.10% | −0.03 |
| RSPT Invesco S&P 500 Equal Weight | Reduce -82.3% | 0.01% | −0.03 |
| HELO JPMorgan Hedged Equity ETF | Sold out | 0.00% | −0.03 |
| DHR Danaher Corp. | Reduce -20.9% | 0.05% | −0.03 |
| HYG Ishr Ibx Usd Hiyld CB ETF-Ui | Reduce -3.8% | 0.28% | −0.03 |
| CRWD CrowdStrike Holdings Inc. Class A | Reduce -22.9% | 0.05% | −0.03 |
| KMX Carmax Inc. | Reduce -73.8% | 0.01% | −0.03 |
| MMM 3M Co. | Reduce -45.7% | 0.03% | −0.03 |
| HEFA Isha Curr Hedged MSCI Eafe | Reduce -63.3% | 0.02% | −0.03 |
| WBD Warner Bros Discovery Inc. | Reduce -82.2% | 0.01% | −0.03 |
| DIS The Walt Disney Co. | Reduce -5.7% | 0.09% | −0.03 |
Portfolio Buys Q4 2025 → Q1 2026
| LCAP Principal CPTL Apprec S3 ETF | Add +64.0% | 2.05% | +0.71 |
| GSID Goldman Sachs Marketbeta Int | New | 0.19% | +0.19 |
| SHV iShares 0-1 Year Treasury Bo | Add +465.4% | 0.22% | +0.18 |
| PIEQ Principal Intl Eqty ETF | Add +11.2% | 2.06% | +0.17 |
| GOVT iShares US Treasury Bond ETF | Add +68.0% | 0.44% | +0.16 |
| SBAR Simplify Barrier Income ETF | Add +108.1% | 0.33% | +0.15 |
| FLJP Franklin Ftse Japan ETF | New | 0.15% | +0.15 |
| PY Principal Value ETF | Add +23.4% | 1.08% | +0.15 |
| CORO Ish Intl CTRY Rot Act ETF | New | 0.14% | +0.14 |
| COWZ Pacer US Cash Cows 100 ETF | Add +112.4% | 0.26% | +0.14 |
| FTEC Fidelity MSCI Info Tech Indx | Add +42.9% | 0.65% | +0.13 |
| IEFA iShares Core MSCI Eafe ETF | Add +23.0% | 0.85% | +0.13 |
| IG Prin Invest Grad Corp. ETF-Ui | Add +16.7% | 1.47% | +0.13 |
| XMMO Invesco S&P Midcap Momentum | Add +83.4% | 0.27% | +0.12 |
| PFG Principal Financial Group | Add +505.4% | 0.14% | +0.12 |
| SCHP Schwab U.S. Tips ETF | Add +23.2% | 0.76% | +0.11 |
| KNG FT Vest S&P 500 DVD Arst TRG | Add +2744.3% | 0.11% | +0.11 |
| SPLB SS SPDR P Long Term C ETF | Add +210.5% | 0.16% | +0.11 |
| MBB iShares MBS ETF | Add +32.7% | 0.52% | +0.11 |
| BLCR iShares LRG CP CR Act ETF-Ui | New | 0.09% | +0.09 |
| IDEF Ishars Def Ind TC Ac ETF-Ui | New | 0.09% | +0.09 |
| YLD Principal Act Hi YLD ETF | Add +16.2% | 0.93% | +0.09 |
| LVHI Franklin International Low V | Add +31.4% | 0.29% | +0.08 |
| GSY Invesco Ultra Short Duration | Add +55.6% | 0.23% | +0.08 |
| XLE SS Energy Select Sector | Add +133.4% | 0.11% | +0.07 |
| DCRE DBL Comm Real Est Debt | New | 0.07% | +0.07 |
| XOM Exxon Mobil Corp. | Add +0.1% | 0.27% | +0.07 |
| SHY iShares 1-3 Year Treasury Bo | Add +147.0% | 0.12% | +0.07 |
| BUCK Simplify Treasury Option Inc. | Add +101.5% | 0.14% | +0.07 |
| PSC Principal US Small-Cap ETF | Add +9.3% | 2.13% | +0.07 |
| FOXY Simplify Currency Strtgy ETF | New | 0.06% | +0.06 |
| PREF Pri Spe Pre Sec Acti-Usd Inc. | Add +30.8% | 0.33% | +0.06 |
| IUSV iShares Core S&P U.S. Value | Add +11.9% | 1.05% | +0.06 |
| CVX Chevron Corp. | Add +5.3% | 0.22% | +0.06 |
| IJR iShares Core S&P Small-Cap E | Add +9.8% | 0.72% | +0.05 |
| AGGH Simplify Aggregate Bond ETF | Add +89.5% | 0.12% | +0.05 |
| SCHE Schwab Emrg Mrkts Eqty ETF | Add +45.9% | 0.18% | +0.05 |
| XV Simplify Target 15 Distr ETF | Add +190.1% | 0.08% | +0.05 |
| BLCV iShares Large Cap Val Act | Add +52.3% | 0.17% | +0.05 |
| MTUM iShares MSCI USA Momentum Fa | Add +113.5% | 0.09% | +0.05 |
| AMAT Applied Materials Inc. | Add +0.4% | 0.21% | +0.04 |
| IETC iShares U.S. Tech Independen | New | 0.04% | +0.04 |
| IDHQ Invesco S&P International DE | Add +256.7% | 0.06% | +0.04 |
| CDX Simplify High Yield ETF | Add +67.1% | 0.12% | +0.04 |
| TCAL T Rowe Pre CPT Apr PR in ETF | Add +500.9% | 0.05% | +0.04 |
| JNJ Johnson & Johnson | Add +6.2% | 0.24% | +0.04 |
| XLB SS Materials Select Sector | New | 0.04% | +0.04 |
| FDMO Fidelity Momentum Factor ETF | New | 0.04% | +0.04 |
| BIL SS SPDR BB 1-3M T-Bill ETF | Add +100.6% | 0.08% | +0.04 |
| MRK Merck & Co. Inc. | Add +28.7% | 0.13% | +0.04 |
All Filings
| Quarter | Positions | 13F Reported Value | Top Holdings |
|---|---|---|---|
| Q2 2026 | 1,538 | $8.3B | PIEQ, USMC, IVV, LCAP, PSC |
| Q1 2026 | 1,410 | $6.8B | USMC, IVV, PSC, PIEQ, LCAP |
| Q4 2025 | 1,344 | $6.5B | USMC, IVV, BCHP, AGG, PSC |
| Q3 2025 | 3,718 | $6.1B | USMC, IVV, AGG, BCHP, PSC |
| Q2 2025 | 3,663 | $5.3B | USMC, IVV, PSC, AGG, BCHP |
| Q1 2025 | 3,539 | $4.5B | USMC, AGG, PSC, IVV, GSUS |
| Q4 2024 | 3,534 | $4.4B | USMC, AGG, PSC, IVV, GSUS |
| Q3 2024 | 3,422 | $4.1B | USMC, IEFA, IVV, AGG, GSUS |
| Q2 2024 | 3,380 | $3.6B | USMC, IVV, IEFA, AGG, GSUS |
| Q1 2024 | 3,306 | $3.2B | USMC, IVV, IEFA, AGG, GSUS |