Principal Wealth Management Group, LLC

CRD#297338
Investment Advisor Firm

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Learn more about Principal Wealth Management Group, LLC

  • Overview
  • By the Numbers
  • Fee Structure
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors
  • Overview

    Principal Wealth Management Group, LLC is a financial advisor firm based in Irvine, California. It has a small group of one employee who is a financial advisor. Principal Wealth Management Group, LLC is not a registered broker-dealer, meaning it cannot buy and sell securities for its accounts and those of its clients and instead is required to go through a broker-dealer firm to do so. Securities are defined as exchangable financial assets such as equities, options and bonds.

    Principal Wealth Management Group, LLC's headquarters is located at 20 Corporate Park, Irvine, California 92606. It is permitted to provide services to clients in the state of California.

    Number of Advisors

    1

    Disclosures

    No

    Office Location

    20 Corporate Park
    Irvine, CA 92606

    Principal Wealth Management Group, LLC by the Numbers

    Total Number of Employees

    1

    National Average: 29

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    Fee Structure

    Financial advisory fees typically vary depending on the financial services provided. Fee types charged by Principal Wealth Management Group, LLC typically consist of the following fee structures: asset-based. Principal Wealth Management Group, LLC does not supply a wrap fee program, in which the firm offers a service bundle for a single fee. It has the ability to withdraw its charges directly from customer funds.

    Available

    • Offered by 74% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    Unavailable

    • Find one of the 35% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 2% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 17% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 1% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 40% of firms that offer this fee type

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Find one of the 12% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Disclosures

    Principal Wealth Management Group, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Principal Wealth Management Group, LLC

    Michael Chang
    Anaheim, CA

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    This content was compiled from the SEC and FINRA