Richard
Zake

Principal Asset Management

CRD#3165814
Investment Advisor
in Des Moines, IA

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About this Advisor

Richard Zake is a financial advisor based in Des Moines, Iowa with 1 year of relevant experience. Zake is an employee of Principal Asset Management. Their career trajectory has included roles at Investment Centers Of America, Private Client Services, Global Financial Private Capital, Gf Investment Services, LLC, Sagepoint Financial, Principal Funds Distributor, Sii Investments Inc and Lpl Finanical LLC. Zake maintains Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and is registered to operate in Iowa. Principal Asset Management is an advisory firm that has its headquarters in Des Moines, IA. The company has offices in 23 locations and a total of 1,925 employees. It has $279 billion in assets between its 13,656 client accounts, making it one of the largest firms in the United States by assets under management. The firm serves 500 charities and foundations. Of its 13,656 customer accounts, just 2% belong to high-net-worth individuals who have greater than $1 million in investable assets. The firm provides a wide assortment of services, including portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients, selection of other advisers, educational seminars and other services. Financial management fees typically depend on which services the firm provides the client. However, fee types billed by Principal Asset Management may include any blend of asset-based, fixed, performance-based and other fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

1 year

Services Offered

Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for pooled investment vehicles, Portfolio management for businesses or institutional clients, Selection of other advisers, Educational seminars/workshops, Other

Fee Structure

Percentage of Assets, Fixed Fees, Performance-based Fees, Others

Office Location

711 High Street
Des Moines, IA 50392

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Principal Asset Management Brokerage Details

Total Assets Under Management

$279,108,496,692

IA Average: $9,259,360,772
Total Number of Employees

1,925

IA Average: 166
Total Number of Accounts

13,656

IA Average: 7,189
Average Account Size

$20,438,525

IA Average: $1,287,990

Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies
  • Portfolio management for pooled investment vehicles
  • Portfolio management for businesses or institutional clients
  • Selection of other advisers
  • Educational seminars/workshops
  • Other

Richard Zake Work History

Richard has been registered as a financial advisor for 1 years.*

2022 - Present (2 years)

Principal Funds Distributor

2021 - 2022 (1 year)

Lpl Finanical LLC

2019 - 2021 (2 years)

Sagepoint Financial

2018 - 2018 (< 1 year)

Private Client Services

2018 - 2019 (1 year)

Global Financial Private Capital

2018 - 2019 (1 year)

Gf Investment Services, LLC

2007 - 2018 (11 years)

Investment Centers Of America

2007 - 2018 (11 years)

Sii Investments Inc

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Richard Zake to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Principal Asset Management

Jason Arata
Folsom, CA
Kyle Vanourny
Overland Park, KS
Bradley Hanus
Des Moines, IA
Matthew Quick
Des Moines, IA
Kate Davidson
Austin, TX
Charles Estes
Hyde Park, OH
Grant Reding
Des Moines, IA
Michelle Stockman
Des Moines, IA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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