PRINCIPAL SECURITIES, INC.
SEC Form 13F institutional filer · CIK 0000012600
13F-HR · 430 reported holdings · 2026-03-31
Broker-dealer.
Reported long-US-equity value
$3.69B
Top-10 concentration
53.4%
PRINCIPAL SECURITIES, INC. — $3.69B AUM allocation strategy
PRINCIPAL SECURITIES, INC. files SEC Form 13F and reports $3.69B of long US equity value across 430 reported holdings for 2026-03-31.
Its largest sector bet is Financials 22.0%, followed by Information Technology 7.8% and Communication Services 3.7%.
The top 10 holdings account for 53% of reported value — a conviction-weighted book concentrated in its best ideas. The sector and industry splits below are of the same reported value. Track quarter-over-quarter adds, trims, new positions and exits below — sourced from SEC 13F filings, public domain.
PRINCIPAL SECURITIES, INC. — latest SEC 13F insights
Reported long-US-equity value (13F AUM)
$3.69B
total across 430 reported holdings · 2026-03-31 · excludes shorts, cash, non-US
Top-10 concentration
53% of value
higher = narrower conviction; lower = spread / hedging
Biggest adds (shares)
+$IVV +787K sh · +$28M+$SCHW +739K sh · +$19.6M+$GS +477K sh · +$17.4M
Biggest trims (shares)
−$WBD −62.2K sh · −$1.81M−$IWM −42.1K sh · −$8.95M−$IYY −21.2K sh · −$5.03M
Exited to nil (held last quarter, gone now)
$PNR ($733K last qtr)$KVUE ($583K last qtr)$DPZ ($449K last qtr)$TTD ($323K last qtr)$TRMB ($262K last qtr)
Sector allocation (share of reported value)
each slice is a share of the reported long-US-equity value — smaller sectors and the rest of the book roll into “Other holdings”
Qtr shift = share-point change vs the prior quarter's filing — first period tracked for this filer; the column fills in with the next quarterly refresh.
Industry allocation (share of reported value)
- Investment Banking & Brokerage14.3%—
- Asset Management & Custody Banks5.6%—
- Interactive Media & Services3.7%—
- Semiconductors3.3%—
- Systems Software2.2%—
- Technology Hardware, Storage & Peripherals2.2%—
- Broadline Retail1.9%—
- Financial Exchanges & Data1.3%—
- Other holdings65.5%—
the finer GICS cut of the same book — same denominator — smaller industries roll into “Other holdings”
Qtr shift = share-point change vs the prior quarter's filing — first period tracked for this filer; the column fills in with the next quarterly refresh.
Top S&P 500 holdings
8 of 8 rows · sorted by Value ↓
| Ticker | Holding | Shares | Value | Δ QoQ | Weight |
|---|---|---|---|---|---|
| $GS | Goldman Sachs Group Inc | 5.34M | $328M | +477K | 8.9% |
| $SCHW | Charles Schwab Corporation | 6.51M | $197M | +739K | 5.4% |
| $BLK | BlackRock Inc | 1.81M | $113M | +52.9K | 3.1% |
| $IVZ | Invesco Ltd | 2.19M | $93.2M | +185K | 2.5% |
| $NVDA | NVIDIA Corporation | 480K | $83.8M | +54.3K | 2.3% |
| $MSFT | Microsoft Corporation | 224K | $82.9M | +21.5K | 2.2% |
| $AAPL | Apple Inc | 315K | $79.9M | +25.2K | 2.2% |
| $AMZN | Amazon.com Inc | 339K | $70.6M | +15.5K | 1.9% |
…and 422 more holdings in the full 13F filing (top positions only shown).
SEC Form 13F data sets · public domain · 45-day filing lag · >$100M AUM managers · as reported
← All 13F filers·← QuantOrb.pro
How to read Δ QoQ — the five insight categories, and the caveats
The categories. Analysts, quants and retail traders look past total portfolio value to isolate actionable signals. Five categories matter.
Conviction & concentration shifts
New positions vs complete exits — a brand-new stock signals high conviction; a full liquidation suggests a broken thesis or tax-loss harvesting. Aggressive sizing — look at share count, not dollars: a 20% share increase during a drawdown is strong dip-buying. Concentration — a narrowing top-5/10 means conviction; spreading capital across more names means hedging.
Sector & macro allocation rotations
Aggregating Δ QoQ moves across sectors shows where smart money is leaning in or sneaking out — rotating out of growth into defensives or energy, for example. The fund's total long equity exposure quarter-over-quarter is a proxy for overall institutional risk appetite.
Crowding & smart-money consensus
When several managers initiate or expand the same stock in the same quarter, that is institutional consensus. Contrarian reads: top pickers buying hard into a beaten-down name the market is selling.
Derivative & option overlays
Reported call/put changes indicate whether managers are adding downside hedges or leveraging upside exposure. Note: a long increase may be half of a market-neutral pair trade.
Who reads this
| Retail "cloners" | High-conviction ideas to replicate ~45 days after quarter-end. |
| Corporate IR | Which funds bought or dumped the stock, before the next call. |
| Quant / algo traders | Cross-sectional factor inputs: flow, momentum, ownership. |
Four caveats before you trade on it
- 45-day lag — holdings are quarter-end; positions may already be closed.
- Long-only — 13Fs miss shorts, pair trades and cash.
- No non-US / fixed income — the picture is US equities plus options.
- Corporate actions — splits and spinoffs distort raw share deltas.
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