# Principium Investments LLC

> Principium Investments LLC is an SEC-registered investment advisory firm, registered since 2003, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 26, 2026.

- CRD: 124989
- Filed as: PRINCIPIUM INVESTMENTS LLC
- Also doing business as: PRINCIPIUM
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: March 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/124989
- AdvisorCensus page: https://advisorcensus.com/firm/principium-investments-llc-124989

## Quick answers

**How is Principium Investments LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Principium Investments LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Is Principium Investments LLC registered with the SEC or a state?**
Principium Investments LLC is an SEC-registered investment advisory firm, registered since 2003. Status as filed: Approved. CRD 124989.

**How much does Principium Investments LLC manage?**
Principium Investments LLC reports $225,403,551 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (100% discretionary).

**How have Principium Investments LLC's assets and staff changed since 2021?**
In the Form ADV data for Principium Investments LLC: Regulatory assets under management: $166,971,006 in the October 2021 data and $225,403,551 in the October 2026 data, up 35%. Total employees: 4 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Principium Investments LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (176); high net worth individuals (51); pension and profit sharing plans (but not the plan participants or government pension plans) (5).

**Which custodians does Principium Investments LLC use?**
Principium Investments LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Principium Investments LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/124989

**Does Principium Investments LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 26, 2026 says: "Principium Investments does not impose a stated minimum portfolio value for starting and/or maintaining an investment advisory relationship."

**What changed in Principium Investments LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $198,343,689 to $225,403,551 (+14%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 26, 2026)

- Account minimum: None

> Principium Investments does not impose a stated minimum portfolio value for starting and/or maintaining an investment advisory relationship.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Fidelity Brokerage Services LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $225,403,551
- Discretionary: $225,403,551
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 176 | $47,483,538 |
| High net worth individuals | 51 | $163,132,916 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 5 | $3,963,825 |
| Charitable organizations | 3 | $1,059,200 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 1 | $9,764,072 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2003 (23 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, CO, FL, IL, MN, NE, NY, OR, TN, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [principium.co](https://principium.co)
- [principiuminvestments.com](https://principiuminvestments.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $166,971,006 | 4 | August 10, 2021 |
| October 2022 | $173,207,363 | 3 | March 30, 2022 |
| October 2023 | $122,176,306 | 3 | March 31, 2023 |
| October 2024 | $153,102,780 | 3 | April 29, 2024 |
| October 2025 | $198,343,689 | 3 | April 30, 2025 |
| October 2026 | $225,403,551 | 3 | March 26, 2026 |

Regulatory assets under management: $166,971,006 in the October 2021 data and $225,403,551 in the October 2026 data, up 35%.
Total employees: 4 in October 2021 and 3 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $198,343,689 to $225,403,551 (+14%).

### December 2025
- Registered or notice-filed in NE.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Principium Investments LLC (CRD 124989): Form ADV filing data as of October 2026.