# Principled Advisors, Inc.

> Principled Advisors, Inc. is an SEC-registered investment advisory firm, registered since 2022, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 323468
- Filed as: PRINCIPLED ADVISORS, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/323468
- AdvisorCensus page: https://advisorcensus.com/firm/principled-advisors-inc-323468

## Quick answers

**How is Principled Advisors, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Principled Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Principled Advisors, Inc. registered with the SEC or a state?**
Principled Advisors, Inc. is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 323468.

**How much does Principled Advisors, Inc. manage?**
Principled Advisors, Inc. reports $15,000,000 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (0% discretionary).

**How have Principled Advisors, Inc.'s assets and staff changed since 2023?**
In the Form ADV data for Principled Advisors, Inc.: Regulatory assets under management: $10,000,000 in the October 2023 data and $15,000,000 in the October 2026 data, up 50%. Total employees: 1 in October 2023 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Principled Advisors, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (105); pension and profit sharing plans (but not the plan participants or government pension plans) (40); high net worth individuals (5).

**Does Principled Advisors, Inc. 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/323468

**What changed in Principled Advisors, Inc.'s recent Form ADV filings?**
In the January 2026 filing data: No longer registered or notice-filed in MD.

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $15,000,000
- Discretionary: $0
- Non-discretionary: $15,000,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 105 | $12,000,000 |
| High net worth individuals | 5 | $3,000,000 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 40 | Not reported |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2022 (3 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, NJ, NY, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- principled.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2023 | $10,000,000 | 1 | February 22, 2023 |
| October 2024 | $12,000,000 | 1 | June 13, 2024 |
| October 2025 | $15,000,000 | 1 | June 5, 2025 |
| October 2026 | $15,000,000 | 1 | March 31, 2026 |

Regulatory assets under management: $10,000,000 in the October 2023 data and $15,000,000 in the October 2026 data, up 50%.
Total employees: 1 in October 2023 and 1 in October 2026.

## Changes in the filing (last 12 months)

### January 2026
- No longer registered or notice-filed in MD.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Principled Advisors, Inc. (CRD 323468): Form ADV filing data as of October 2026.