Brett Dubay is a registered investment advisor at Principal Asset Management, based in Hilton Head, SC, with 30 years of industry experience. Brett operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 7,399 clients with $360B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Principal AM's fees are generally based on a percentage of the value of the assets they manage or a fixed fee. Fees can vary and may be negotiable depending on factors like the client's relationship with Principal AM, the number of accounts managed, the size of the account, and the services provided. Fees and allocations can be fixed, fixed plus performance-based, or performance-based only. Certain fixed fees are required to be paid up front.
Location
Hilton Head, SC
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Brett is an access/supervised person of Principal Global Investors, LLC, and performs certain functions for them and their affiliates.
Employment History
Current Registrations
Principal Asset Management
Principal Funds Distributor, INC.Broker
Principal Funds Distributor, INC.
Principal Securities, INC.Broker
Principal Securities, INC.
Previous Registrations
Principal Securities, INC.
Principal Securities, INC.
Fidelity Investments Institutional Services Company, INC.Broker
Walnut Street Securities, INC.Broker
State Registrations14 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.