AM
Andrew C. Miller
PRINCIPAL ASSET MANAGEMENT
Boise, ID
Some features on this profile are disabled
CRD#: 4367873
AM
Professional summary
Andrew Clifford Miller, AIF®, who also goes by Andy Clifford Miller, is a registered financial advisor currently at PRINCIPAL ASSET MANAGEMENT located in Boise, Idaho and PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Des Moines, Iowa.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Andrew has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy Clifford Miller
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates. 2) Aien Holdings LLC, it is investment related, 217 Owensville Rd. West River, MD 20778, Holding company formed to invest in private businesses throughout various industries he will be an investor & his only involvement is providing capital. He would like to invest in late January 2019, he will spend 0 time on this activity monthly and 0 during market hours, he will have no responsibilities. 3) Aien Holdings II LLC - Passive Investor, Limited Partner. Passive investment. as a limited partner with two other limited partners who will invest in a venture capital fund run by Savadra Ventures. 724 Harness Creek View Drive Annapolis, MD 21403. 0 hrs per week, 0 hrs during trading. Not investment related. Effective 07/27/2020. 4) FFC Holdings, LLC. not investment related, limited partner - passive investment in restoration company, effective date 11/20/2020, 0 hours a month, 0 hours during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Clifford Miller's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
December 21, 2021 - Present
PRINCIPAL ASSET MANAGEMENT
RIA
CRD#: 109002
Boise, ID
Current
January 5, 2007 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 711 High Street, Des Moines, IA 50392BD
CRD#: 43261
DES MOINES, IA
Past
July 18, 2007 - September 22, 2008
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
June 20, 2005 - January 8, 2007
IVY DISTRIBUTORS, INC.
BD
CRD#: 16496
OVERLAND PARK, KS
Past
October 11, 2004 - January 8, 2007
WADDELL & REED
RIA
CRD#: 866
OVERLAND PARK, KS
Past
October 7, 2004 - January 8, 2007
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
June 5, 2003 - September 14, 2004
PGIM INVESTMENTS LLC
RIA
CRD#: 105670
NEWARK, NJ
Past
July 18, 2001 - September 14, 2004
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PA
PRINCIPAL ASSET MANAGEMENT
ALIGNED INVESTORS | QUALITY CORE INVESTORS | PRINCIPAL PORTFOLIO STRATEGIES | PRINCIPAL ORIGIN | PRINCIPAL MORLEY | PRINCIPAL INVESTMENT SOLUTIONS | PRINCIPAL GLOBAL INVESTORS, LLC | PRINCIPAL GLOBAL INVESTORS | PRINCIPAL GLOBAL FIXED INCOME | PRINCIPAL GLOBAL EQUITIES | PRINCIPAL GLOBAL ASSET ALLOCATION STRATEGIES | PRINCIPAL GLOBAL ADVISORS | PRINCIPAL FIXED INCOME | PRINCIPAL FINISTERRE | PRINCIPAL FINANCIAL ADVISORS | PRINCIPAL EQUITIES | PRINCIPAL EDGE | PRINCIPAL DYNAMIC GROWTH | PRINCIPAL CLARITAS | PRINCIPAL CAPITAL MANAGEMENT LLC | PRINCIPAL CAPITAL | PRINCIPAL ASSET MANAGEMENT | PRINCIPAL ASSET ALLOCATION | PRINCIPAL ALTERNATIVE CREDIT | PRINCIPAL ALIGNED | MULTI-ASSET ADVISORS | MORLEY CAPITAL MANAGEMENT | MACRO CURRENCY GROUP | EDGE ASSET MANAGEMENT | COLUMBUS CIRCLE INVESTORS
CRD#: 109002 / SEC#: 801-55959
RIA
Registered Investment Advisory firm - (10/26/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/23/2008)
RR
Alaska(12/23/2008)
RR
Arizona(12/23/2008)
RR
Arkansas(12/23/2008)
RR
California(1/5/2007)
RR
Colorado(12/23/2008)
RR
Connecticut(12/23/2008)
RR
Delaware(12/23/2008)
RR
District of Columbia(12/23/2008)
RR
Florida(12/23/2008)
RR
Georgia(12/23/2008)
RR
Hawaii(12/23/2008)
RR
Idaho(12/23/2008)
IAR
Idaho(12/21/2021)
RR
Illinois(12/23/2008)
RR
Indiana(12/23/2008)
RR
Iowa(12/23/2008)
RR
Kansas(12/23/2008)
RR
Kentucky(12/23/2008)
RR
Louisiana(12/23/2008)
RR
Maine(2/4/2010)
RR
Maryland(12/23/2008)
RR
Massachusetts(12/23/2008)
RR
Michigan(12/23/2008)
RR
Minnesota(12/23/2008)
RR
Mississippi(12/23/2008)
RR
Missouri(12/23/2008)
RR
Montana(12/23/2008)
RR
Nebraska(12/23/2008)
RR
Nevada(12/23/2008)
RR
New Hampshire(12/23/2008)
RR
New Jersey(12/23/2008)
RR
New Mexico(12/23/2008)
RR
New York(12/23/2008)
RR
North Carolina(1/5/2009)
RR
North Dakota(12/23/2008)
RR
Ohio(12/24/2008)
RR
Oklahoma(12/23/2008)
RR
Oregon(12/23/2008)
RR
Pennsylvania(12/23/2008)
RR
Puerto Rico(6/22/2023)
RR
Rhode Island(12/23/2008)
RR
South Carolina(12/23/2008)
RR
South Dakota(12/23/2008)
RR
Tennessee(12/23/2008)
RR
Texas(12/23/2008)
RR
Utah(12/23/2008)
RR
Vermont(12/23/2008)
RR
Virgin Islands(6/22/2023)
RR
Virginia(12/23/2008)
RR
Washington(12/23/2008)
RR
West Virginia(12/23/2008)
RR
Wisconsin(12/23/2008)
RR
Wyoming(12/23/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ASSET MANAGEMENT
ALIGNED INVESTORS | QUALITY CORE INVESTORS | PRINCIPAL PORTFOLIO STRATEGIES | PRINCIPAL ORIGIN | PRINCIPAL MORLEY | PRINCIPAL INVESTMENT SOLUTIONS | PRINCIPAL GLOBAL INVESTORS, LLC | PRINCIPAL GLOBAL INVESTORS | PRINCIPAL GLOBAL FIXED INCOME | PRINCIPAL GLOBAL EQUITIES | PRINCIPAL GLOBAL ASSET ALLOCATION STRATEGIES | PRINCIPAL GLOBAL ADVISORS | PRINCIPAL FIXED INCOME | PRINCIPAL FINISTERRE | PRINCIPAL FINANCIAL ADVISORS | PRINCIPAL EQUITIES | PRINCIPAL EDGE | PRINCIPAL DYNAMIC GROWTH | PRINCIPAL CLARITAS | PRINCIPAL CAPITAL MANAGEMENT LLC | PRINCIPAL CAPITAL | PRINCIPAL ASSET MANAGEMENT | PRINCIPAL ASSET ALLOCATION | PRINCIPAL ALTERNATIVE CREDIT | PRINCIPAL ALIGNED | MULTI-ASSET ADVISORS | MORLEY CAPITAL MANAGEMENT | MACRO CURRENCY GROUP | EDGE ASSET MANAGEMENT | COLUMBUS CIRCLE INVESTORS
CRD#: 109002 / SEC#: 801-55959
RIA
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Contact information
Main Address
801 Grand Ave, Des Moines, IA 50392-0001
Mailing Address
711 High Street, Des Moines, IA 50392-0001
Phone number
(800) 787-1621
Established
Firm type
Fiscal year end
# of Employees
1,350
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,399 |
| AUM (Assets Under Management) | $ 364,035,359,901 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/28/2023 | ||
| 12/20/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
