Principium Investments LLC
● SEC registered since 2003CRD 124989SEC# 801-61768
Reg. AUM
$225.4M
Employees
3
Accounts
508
Location
—
About Principium Investments
Principium Investments provides asset management, financial planning, and estate planning across stages of wealth creation. It makes proactive allocation adjustments and supports multi-generational wealth transfer using funds, ETFs, and stocks.
Summary based on the firm’s website.
Principium Investments LLC assets under management
Principium Investments LLC is an investment advisory firm registered with the SEC. The firm has been registered since 2003. It reports $225.4 million in regulatory assets under management and employs 3 people.
Principium Investments LLC owners & executives
3 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Michael Patrick Tracy | Chief Compliance Officer | Under 5% | 2008 |
| The Michael P. Tracy Revocable Trust Control | Owner | Over 75% | 2019 |
| Michael Patrick Tracy Control | Primary Trustee | — | 2019 |
Frequently asked questions
How much does Principium Investments LLC manage?
Principium Investments LLC reports $225.4 million in regulatory assets under management on its Form ADV.
How many employees does Principium Investments LLC have?
Principium Investments LLC reports 3 employees.
Does Principium Investments LLC disclose fund performance?
Principium Investments LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Phone | (303) 351-5353 |
| Fax | (720) 302-1434 |
| Office hours | 9:00a.m. - 5:00p.m. |
| SEC region | Denver Regional Office (DRO) |
| Discloses disciplinary history | No |
Regulatory AUM
$225.4M▲ 14%
Mar '25Form ADV, monthlyOct '26
How this firm compares
Regulatory AUMTop 71%
Larger than 29% of 16,389 advisers
EmployeesTop 77%
More than 23% of 16,799 advisers
Assets under management
$225.4Mregulatory AUM
Discretionary $225.4M