Invista Capital Management LLC (Des Moines)


Invista Capital Management LLC is a large advisory firm based in Des Moines. It manages $22.97 billion of regulatory assets for 106 client accounts. It has been registered with the SEC as an adviser since 2001.

Invista Capital Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Invista Capital Management: assets under management

The assets under management (AUM) of Invista Capital Management LLC is $22.97 billion. The firm's AUM has gone down by -17% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $22.93 billion in discretionary accounts and $35.56 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $222.64 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $11.85 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Invista Capital Management LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Invista Capital Management LLC

Dennis Paul Francis has been acting as President since 1 Dec 1998. Scott Davis Opsal has served as the Chief Investment Officer since 1 Dec 1998. Paul Alexander Dow joined the executive team most recently as the Executive Director Us Equity Investment.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Richard W Hibbs Director of marketing 1 Dec 1998 Other 874204
Dennis Paul Francis Chairman 1 Dec 1998 Other 4343489
Scott Davis Opsal Chief investment officer 1 Dec 1998 Other 4346465
Rhett Brandon Fritz Director of technology 1 Dec 1998 Other 4346477
Michael Dennis Roughton Counsel 1 Dec 1998 Other 2136236
Principal Holding Company Sole member, 100% ownership 1 Dec 1998 75% - 100% 42-0942600
Rollin Clark Woltjen President and ceo 1 Sep 2000 Other 471679
Tim Howald Cfo, coo, and compliance officer 1 Jan 2001 Other 3070136
Principal Capital Management Llc Sole member, 100% ownership 1 Apr 2001 75% - 100% 109002
Paul Alexander Dow Executive director us equity investment 1 Jan 2002 Other 71140

Indirect Owners

The SEC currently registers 7 indirect owners.

Name Entity Date acquired Ownership Employer ID
Principal Life Insurance Company 100% owner 1 Sep 1998 75% - 100% 42-0127290
Principal Life Insurance Company 100% owner 1 Dec 1998 75% - 100% 42-0127290
Inc. Principal Financial Services 100% owner 1 Dec 1998 75% - 100% 42-1476367
Inc. Principal Financial Group 100% owner 1 Dec 1998 75% - 100% 42-1476366
Principal Mutual Holding Company 100% owner 1 Dec 1998 75% - 100% 42-1476365
Inc. Principal Financial Group 100% owner 1 Oct 2001 75% - 100% 42-1520346
Inc. Principal Financial Services 100% owner 1 Oct 2001 75% - 100% 42-1520348

Based in Des Moines

The principal office where Invista Capital Management LLC performs its advisory services is located at 1900 Hub Tower, Des Moines, IA 50309, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 515-247-6582 or by fax 515-362-0676. The normal business hours are 7:00a.m. - 5:00p.m. on Monday - Friday. You can find more information about the New York firm at www.invistacapital.com.