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Security report for principalam.com

Principal Asset Management · Finance · United States

Medium risk. 7 critical or high findings in Email security, Security headers and 1 other check.

Security score

66/100

Risk levelMedium

0–100, higher is better. How it is calculated

Principal Asset Management operates as a specialized investment management firm under the Principal Financial Group umbrella, offering a broad range of investment strategies and products including equities, fixed income, real estate, and infrastructure. The website targets financial professionals and investors, providing research-driven insights and access to various investment solutions. The digital infrastructure is built on Drupal 10 with integration of multiple analytics and marketing tools, ensuring a modern and responsive user experience. Security posture is strong with HTTPS and secure login portals, though explicit security policies and incident response information are not publicly disclosed. The absence of WHOIS data for the domain introduces some uncertainty about domain registration legitimacy, but the branding and linked domains strongly associate the site with a reputable financial institution. Overall, the website is professional, content-rich, and well-structured, supporting its role as a trusted investment resource.

Scanned

NIS2 and GDPR posture

GDPR outside view
35/ 100 · High
Checks completed
7of 7

NIS2 Art. 21(2)

  1. (a) Risk analysis and security policies: Not visible from outside
  2. (b) Incident handling: One indicator
  3. (c) Business continuity, backups and crisis management: Not visible from outside
  4. (d) Supply chain security: Not visible from outside
  5. (e) Secure acquisition, development and maintenance, including vulnerability handling: Partly checked
  6. (f) Assessing the effectiveness of security measures: Not visible from outside
  7. (g) Cyber hygiene and security training: Not visible from outside
  8. (h) Cryptography and encryption: Partly checked
  9. (i) HR security, access control and asset management: One indicator
  10. (j) Multi-factor authentication and secured communications: Not visible from outside

This scan rated NIS2 with an earlier keyword method that is no longer shown; rescan for the per-article view. Risk management, continuity, supply chain, training, MFA, management oversight (Art. 20) and incident reporting (Art. 23) need internal evidence, and Guard cannot tell whether NIS2 applies to this organisation.

GDPR is indicative only, based on publicly visible signals: Articles 7, 12, 13 and 32 of Regulation (EU) 2016/679 and Article 5(3) of the ePrivacy Directive. Not a certification or legal assessment.

Priority findings

7 findings rated critical or high. Fix these first.

  1. Email security

    SPF, DKIM and DMARC stop others sending email that looks like it comes from your domain, a common route to phishing and invoice fraud.

    • Critical

      No email authentication configured

      Domain is vulnerable to email spoofing

      What to do: Implement SPF, DKIM, and DMARC immediately

  2. Security headers

    Security headers are instructions your web server sends to every visitor’s browser. Missing ones leave visitors more exposed to attacks such as clickjacking and injected scripts.

    • High

      Missing Content-Security-Policy header

      Controls resources the browser is allowed to load

      What to do: Implement a Content-Security-Policy appropriate for your application

      • ASVS V3.4.3
      • OWASP Secure Headers: OWASP Secure Headers Project recommends Content-Security-Policy: default-src 'self'; form-action 'self'; base-uri 'self'; object-src 'none';…

  3. GDPR outside view

    These are the privacy signals visitors and data protection authorities look for under GDPR.

    • High

      No Privacy Policy found

      GDPR requires a clear and accessible privacy policy

      What to do: Add a comprehensive privacy policy page and link to it prominently

    • High

      No Cookie Policy found

      GDPR requires clear information about cookie usage

      What to do: Add a dedicated cookie policy explaining cookie usage and purposes

    • High

      No Cookie Consent Banner found

      GDPR requires explicit consent for non-essential cookies

      What to do: Implement a cookie consent banner that appears on first visit

Need hands-on remediation? Email guard@offseq.com

Keep watching principalam.com

This scan found 22 issues across 6 checks. Monitoring re-runs those checks daily, emails you when something material changes and records each fix, so you can show progress.

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Recommended

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  • TLS certificates and expiry
  • DNS records
  • SPF, DKIM and DMARC
  • Security headers
  • GDPR and NIS2 posture
  • Exposed services
  • Third-party trackers
  • Security score drift

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Results by check

Each check with its score, findings and the evidence it collected.

How this score is calculated

The security score runs 0–100, higher is better. It is the plain average of the security checks that completed in this scan, each counted equally. A check that could not run is left out: it counts neither as a pass nor as a fail.

Counted in this score

SSL/TLS
95
Security headers
55
Email security
40
DNS health
70
Network security
100
GDPR outside view
35
Average
66

Not counted

  • NIS2 outside view: Re-weights evidence from the TLS, email, DNS, network and hygiene checks, so counting it would count that evidence twice. Shown on its own.
  • OffSeq Observations: An AI reading of the site, useful context but not reproducible evidence. Shown on its own.

Findings that cap the score at 49

Each of these is serious on its own, so while any is present the site cannot rate better than high risk, however good the other checks are.

  • The certificate is not trusted by browsers
  • The website is not served over HTTPS
  • A database, remote desktop, file-sharing or Telnet service is reachable from the internet
  • The page loads a script from a compromised source
  • The domain registration has expired
  • SPF authorises every server to send mail as the domain

Partial scans

When the site blocks Guard or most checks cannot run, the score covers only the checks that ran (usually DNS and email), is capped at 75 and is shown as partial, without a risk level.

Risk levels

  • Critical0–25
  • High26–49
  • Medium50–75
  • Low76–100

Technical appendix

Business context, site observations and technical notes gathered during the scan, and the standards behind each reference.

Business context

Business profile

The company holds a strong market position in the finance sector, focusing on asset management and investment products. Its business model revolves around providing tailored investment strategies and products to institutional and individual investors. The presence of multiple sign-in portals and product offerings indicates diversified revenue streams and a mature partnership ecosystem. The website's content and navigation reflect a clear understanding of its target audience, emphasizing financial professionals. Strategic partnerships and related domains reinforce the company's credibility and operational scope. Growth indicators include active content updates, insights publication, and engagement tools like newsletters.

Security posture

The website demonstrates a mature security posture with enforced HTTPS, secure login mechanisms, and absence of exposed sensitive data. However, the lack of published security policies, incident response plans, and vulnerability disclosure mechanisms suggests room for improvement in transparency and compliance. The use of multiple third-party analytics and marketing scripts necessitates ongoing security audits to mitigate risks. Overall, the security maturity is good but could benefit from enhanced documentation and user-facing security assurances.

Recommendations

  1. Publish a clear and accessible privacy policy page to improve privacy compliance and user trust.
  2. Disclose security policies and incident response procedures to enhance transparency and preparedness.
  3. Implement and publicize a vulnerability disclosure program to encourage responsible reporting of security issues.
  4. Verify and update WHOIS registration data to ensure domain legitimacy and reduce suspicion.
  5. Regularly audit third-party scripts and tracking tools to minimize privacy risks and improve performance.
Site observations

Automated reading of the public site. Ratings are indicative.

Business

Company
Principal Asset Management
Description
Principal Asset Management provides specialized, research-driven investment solutions from experienced global managers targeting financial professionals and investors.
Key services
Equities investment strategies, Fixed income investment strategies, Real estate investment strategies, Asset allocation, Listed and private infrastructure, Mutual funds, Exchange-traded funds (ETF), Interval funds, Separately managed accounts (SMA), Collective investment trusts (CIT)
Content quality
excellent
Branding
consistent

Technology

Stack
Drupal 10, JavaScript, Coveo Search, Dynatrace, Google Tag Manager, Microsoft Clarity, LinkedIn Insight Tag, ContentSquare, Bing Ads, PureCloud Webchat, CoBrowse
Frameworks
Drupal CMS
Performance
moderate
Mobile
excellent
Accessibility
good
SEO
good

Security

Observed score
85/100
Good practices seen
  • HTTPS enforced
  • No exposed sensitive data in HTML
  • Secure login portals
  • Use of modern JS libraries and analytics with privacy considerations

Analytics and tracking

Services
Google Tag Manager, Microsoft Clarity, LinkedIn Insight Tag, ContentSquare, Dynatrace
Tracking level
moderate
Privacy practices
basic

Advertising

Ad networks
Bing Ads
Tracking pixels
Microsoft Clarity, LinkedIn Insight Tag, ContentSquare
Marketing tools
ContentSquare, Microsoft Clarity
Transparency
good

Site quality

Design
excellent
User experience
excellent
Content relevance
excellent
Navigation
excellent
Professionalism
excellent
Trustworthiness
high

Key observations

  1. Website is fully accessible with rich content and professional design.
  2. No WAF or security challenge detected.
  3. WHOIS data unavailable, raising questions about domain registration status.
  4. Strong branding consistent with Principal Financial Group.
  5. Multiple sign-in portals for different user types indicate legitimate business operations.
  6. Comprehensive investment product and strategy information provided.
  7. Privacy and cookie policies present but privacy policy page not explicitly found.
  8. No explicit security or incident response policies published.
  9. Use of multiple third-party analytics and marketing tools with moderate tracking.
  10. Newsletter subscription form collects personal data including name, email, and firm.
Technical notes

Notes

The website leverages Drupal 10 CMS, integrating advanced search capabilities via Coveo and multiple analytics platforms including Google Tag Manager, Microsoft Clarity, and ContentSquare. The design is mobile-optimized and accessible, with a consistent branding system. Performance is moderate, with preloading of key assets and fonts. The technical stack is modern and well-maintained, though hosting provider details are not explicit. The site uses secure HTTPS connections and modern JavaScript frameworks, supporting a robust user experience. Opportunities exist to enhance security headers and optimize third-party script usage for improved speed and privacy.
Standards and sources

Reference chips under each finding point to the standard, regulation or specification the finding relates to. They are taken from the official datasets below and mapped conservatively: a finding with no defensible link shows none. NIS2 and GDPR references mark where a finding is relevant evidence, not a compliance verdict. Implementing Regulation (EU) 2024/2690 binds digital infrastructure and digital service providers; for other entities it is the most detailed public reading of the Article 21 measures. WCAG, EN 301 549, European Accessibility Act and Web Accessibility Directive references name the requirement an automated accessibility rule relates to; they are not a conformance verdict.

Retrieved 2026-10-25

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