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Pricing & Performance: Ratings & Recognition

Third Party Recognition

Get the most recent quarterly ratings of our funds and portfolios by the industry's foremost ratings agencies, Morningstar and Lipper, Inc.

  • Morningstar Rankings
  • Lipper Rankings
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We Bring the Stars Down to Earth

Morningstar, an industry leader in fund information and analysis, combines measures of a fund's sales load, performance, and risk to assign it a Morningstar Rating based on risk-adjusted returns.

Each of the funds below have earned at least a four-star overall rating and a minimum of a three-star A-share (load-waived) rating overall.

Current Morningstar Ratings


Asset Allocation - Target Risk

Fund Morningstar Category Overall 3 Year 5 Year 10 Year
SAM Flexible Income A (Load-Waived) Conservative Allocation Four Stars Three stars Three stars Four Stars
SAM Flexible Income A Conservative Allocation Three stars Three stars Three Stars Three Stars
SAM Conservative Balanced A (Load-Waived) Conservative Allocation Four stars Four stars Four stars Four stars
SAM Conservative Balanced A Conservative Allocation Three stars Three stars Three stars Three stars
SAM Conservative Growth A (Load-Waived) Aggressive Allocation Four stars Four stars Four stars Three stars
SAM Conservative Growth A Aggressive Allocation Three stars Three Stars Three stars Three stars

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Asset Allocation - Target Date

Fund Morningstar Category Overall 3 Year 5 Year 10 Year
LifeTime 2010 A (Load-Waived) Target Date 2000-2010 Five stars Four stars Five stars Two stars
LifeTime 2010 A Target Date 2000-2010 Three stars Three stars Three stars Two stars
LifeTime 2020 A (Load-Waived) Target Date 2016-2020 Four stars Four stars Four stars Three stars
LifeTime 2020 A Target Date 2016-2020 Three stars Three stars Three stars Two stars
LifeTime 2030 A (Load-Waived) Target Date 2026-2030 Four stars Four stars Four stars Three stars
LifeTime 2030 A Target Date 2026-2030 Three stars Two stars Three stars Two stars
LifeTime 2040 A (Load-Waived) Target Date 2036-2040 Four stars Three stars Four stars Three stars
LifeTime 2040 A Target Date 2036-2040 Two stars Two stars Two stars Three stars
LifeTime 2050 A (Load-Waived) Target Date 2046-2050 Four stars Four stars Four stars N/A
LifeTime 2050 A Target Date 2046-2050 Two stars Two stars Two stars N/A

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Large U.S. Equity

Fund Morningstar Category Overall 3 Year 5 Year 10 Year
Equity Income A (Load-Waived) Large Value Four stars Two stars Four stars Four stars
Equity Income A Large Value Three stars Two stars Three stars Three stars
LargeCap Growth I (Load-Waived) Large Value Four stars Three stars Four stars Four stars
LargeCap Growth I Large Value Three stars Two stars Three stars Three stars

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Small/Mid U. S. Equity

Fund Morningstar Category Overall 3 Year 5 Year 10 Year
MidCap A (Load-Waived) MidCap Growth Five stars Five stars Five stars Five stars
MidCap A MidCap Growth Five stars Four stars Five stars Five stars
SmallCap Blend A (Load-Waived) Small Blend Four stars Four stars Four stars Three stars
SmallCap Blend A Small Blend Three stars Three stars Three stars Two stars

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International Equity

Fund Morningstar Category Overall 3 Year 5 Year 10 Year
Diversified International A (Load-Waived) Foreign Large Blend Four stars Three stars Four stars Three stars
Diversified International A Foreign Large Blend Three stars Two stars Three stars Three stars
Global Real Estate Securities A (Load-Waived) Global Real Estate Four stars Five stars Four stars N/A
Global Real Estate Securities A Global Real Estate Four stars Three stars Four stars N/A

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Specialty

Fund Morningstar Category Overall 3 Year 5 Year 10 Year
Global Diversified Income A (Load-Waived) Conservative Allocation Five stars Five stars Five stars N/A
Global Diversified Income A Conservative Allocation Five stars Four stars Five stars N/A

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Fixed Income

Fund Morningstar Category Overall 3 Year 5 Year 10 Year
Bond & Mtg Securities A (Load-Waived) Intermediate-Term Bond Four stars Three stars Four stars Two stars
Bond & Mtg Securities A Intermediate-Term Bond Three stars Two stars Three stars Two stars
California Municipal Fund A (Load-Waived) Muni California Long Four stars Four stars Four stars Three stars
California Municipal Fund A Muni California Long Three stars Three Stars Three stars Two stars
Government & High Quality Bond A (Load-Waived) Intermediate Government Four stars Five stars Four stars Three stars
Government & High Quality Bond A Intermediate Government Three stars Three Stars Three stars Three stars
High Yield A (Load-Waived) High Yield Bond Four stars Four stars Three stars Five stars
High Yield A High Yield Bond Four stars Three stars Two stars Five stars
Income A (Load Waived) Intermediate-Term Bond Four stars Four stars Four stars Four stars
Income A Intermediate-Term Bond Four stars Four stars Three stars Four stars
Tax-Exempt Bond A (Load-Waived) Muni National Long Four stars Four stars Four stars Three stars
Tax-Exempt Bond A Muni National Long Three stars Three stars Three stars Three stars

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The funds listed above may have recent negative performance. View current performance here.

Not all investors are eligible to purchase shares at Net Asset Value (without a sales charge). Load-waived ratings apply only when investors are eligible to purchase shares without the sales charge or for existing shareholders who have already paid the sales charge. Unless indicated as "load-waived", ratings include a maximum sales charge. Consult a current prospectus for details on reduced/waived sales charges and breakpoints.

Ratings listed above are as of 9/30/2014. Past performance is no guarantee of future results.

Morningstar proprietary ratings reflect historical risk-adjusted performance for funds with at least a 3-year performance history and are subject to change every month. Morningstar Ratings (TM) are calculated from a fund's three-, five-, and ten-year average annual returns in excess of the 90-day U.S. Treasury bill returns, with appropriate fee adjustments, and a risk factor that reflects performance below the 90-day Treasury bill return. Within each asset class the top 10% of funds receive 5 stars (Highest); the next 22.5% receive 4 stars (Above Average); the middle 35% earn 3 stars (Average); the next 22.5% receive 2 stars (Below Average); and the bottom 10% get 1 star (Lowest). The Overall Morningstar Rating for a fund is derived from a weighted average of the performance figures associated with its three-, five- and ten-year (if applicable) Morningstar Rating metrics. Copyright 2012 Morningstar, Inc. All rights reserved. The information contained herein: (1) is proprietary to Morningstar and/or its content providers; (2) may not be copied or distributed; and (3) is not warranted to be accurate, complete or timely. Neither Morningstar nor its content providers are responsible for any damages or losses arising from any use of this information.

The number of U.S.-domiciled funds tracked by Morningstar in the following categories for periods ended 9/30/2014 are as follows: the Conservative Allocation category consisted of 573 funds for the three-year period, 479 funds for the five-year period and 266 funds for the ten-year period; the Agressive Allocation category consisted of 342 funds for the three-year period, 307 funds for the five-year period, and 206 funds for the ten-year period; the Target Date 2000-2010 category consisted of 112 funds for the three-year period, 108 funds for the five-year period, and 35 funds for the ten-year period; the Target Date 2016-2020 category consisted of 184 funds for the three-year period, 169 funds for the five-year period, and 42 funds for the ten-year period; the Target Date 2026-2030 category consisted of 184 funds for the three-year period, 169 funds for the five-year period, and 37 funds for the ten-year period; the Target Date 2036-2040 category consisted of 183 funds for the three-year period, 168 funds for the five-year period, and 37 funds for the ten-year period; the Target Date 2046-2050 category consisted of 156 funds for the three-year period, 132 funds for the five-year period, and 6 funds for the ten-year period; the Large Value category consisted of 1,092 funds for the three-year period, 966 funds for the five-year period, and 635 funds for the ten-year period; the MidCap Growth category consisted of 342 funds for the three-year period, 307 funds for the five-year period, and 206 funds for the ten-year period; the Small Blend category consisted of 616 funds for the three-year period, 563 funds for the five-year period, and 351 funds for the ten-year period; the Foreign Large Blend category consisted of 682 funds for the three-year period, 612 funds for the five-year period, and 333 funds for the ten-year period; the Global Real Estate category consisted of 173 funds for the three-year period, 149 funds for the five-year period, and 33 funds for the ten-year period; the Intermediate-Term Bond category consisted of 929 funds for the three-year period, 808 funds for the five-year period, and 574 funds for the ten-year period; the Muni California Long category consisted of 137 funds for the three-year period, 132 funds for the five-year period, and 108 funds for the ten-year period; the Intermediate Government category consisted of 302 funds for the three-year period, 283 funds for the five-year period, and 235 funds for the ten-year period; the High Yield Bond category consisted of 566 funds for the three-year period, 499 funds for the five-year period, and 345 funds for the ten-year period; the Muni National Long category consisted of 238 funds for the three-year period, 215 funds for the five-year period, and 176 funds for the ten-year period.

This document represents a limited selection of the Principal Funds & Portfolios that are rated by Morningstar. Many of our other Funds, Portfolios and share classes are also rated by Morningstar, but may not be rated as highly as the Funds included in this document.

© 2014 Morningstar, Inc. All Rights Reserved. The information contained herein: (1) is proprietary to Morningstar; (2) may not be copied or distributed; and (3) is not warranted to be accurate, complete or timely. Neither Morningstar nor its content providers are responsible for any damages or losses arising from any use of this information. Past performance is no guarantee of future results.


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Lipper Peer Comparison

As of June 30, the following percentage of Principal Funds were in the top half of their respective Lipper categories for the time periods indicated below:

  • 1-year: 56.4% (22 of 39)
  • 3-year: 74.3% (26 of 35)
  • 5-year: 63.6% (21 of 33)
  • 10-year: 66.7% (10 of 13)

The Principal Funds in the table below ranked in at least the top half of all funds in one of their respective Lipper categories over different reporting periods. They're just a few of the 45 funds (A shares) in the Principal Funds family.

Current Lipper Rankings

(as of 06/30/2014) Class A


Asset Allocation1

Fund Ticker Symbol
1 yr 3 yr 5 yr 10 yr
Principal LifeTime 2010 Fund
Mixed-Asset Target 2010
PENAX
Top 37%
(43 of 116)
Top 32%
(32 of 102)
Top 8%
(7 of 94)
N/A
 
Principal LifeTime 2020 Fund
Mixed-Asset Target 2020 Funds
PTBAX
Top 23%
(43 of 191)
Top 25%
(40 of 165)
Top 11%
(15 of 145)
N/A
 
Principal LifeTime 2030 Fund
Mixed-Asset Target 2030 Funds
PTCAX
Top 44%
(84 of 193)
Top 37%
(59 of 162)
Top 30%
(42 of 142)
N/A
 
Principal LifeTime 2040 Fund
Mixed-Asset Target 2040 Funds
PTDAX
Top 46%
(84 of 182)
Top 41%
(66 of 161)
Top 33%
(46 of 141)
N/A
 
Principal LifeTime 2050 Fund
Mixed-Asset Target 2050 Funds
PPEAX
Top 40%
(67 of 169)
Top 43%
(59 of 138)
Top 30%
(32 of 109)
N/A
 
Principal LifeTime Strategic Income Fund
Mixed-Asset Target Today Funds
PALTX
Top 48%
(63 of 133)
Top 43%
(52 of 122)
Top 29%
(30 of 106)
N/A
 
SAM Balanced Portfolio2
Mixed-Asset Target Allocation Growth Funds
SABPX
Top 78%
(460 of 589)
Top 55%
(285 of 525)
Top 55%
(267 of 488)
Top 45%
(142 of 315)
SAM Conservative Balanced Portfolio2
Miexed-Asset Target Allocation Moderate Funds
SAIPX
Top 81%
(424 of 524)
Top 63%
(280 of 447)
Top 69%
(265 of 387)
Top 45%
(114 of 256)
SAM Flexible Income Portfolio2
Mixed-Asset Target Allocation Consv Funds
SAUPX
Top 49%
(176 of 363)
Top 34%
(100 of 302)
Top 38%
(102 of 268)
Top 28%
(37 of 132)

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Large U.S. Equity

Fund Ticker Symbol
1 yr 3 yr 5 yr 10 yr
Capital Appreciation Fund#
Multi-Cap Core Funds
CMNWX
Top 48%
(384 of 803)
Top 45%
(323 of 723)
Top 50%
(307 of 613)
Top 27%
(98 of 373)
Equity Income Fund
Equity Income Funds
PQIAX
Top 32%
(145 of 453)
Top 34%
(109 of 320)
Top 33%
(88 of 269)
Top 44%
(70 of 159)
LargeCap Value Fund
Multi-Cap Value Funds
PCACX
Top 51%
(144 of 284)
Top 47%
(117 of 250)
Top 67%
(154 of 230)
N/A
 

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Small/Mid U.S. Equity3

Fund Ticker Symbol
1 yr 3 yr 5 yr 10 yr
MidCap Fund
Multi-Cap Core Funds
PEMGX
Top 56%
(450 of 803)
Top 15%
(104 of 723)
Top 6%
(35 of 613)
N/A
 
Real Estate Securities Fund
Real Estate Funds
PRRAX
Top 14%
(33 of 245)
Top 20%
(40 of 206)
Top 44%
(77 of 174)
N/A
 
Small-MidCap Dividend Income Fund
Equity Income Funds
PMDAX
Top 20%
(90 of 453)
Top 6%
(18 of 320)
N/A
 
N/A
 
SmallCap Blend Fund
Small-Cap Core Funds
PLLAX
Top 2%
(10 of 750)
Top 8%
(49 of 667)
Top 26%
(151 of 589)
N/A
 

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International Equity4

Fund Ticker Symbol
1 yr 3 yr 5 yr 10 yr
Diversified International Fund
International Multi-Cap Growth Funds
PRWLX
Top 35%
(127 of 370)
Top 40%
(131 of 328)
Top 44%
(127 of 293)
N/A
 
Global Real Estate Securities Fund
Global Real Estate Funds
POSAX
Top 40%
(54 of 134)
Top 16%
(16 of 102)
Top 17%
(15 of 88)
N/A
 

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Specialty

Fund Ticker Symbol
1 yr 3 yr 5 yr 10 yr
Diversified Real Asset Fund
Flexible Portfolio Funds
PRDAX
Top 40%
(90 of 226)
Top 50%
(70 of 141)
N/A
 
N/A
 
Global Diversified Income Fund
Global Flexible Port Funds
PGBAX
Top 57%
(266 of 466)
Top 16%
(44 of 291)
Top 10%
(17 of 184)
N/A
 

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Fixed Income5

Fund Ticker Symbol
1 yr 3 yr 5 yr 10 yr
Bond & Mortgage Securities Fund
Core Bond Funds
PRBDX
Top 40%
(209 of 527)
Top 43%
(200 of 467)
Top 9%
(35 of 400)
N/A
 
California Municipal Fund
California Municpal Debt Funds
SRCMX
Top 8%
(10 of 125)
Top 20%
(22 of 113)
Top 15%
(16 of 108)
Top 77%
(65 of 84)
Government & High Quality Bond Fund
U.S. Mortgage Funds
CMPGX
Top 70%
(90 of 129)
Top 48%
(53 of 110)
Top 56%
(47 of 83)
Top 44%
(29 of 66)
High Yield Fund
High Yield Funds
CPHYX
Top 38%
(219 of 590)
Top 32%
(147 of 473)
Top 63%
(254 of 405)
Top 4%
(10 of 276)
Income Fund
Corporate Debt Funds BBB-Rated
CMPIX
Top 79%
(143 of 195)
Top 65%
(105 of 161)
Top 66%
(90 of 136)
Top 44%
(40 of 90)
Inflation Protection Fund
Inflation Protected Bond Funds
PITAX
Top 54%
(113 of 210)
Top 39%
(71 of 183)
Top 34%
(44 of 131)
N/A
 
Opportunistic Municipal Fund
High Yield Municipal Funds
PMOAX
Top 44%
(58 of 131)
N/A
 
N/A
 
N/A
 
Preferred Securities Fund
Flexible Income Funds
PPSAX
Top 32%
(21 of 65)
Top 44%
(24 of 54)
Top 27%
(8 of 29)
N/A
 
Tax-Exempt Bond Fund
General & Insured Municipal Debt Funds
PTEAX
Top 18%
(47 of 262)
Top 42%
(99 of 235)
Top 34%
(71 of 213)
Top 44%
(70 of 161)

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Short-Term Fixed Income

Fund Ticker Symbol
1 yr 3 yr 5 yr 10 yr
Short-Term Income Fund
Short Investment Grade Debt Funds
SRHQX
Top 42%
(124 of 296)
Top 24%
(58 of 250)
Top 36%
(74 of 206)
Top 24%
(32 of 134)

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Past performance does not guarantee future results.

* The full name of this fund is the Principal Capital Appreciation Fund.

1 Equity investment options involve greater risk, including heightened volatility, than fixed-income investment options. Fixed-income investment options are subject to interest rate risk, and their value will decline as interest rates rise.
2 Fixed-income investments are subject to interest rate risk; as interest rates rise their value will decline.
3 Small and mid-cap stocks may have additional risks including greater price volatility.
4 International and global investing involves greater risks such as currency fluctuations, political/social instability and differing accounting standards.
5 Fixed-income investment options are subject to interest rate risk, and their value will decline as interest rates rise. Lower-rated securities are subject to additional credit and default risks. International investing involves increased risks due to currency fluctuations, political or social instability, and differences in accounting standards. REIT securities are subject to risk factors associated with the real estate industry and tax factors of REIT registration.

Many of our other Funds, Portfolios, and share classes are also rated by Lipper, but may not be rated as highly. Lipper rankings are based on total returns and do not reflect the inclusion of sales charges. If sales charges were reflected, rankings could be lower. Fund ranking calculated quarterly or annually by Lipper Inc. of New York. Each fund is ranked within a universe of funds similar in investment objective. Lipper Inc. is a nationally recognized organization that reports on mutual fund total return performance and calculated fund rankings. In instances Class A performance and extended performance do not correspond, the Lipper ranking is based upon the original class of shares adjusted for Class A expenses.


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To obtain a prospectus, download online or call Sales Support at 1.800.787.1621

While this communication may be used to promote or market a transaction or an idea that is discussed in the publication, it is intended to provide general information about the subject matter covered and is provided with the understanding that The Principal® is not rendering legal, accounting, or tax advice. It is not a marketed opinion and may not be used to avoid penalties under the Internal Revenue Code. You should consult with appropriate counsel or other advisors on all matters pertaining to legal, tax, or accounting obligations and requirements. For more information about our funds, including their full names, please see the Principal Funds, Inc. prospectus or call Sales Support at 1.800.787.1621.

Investing involves risk, including possible loss of principal.

Principal Funds are distributed by Principal Funds Distributor, Inc.

Not FDIC Insured - May Lose Value - No Bank Guarantee

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