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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 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 Two Stars Three stars Three stars
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

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Asset Allocation - Target Date

Fund Morningstar Category Overall 3 Year 5 Year 10 Year
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

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Large U.S. Equity

Fund Morningstar Category Overall 3 Year 5 Year 10 Year
Capital Appreciation A (Load-Waived) Large Blend Four stars Three stars Three stars Five stars
Capital Appreciation A Large Blend Three stars Two Stars Three stars Four stars
Equity Income A (Load-Waived) Large Value Four stars Three stars Three stars Four stars
Equity Income A Large Value Three stars Two stars Two 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 Four stars Five stars Five stars
MidCap A MidCap Growth Four stars Three stars Four stars Five stars
MidCap Value III A (Load-Waived) Mid-Cap Value Four stars Four stars Four stars Three stars
MidCap Value III A Mid-Cap Value Three stars Three stars Three stars Three stars
Real Estate Securities A (Load-Waived) Real Estate Five stars Four stars Four stars Five stars
Real Estate Securities A Real Estate Three stars Two stars Two stars Four stars
SmallCap Blend A (Load-Waived) Small Blend Four stars Five stars Four stars Three stars
SmallCap Blend A Small Blend Three stars Four stars Three stars Three stars
SmallCap Value II A (Load-Waived) Small Value Four stars Four stars Four stars Three stars
SmallCap Value II A Small Value Three stars Three stars Three stars Two stars

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International Equity

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

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Specialty

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

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Fixed Income

Fund Morningstar Category Overall 3 Year 5 Year 10 Year
California Municipal Fund A (Load-Waived) Muni California Long Five stars Five stars Five stars Four stars
California Municipal Fund A Muni California Long Four stars Five stars Five stars Three stars
Government & High Quality Bond A (Load-Waived) Intermediate Government Four stars Four 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 Five stars Four stars Four stars Five stars
High Yield A High Yield Bond Four stars Three Stars Three stars Five stars
High Yield I A (Load-Waived) High Yield Bond Four stars Three stars Three stars Four stars
High Yield I A High Yield Bond Three stars Two stars Two stars Four stars
Income A (Load Waived) Intermediate-Term Bond Four stars Four stars Four stars Four stars
Income A Intermediate-Term Bond Four stars Three stars Four stars Four stars
Tax-Exempt Bond A (Load-Waived) Muni National Long Five stars Five stars Five stars Five stars
Tax-Exempt Bond A Muni National Long Four stars Four stars Four stars Four 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 6/30/2015. Past performance does not guarantee 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 06/30/2015 are as follows: the Conservative Allocation category consisted of 676 funds for the three-year period, 549 funds for the five-year period and 307 funds for the ten-year period; the Aggressive Allocation category consisted of 389 funds for the three-year period, 328 funds for the five-year period, and 225 funds for the ten-year period; the Target Date 2000-2010 category consisted of 117 funds for the three-year period, 110 funds for the five-year period, and 40 funds for the ten-year period; the Target Date 2016-2020 category consisted of 195 funds for the three-year period, 170 funds for the five-year period, and 52 funds for the ten-year period; the Target Date 2026-230 category consisted of 195 funds for the three-year period, 171 funds for the five-year period, and 57 funds for the ten-year period; the Target Date 2046-2050 category consisted of 194 funds for the three-year period, 170 funds for the five-year period, and 52 funds for the ten-year period; the Large Value category consisted of 1,185 funds for the three-year period, 1,045 funds for the five-year period, and 734 funds for the ten-year period; the MidCap Growth category consisted of 657 funds for the three-year period, 585 funds for the five-year period, and 451 funds for the ten-year period; the Small Value category consisted of 365 funds for the three-year period, 305 funds for the five-year period, and 198 funds for the ten-year period; the Foreign Large Blend category consisted of 668 funds for the three-year period, 584 funds for the five-year period, and 331 funds for the ten-year period; the Global Real Estate category consisted of 187 funds for the three-year period, and 154 funds for the five-year period; the Real Estate category consisted of 232 funds for the three-year period, 199 funds for the five-year period, and 151 funds for the ten-year period; the Intermediate-Term Bond category consisted of 935 funds for the three-year period, 811 funds for the five-year period, and 593 funds for the ten-year period; the Muni California Long category consisted of 68 funds for the three-year period, 67 funds for the five-year period, and 53 funds for the ten-year period; the Intermediate Government category consisted of 303 funds for the three-year period, 273 funds for the five-year period, and 224 funds for the ten-year period; the High Yield Bond category consisted of 611 funds for the three-year period, 516 funds for the five-year period, and 362 funds for the ten-year period; the Muni National Long category consisted of 281 funds for the three-year period, 236 funds for the five-year period, and 166 funds for the ten-year period, the Mid-Cap Value category consisted of 429 funds for the three-year period, 370 funds for the five-year period, and 242 funds for the ten-year period; the Small Blend category consisted of 636 funds for the three-year period, 575 funds for the five-year period, and 377 for the ten-year period; the Diversified Emerging Markets category consisted of 549 funds for the three-year category, 351 funds for the five-year category, and 167 funds for the ten-year category.

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.

© 2015 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 does not guarantee future results.


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Lipper Peer Comparison

As of March 31, the following percentage of Principal Funds were in the top half of their respective Lipper categories for the time periods indicated below:

  • 1-year: 73.2% of A shares were in the top half (30 of 41)
  • 3-year: 66.7% of A shares were in the top half (24 of 36)
  • 5-year: 70.6% of A shares were in the top half (24 of 34)
  • 10-year: 84.6% of A shares were in the top half (11 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 50 funds (A shares) in the Principal Funds family.

Current Lipper Rankings

(as of 3/31/2015) Class A


Asset Allocation1

Fund Ticker Symbol
1 yr 3 yr 5 yr 10 yr
Principal LifeTime 2010 Fund
Mixed-Asset Target 2010 Funds
PENAX
Top 32%
(42 of 131)
Top 30%
(30 of 102)
Top 25%
(24 of 96)
N/A
 
Principal LifeTime 2020 Fund
Mixed-Asset Target 2020 Funds
PTBAX
Top 36%
(74 of 205)
Top 22%
(35 of 162)
Top 18%
(25 of 144)
N/A
 
Principal LifeTime 2030 Fund
Mixed-Asset Target 2030 Funds
PTCAX
Top 40%
(83 of 208)
Top 39%
(62 of 159)
Top 31%
(43 of 141)
N/A
 
Principal LifeTime 2040 Fund
Mixed-Asset Target 2040 Funds
PTDAX
Top 41%
(80 of 197)
Top 38%
(60 of 158)
Top 35%
(49 of 140)
N/A
 
Principal LifeTime 2050 Fund
Mixed-Asset Target 2050 Funds
PPEAX
Top 44%
(80 of 183)
Top 35%
(49 of 141)
Top 33%
(36 of 109)
N/A
 
Principal LifeTime Strategic Income Fund
Mixed-Asset Target Today Funds
PALTX
Top 43%
(59 of 138)
Top 37%
(45 of 122)
Top 32%
(36 of 112)
N/A
 
SAM Balanced Portfolio2
Mixed-Asset Target Allocation Growth Funds
SABPX
Top 56%
(279 of 506)
Top 64%
(291 of 458)
Top 53%
(224 of 423)
Top 36%
(105 of 293)
SAM Conservative Balanced Portfolio2
Miexed-Asset Target Allocation Moderate Funds
SAIPX
Top 40%
(223 of 562)
Top 63%
(299 of 474)
Top 58%
(244 of 424)
Top 35%
(95 of 273)
SAM Conservative Growth Portfolio
Miexed-Asset Target Allocation Aggresive Growth Funds
SAGPX
Top 38%
(63 of 169)
Top 52%
(74 of 143)
Top 43%
(56 of 131
Top 34%
(25 of 73)
SAM Flexible Income Portfolio2
Mixed-Asset Target Allocation Consv Funds
SAUPX
Top 29%
(102 of 355)
Top 37%
(114 of 314)
Top 35%
(94 of 271)
Top 22%
(29 of 135)
SAM Strategic Growth Portfolio
Miexed-Asset Target Allocation Aggresive Growth Funds
SACAX
Top 15%
(24 of 169)
Top 19%
(27 of 143)
Top 11%
(14 of 131)
Top 25%
(18 of 73)

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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 27%
(202 of 760)
Top 53%
(358 of 677)
Top 52%
(298 of 578)
Top 19%
(69 of 366)
Equity Income Fund
Equity Income Funds
PQIAX
Top 35%
(175 of 499)
Top 32%
(114 of 359)
Top 30%
(85 of 286)
Top 46%
(80 of 176)
LargeCap Growth Fund
Large-Cap Growth Funds
PRGWX
Top 47%
(325 of 702)
Top 55%
(342 of 623)
Top 68%
(370 of 545)
N/A
 
LargeCap Value Fund
Multi-Cap Value Funds
PCACX
Top 64%
(175 of 276)
Top 64%
(159 of 248)
Top 50%
(111 of 222)
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 Growth Funds
PEMGX
Top 14%
(72 of 549)
Top 8%
(38 of 474)
Top 3%
(11 of 405)
N/A
 
Real Estate Securities Fund
Real Estate Funds
PRRAX
Top 11%
(26 of 255)
Top 7%
(15 of 217)
Top 28%
(47 of 172)
N/A
 
SmallCap Blend Fund
Small-Cap Core Funds
PLLAX
Top 28%
(215 of 778)
Top 6%
(41 of 684)
Top 13%
(77 of 600)
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 49%
(192 of 391 )
Top 49%
(166 of 344)
Top 45%
(142 of 320)
N/A
 
Global Opportunities Fund
Global Multi-Cap Core
PGLAX
Top 46%
(70 of 153)
N/A
 
N/A
 
N/A
 
Global Real Estate Securities Fund
Global Real Estate Funds
POSAX
Top 26%
(36 of 139)
Top 7%
(7 of 108)
Top 10%
(9 of 96)
N/A
 

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Specialty

Fund Ticker Symbol
1 yr 3 yr 5 yr 10 yr
Global Multi-Strategy Fund
Alternative Multi-Strategy Funds
PMSAX
Top 35%
(45 of 130)
Top 50%
(32 of 63)
N/A
 
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 70%
(343 of 493)
Top 44%
(192 of 438 )
Top 25%
(96 of 362 )
N/A
 
California Municipal Fund
California Municipal Debt Funds
SRCMX
Top 20%
(25 of 127 )
Top 17%
(18 of 111)
Top 22%
(23 of 108)
Top 69%
(59 of 85 )
Income Fund
Corporate Debt Funds BBB-Rated
CMPIX
Top 77%
(158 of 205)
Top 64%
(109 of 171)
Top 64%
(93 of 145)
Top 46%
(43 of 94)
High Yield Fund
High Yield Funds
CPHYX
Top 22%
(136 of 621)
Top 21%
(102 of 497)
Top 29%
(120 of 415)
Top 5%
(10 of 281)
Inflation Protection Fund
Inflation Protected Bond Funds
PITAX
Top 35%
(77 of 224)
Top 45%
(82 of 185)
Top 38%
(58 of 152)
N/A
 
Opportunistic Municipal Fund
High Yield Municipal Debt Funds
PMOAX
Top 23%
(32 of 140)
N/A
 
N/A
 
N/A
 
Preferred Securities Fund
Flexible Income Funds
PPSAX
Top 17%
(11 of 66)
Top 24%
(13 of 55)
Top 22%
(8 of 36)
N/A
 
Tax-Exempt Bond Fund
General & Insured Municipal Debt Funds
PTEAX
Top 16%
(40 of 252)
Top 27%
(60 of 226)
Top 33%
(66 of 204)
Top 41%
(61 of 150)

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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 13%
(37 of 290)
Top 24%
(57 of 241)
Top 29%
(57 of 199)
Top 24%
(35 of 148)

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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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