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Principal Global Investors

PRI reporting framework 2017

You are in Organisational Overview » Basic Information

Basic Information

OO 01. Signatory category and services

01.1. Select the services you offer.

% of assets under management (AUM) in ranges

% of assets under management (AUM) in ranges

01.2. Additional information. [Optional]

Principal Global Investors, LLC is a diversified asset management organization and a wholly-owned subsidiary of Principal Financial Group Inc. Listed on the New York Stock Exchange, Principal Financial Group Inc. is a member of the Fortune 500 and a leading global financial institution offering a wide range of financial products and services through a diverse family of financial services companies. Principal Global Investors multi-boutique organization currently manages assets on behalf of a broad range of sophisticated investors in over 70 countries encompassing public and private pension funds, foundations and endowments, central banks, insurance companies, sub-advisory arrangements, sovereign wealth funds, and individual investors. The network of specialized investment boutiques offers a single point of access to world-class investment boutiques and expertise in fixed income, equity, and real estate investments, asset allocation, lifecycle funds, exchange-traded funds, currency management, stable value management, and other structured investment strategies. The multi-boutique strategy of Principal Global Investors enables us to provide an expanded range of top-tier investment capabilities through our network of specialized affiliates and boutiques that includes: Principal Global Equities, Principal Global Fixed Income, Principal Real Estate Investors, Principal Enterprise Capital , Macro Currency Group, Columbus Circle Investors, Edge Asset Management, Finisterre Capital, Origin Asset Management, Morley Financial Services, Principal Portfolio Strategies, Post Advisory Group, and Spectrum Asset Management.

OO 02. Headquarters and operational countries

02.1. Select the location of your organisation’s headquarters.

United States

02.2. Indicate the number of countries in which you have offices (including your headquarters).

02.3. Indicate the approximate number of staff in your organisation in full-time equivalents (FTE).

1693 FTE

02.4. Additional information. [Optional]

Principal Global Investors has major regional offices in the following countries:  Australia, Hong Kong, Japan, Singapore, United Kingdom, and the United States.

OO 03. Subsidiaries that are separate PRI signatories

03.1. Indicate whether you have subsidiaries within your organisation that are also PRI signatories in their own right.

03.3. Additional information. [Optional]

All investment teams and boutiques are included in Principal Global Investors signatory status and are included in the annual reporting process. 

OO 04. Reporting year and AUM

04.1. Indicate the year end date for your reporting year.


04.2. Indicate your total AUM at the end of your reporting year, excluding subsidiaries you have chosen not to report on.

Total AUM
trillions billions millions thousands hundreds
Assets in USD
trillions billions millions thousands hundreds

04.4. Additional information. [Optional]

Principal Global Investors is the asset management arm of the Principal Financial Group ® (The Principal ®) and includes the asset management operations of the following subsidiaries of The Principal: Principal Global Investors, LLC; Principal Real Estate Investors, LLC; Principal Enterprise Capital, LLC; Spectrum Asset Management, Inc.; Post Advisory Group, LLC; Columbus Circle Investors; Edge Asset Management, Inc.; Morley Financial Services Inc.; Finisterre Capital, LLP; Origin Asset Management, LLP; Principal Global Investors (Europe) Limited; Principal Global Investors (Singapore) Ltd.; Principal Global Investors (Australia) Ltd.; Principal Global Investors (Japan) Ltd.; Principal Global Investors (Hong Kong) Ltd.  Marketing assets under management may include assets that are managed by Principal International for which Principal Global Investors provides, or may provide access to proprietary investment research, recommendations, model portfolios or other advisory related services or systems. Assets under management includes assets managed by investment professionals of Principal Global Investors under dual employee arrangements with other subsidiaries of The Principal and assets managed in accordance with investment advice provided by Principal Global Investors through the delivery of a model.

"The Principal Financial Group" and "The Principal" are registered trademarks of Principal Financial Services, Inc., a member of the Principal Financial Group.

All assets under management figures shown in this document are gross figures, before fees, transaction costs and other expenses and may include leverage, unless otherwise noted. Assets under management may include model-only assets managed by the firm, where the firm has no control as to whether investment recommendations are accepted or the firm does not have trading authority over the assets.

OO 06. How would you like to disclose your asset class mix

New selection options have been added to this indicator. Please review your prefilled responses carefully.

06.1. How you would like to disclose your asset class mix.

Internally managed (%)
Externally managed (%)


Listed equity 10-50% 30.4 <10% 4.74
Fixed income 10-50% 37.75 <10% 5.12
Private equity 0 0 0 0
Property 10-50% 17.98 0 0
Infrastructure 0 0 0 0
Commodities 0 0 0 0
Hedge funds <10% 0.81 <10% 0.42
Forestry 0 0 0 0
Farmland 0 0 0 0
Inclusive finance 0 0 0 0
Cash <10% 1.86 0 0
Other (1), specify <10% 0.86 0 0
Other (2), specify <10% 0.09 0 0

'Other (1)' specified


'Other (2)' specified

          Fixed Income Structured Securities

06.2. Publish our asset class mix as per attached image [Optional].

06.3. Provide contextual information on your AUM asset class split. [Optional]

On 24 February, 2015, The Principal Financial Group® announced structural changes to bring together Principal Funds and Principal Trust, formerly under the Retirement& Investor Services segment - within Principal Global Investors. While the structural changes began to be implemented immediately, full operational integration is still ongoing and a Responsible Investment policy and process will not be fully implemented until 2017.

Please follow the link below for more information on announced organizational changes for the Principal Financial Group:

OO 07. Fixed income AUM breakdown (Private)

OO 08. Segregated mandates or pooled funds (Private)

OO 09. Breakdown of AUM by market (Private)