This is a routine quarterly AUM pre-release with no earnings data. The 1.5% sequential AUM decline is modest and largely explained by the Chile annuity sale and market movements. Monitor the full Q3 earnings release on October 26 for revenue, EPS, and guidance updates.
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Executive Summary
Principal Financial Group filed an 8-K under Item 7.01 to disclose preliminary Q3 2026 assets under management (AUM) ahead of its full earnings release. Total AUM was $785.0 billion as of September 30, 2026, down approximately 1.5% from the beginning of the quarter due to negative market performance, foreign currency translation, and a $2.2 billion reduction from the sale of its Chile annuity business. The disclosure is routine and provides no earnings or guidance figures.
Key Facts
- Total AUM as of September 30, 2026: $785.0 billion
- AUM managed by Principal Asset Management - Investment Management: $581.7 billion
- AUM managed by Principal Asset Management - International Pension: $166.2 billion
- Quarterly AUM impact: approximately -1.5% from beginning-period AUM due to market, FX, and dispositions
- Operations disposed AUM: negative $2.2 billion primarily from sale of Chile annuity business
- Full Q3 2026 earnings release and financial supplement expected on or about October 26, 2026
Financial Impact
AUM declined ~1.5% sequentially, with a $2.2 billion reduction from the Chile annuity sale; no revenue or earnings impact disclosed
Risk Factors
- Continued negative market performance or FX headwinds could further pressure AUM and fee income
- The Chile annuity sale reduces a revenue-generating book of business, though terms were not disclosed
Investment Themes
Documents Analyzed
This report is based on 4 SEC documents filed with EDGAR.
| Document | Accession Number |
|---|---|
| 8-K Filing (Primary) | 0001104659-26-116869 |
| Document: 0001104659-26-116869-index-headers.html | 0001104659-26-116869 |
| Document: 0001104659-26-116869-index.html | 0001104659-26-116869 |
| Document: 0001104659-26-116869.txt | 0001104659-26-116869 |
Track record builds as more directional reports settle.
Filters
| Type | Now | ||||
|---|---|---|---|---|---|
Oct 26, 2026 1d ago | 8-K | $110.13 | awaiting T+5 | — | $110.13 (+0.00%) |
Oct 19, 2026 8d ago | 8-K | $107.94 $110.44 | ▲ +2.31% | ▲ +2.29% | $110.13 (+2.03%) |
Oct 19, 2026 8d ago | Institutional Cluster | $106.86 $109.97 | ▲ +2.91% | ▲ +3.06% | $110.13 (+3.06%) |
Jul 20, 2026 14w ago | 8-K | $109.57 $111.29 | ▲ +1.57% | ▲ +2.80% | $110.13 (+0.51%) |
Jun 1, 2026 21w ago | 8-K | $103.31 $106.66 | ▲ +3.24% | ▲ +6.21% | $110.13 (+6.60%) |
May 29, 2026 21w ago | 424B5 | $102.90 $105.22 | ▲ +2.25% | ▲ +5.00% | $110.13 (+7.03%) |
May 27, 2026 21w ago | 424B5 | $104.57 $103.31 | ▼ −1.20% | ▼ −2.41% | $110.13 (+5.32%) |
Apr 30, 2026 25w ago | Insider Cluster | $99.53 $98.95 | ▼ −0.58% | ▼ −2.94% | $110.13 (+10.65%) |
Apr 28, 2026 26w ago | Insider Cluster | $100.06 $99.46 | ▼ −0.60% | ▼ −2.29% | $110.13 (+10.06%) |
Apr 23, 2026 26w ago | 8-K | $99.34 $100.91 | ▲ +1.58% | ▲ +0.67% | $110.13 (+10.86%) |
US Market Status
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