Mutual Fund Directory | 2021
Top 100 Mutual Fund Companies Ranked by AUM
We help you find an additional mutual fund company. Then they help you find your funds.
Current information on investment companies and economic analysis to help investors –
Full Data Updated on 4/27/21 | News updated on 06/19/21
#1 ranked Mutual Fund Industry Directory for the past seven years in search per Google, mobile, Bing, & Yahoo search engines. Thank you.
“Scroll Down” for the full 100+ ranked directory list below with info request buttons
COVID-19. Note to investors – Investors should control what you can control. One thing you can control is which investment companies you use. (More than one may be best.) This website helps you with research investment companies. Remember – you have investments and some people don’t.
Note: COVID-19 Public Relations press releases were not used below. Every company has a perfunctory public relations post. Though nice and required, those have no benefit to your analysis of the companies.
| Ranked by AUM on 4/26/21 | Company Name | AUM | Date | News updated on 06/19/21 | Click to get Company Info |
|---|---|---|---|---|---|
| 1 | BlackRock Funds | $9,000.00 | 3/31/2021 | BlackRock is the first investment company in the world to pass the $9 Trillion mark in AUM. | Request info... |
| 2 | Vanguard | $7,200.00 | 1/31/2021 | Vanguard announced his plans to expand access to private equity | Request info... |
| 3 | Charles Schwab | $7,070.00 | 3/31/2021 | Sam Kang Appointed as President Schwab Charitable | Request info... |
| 4 | Fidelity Investments | $3,800.00 | 3/2/2021 | Fidelity announced to launch a Wealth Advisory Institute to help firms and their advisors to grow comprehensive wealth management and training | Request info... |
| 5 | State Street Global Advisors | $3,500.00 | 1/25/2021 | SEC fined State Street $40 million and possible $380 million in repayments. | Request info... |
| 6 | PIMCO/Allianz | $2,892.00 | 3/31/2021 | Brett Condron is hire as Managing Director for PIMCOs U.S Global Wealth Management Group | Request info... |
| 7 | JP Morgan | $2,800.00 | 4/14/2021 | JP Morgan fined $1.5 Million for overcharges by SEC | Request info... |
| 8 | Capital Group | $2,300.00 | 2/23/2021 | Capital Group Announces Licensing Agreement With Fidelity Investments | Request info... |
| 9 | BNY Mellon (Dreyfus) | $2,200.00 | 3/31/2021 | BNY Mellon is the first bank leveraging the RTP® network to provide corporations with instant digital consumer bill pay service | Request info... |
| 10 | Amundi Asset Mgmt | $1,900.00 | 1/1/2021 | Amundi announces the expansion of its ESG ETF range with the transition of six of its existing fixed income vanilla ETFs into equivalent ESG exposures | Request info... |
| 11 | Prudential Investments | $1,721.00 | 3/31/2021 | FINRA fine of $1 Million for lax records | Request info... |
| 12 | T Rowe Price | $1,700.00 | 3/31/2021 | T. Rowe Price led a new funding $1.3 B round for the start-up, a potential competitor to Tesla that was already backed by Amazon and Ford. per NY Times. | Request info... |
| 13 | Legal & General Investments | $1,700.00 | 12/31/2020 | Adds 210,000 sq feet in self storage assests. | Request info... |
| 14 | Franklin Templeton | $1,498.00 | 2/28/2021 | AUM nmbers include Legg Mason purchase. | Request info... |
| 15 | BofA Merrill Lynch | $1,400.00 | 3/31/2021 | Merrill, previously branded as Merrill Lynch, is an American investing and wealth management division of Bank of America. FINRA Fine of $450,000 on 3/30/21. |  |
| 16 | Invesco | $1,391.50 | 2/28/2021 | Invesco to pay $105 million in fines. Invesco Ltd. announced that Marty Flanagan, President and CEO, and Roger Crandall, Chairman, President and CEO of Massachusetts Mutual Life Insurance Company (MassMutual), are scheduled to present at the Bernstein 37th Annual Strategic Decisions Conference, a virtual event, on June 2, 2021 | Request info... |
| 17 | Natixis Global Associates | $1,387.70 | 12/31/2020 | Natixis Model Portfolios Added to UBSs Separately Managed Accounts Platform | Request info... |
| 18 | TIAA / Nuveen | $1,259.00 | 12/31/2020 | Asian respondents are committed to increasing ESG engagement and indicate an increasing shift towards alternative investing | Request info... |
| 19 | Sun Life Global Investments | $1,250.00 | 12/31/2020 | Sun Life Global Investments announces the appointment of Oricia Smith to President, SLGI Asset Management Inc. and Senior Vice-President, Investment Solutions, Sun Life Canada | Request info... |
| 20 | Goldman Sachs Asset Management | $1,100.00 | 3/31/2021 | Goldman Sachs Asset Management today released the findings of its tenth annual global insurance survey, titled Running the Risks. $1,250,000 fine by FINRA on Jan 22, 2021. | Request info... |
| 21 | Ameriprise Financial | $1,100.00 | 1/27/2021 | FINRA fines Ameriprise $850K. | Request info... |
| 22 | Northern Trust | $1,100.00 | 12/31/2020 | Northern Trust Wealth Management Announces Central Region Leadership Changes. $250 Million cost cutting program has started. | Request info... |
| 23 | UBS | $1,100.00 | 12/31/2020 | UBS Alpine Property Focus: Vacation homes benefit from pandemic | Request info... |
| 24 | Insight Investors | $1,030.00 | 12/31/2020 | Insight to Present at Stifel 2021 Virtual Cross Sector Insight Conference | Request info... |
| 25 | Raymond James | $1,020.00 | 12/31/2020 | $47,500 FINRA fine. Raymond James Financial announces a quarterly dividend on shares of its common stock of $0.39 per share | Request info... |
| 26 | AXA | $1,000.00 | 2/21/2021 | FINRA fines AXA $772,000. Clotilde Delbos is appointed member of AXAs Board of Directors to replace Irene Dorner | Request info... |
| 27 | Wellington Management | $1,000.00 | 12/31/2020 | Clotilde Delbos is appointed member of AXAs Board of Directors to replace Irene Dorner | Request info... |
| 28 | DWS | Deutsche Asset Management | $959.30 | 12/31/2020 | DWS launches white label robo WISE partnership in Japan | Request info... |
| 29 | LPL Financial | $903.00 | 12/31/2020 | LPL & INC Advisors Welcome Bergen Point Wealth Management. Has 17,000 advisors in their independent network. | Request info... |
| 30 | Barclay | $826.30 | 12/31/2020 | Fine of $650,000 on 12/1/20 by FINRA. Barclays Research Examines How Life and Markets May Evolve after COVID in the 2021 Equity Gilt Study. | Request info... |
| 31 | Morgan Stanley | $781.00 | 12/31/2020 | Agrees to pay $1.7 million in restitution and interest. | Request info... |
| 32 | Manulife Asset Mgmt | $755.00 | 3/31/2021 | Brazilian Timberlands is aquired by Manulife Investment Management.Creates new Head of Real Assets position | Request info... |
| 33 | Affiliated Managers Group (AMG) | $716.20 | 12/31/2020 | AMG Announces Investment in Women-Owned Boston Common Asset Management | Request info... |
| 34 | AllianceBernstein | $697.00 | 3/31/2021 | Paid a $51k self-reported fine. | Request info... |
| 35 | Columbia Threadneedle | $671.00 | 3/31/2021 | Celebrating eight years of consistent outperformance for the Threadneedle (Lux) Global Focus. To Buy BRO EMEA. | Request info... |
| 36 | Dimensional Fund Advisors | $637.00 | 4/15/2021 | Dimensional Fund Advisors releases data from the M&A section of its 2020 Global Advisor Study, one of the largest global advisor business analyses. Moves HQ to Charlotte. | Request info... |
| 37 | MFS Investment Management | $626.30 | 3/31/2021 | Owned by Sun Life Financial | Request info... |
| 38 | Federated Hermes (was Federated Investors) | $619.00 | 12/31/2020 | Purchased Hermes and rebranded to Federated Hermes. Federated Hermes, Inc.s CFO to participate in Deutsche Bank Global Financial Services Conference. | Request info... |
| 39 | Nomura Asset Management | $607.00 | 3/31/2021 | Notice regarding European Commissions Decision against Nomura | Request info... |
| 40 | Wells Fargo Advisors | $607.00 | 9/30/2020 | Wells Fargo still has 12,600 advisors as of 12/31/20. Wells Fargo Advisors Reduces Automated Investing Minimums and Fees. | Request info... |
| 41 | Brookfield Asset Management | $600.00 | 4/23/2021 | Brookfield Announces Record Date for Special Dividend and Creation of Brookfield Asset Management Reinsurance Partners Ltd. | Request info... |
| 42 | Geode Capital Management | $595.00 | 2/5/2021 | No news to post. Have your PR Staff contact me. | Request info... |
| 43 | Eaton Vance Distributors | $583.00 | 12/31/2020 | Morgan Stanley Closes Acquisition of Eaton Vance on 3/1/21. Eaton Vance Announces Upcoming Retirement of Michael A. Allison. | Request info... |
| 44 | The Blackstone Group | $549.00 | 4/22/2021 | Blackstone announced that Michael Chae, Chief Financial Officer, is scheduled to present at Morgan Stanleys Virtual Financials, Payments and CRE Conference on Tuesday, June 15, 2021 | Request info... |
| 45 | Edward Jones | $518.00 | 12/31/2020 | Has 41,000 advisors | Request info... |
| 46 | Julius Baer Securities | $474.70 | 12/31/2020 | Julius Baer announces final settlement with the U.S. Department of Justice regarding FIFA matter | Request info... |
| 47 | AVIVA Investors | $463.30 | 3/31/2021 | Aviva PLC, announces the hire of Andrew Marshall as Head of Sales, Canada | Request info... |
| 48 | Apollo Management | $455.50 | 2/3/2021 | Apollo Names Stephanie Drescher Chief Client and Product Development Officer and Establishes Dedicated Global Wealth Management Solutions | Request info... |
| 49 | BMO Global Asset Group | $415.70 | 12/31/2020 | Ameriprise Financial to Acquire BMOÂs EMEA Asset Management Business | Request info... |
| 50 | Aegon | $414.90 | 6/30/2020 | Owns Transamerica who just got $4.4 million in FINRA fines. | Request info... |
| 51 | Neuberger Berman | $405.00 | 12/31/2020 | Buying Alanac Realty Investors Neuberger Berman Continues to Expand Access to Private Equity with ELTIF Launch. | Request info... |
| 52 | Janus Henderson Group | $402.00 | 12/31/2020 | Janus Henderson Wins Three Fixed-Income Lipper Awards for investment excellence | Request info... |
| 53 | Robeco/ORIX | $400.00 | 4/21/2021 | Robeco rebranded to ORIX. Owned by AXA | Request info... |
| 54 | RBC Global Wealth (CAN) | $391.00 | 9/30/2020 | Agreed to pay restitution of $839,803 by FINRA on 12/15/20 | Request info... |
| 55 | Principal Financial Group | $385.20 | 3/31/2021 | Dan Houston to Speak at BofA Securities 2021 Insurance Conference |  |
| 56 | SEI Investments | $384.00 | 3/31/2021 | Touts $1 Tillion in Hedge Fund Assets. | Request info... |
| 57 | E-Trade | $346.00 | 12/31/2020 | Morgan Stanley's $13 Billion purchase of E-Trade Closes. E*TRADE Announces Enhanced Bond Resource Center. | Request info... |
| 58 | Barings | $345.00 | 12/31/2020 | Barings Value Add Fund Sells Ontígola Logistics Near Madrid for 40.6 Million | Request info... |
| 59 | Frank Russell Investments | $326.90 | 3/31/2021 | Kate El-Hillow has joined as Global Chief Investment Officer and Kevin Klingert has been hired as President. | Request info... |
| 60 | Loomis Sayles & Co | $321.20 | 12/31/2020 | Loomis Sayles promotes Kyra Fecteau to portfolio manager for securitized credit strategies managed by the mortgage & structured finance team. Owned by Natixis. | Request info... |
| 61 | Guggenheim Partners | $310.00 | 12/31/2020 | Benjamin Wilson Joins Guggenheim Securities as Senior Managing Director in its Mergers & Acquisitions Advisory Practice | Request info... |
| 62 | Swiss Life Asset Mgmt | $295.00 | 12/31/2020 | Economic Research at Swiss Life Asset Managers wins the "Forecast Accuracy Award" for the best GDP and inflation forecasts for Switzerland in 2020 | Request info... |
| 63 | New York Life/Mainstay | $268.00 | 9/30/2020 | New York Life Foundation awards $1.5 million in grants to out-of-school time programs to help middle school students transition to 9th grade | Request info... |
| 64 | TCW Group | $253.00 | 3/31/2021 | Nippon Life buys 25% stake in TCW. | Request info... |
| 65 | KKR | $252.00 | 12/31/2020 | CLAYTON, DUBILIER & RICE Clayton, Dunbilier and Rice and KKR to buy Clodera for $5.3 Billlion. | Request info... |
| 66 | Carlyle Group | $245.80 | 12/31/2020 | The Carlyle Group Chief Executive Officer Kewsong Lee to Present at the Morgan Stanley U.S. Financials, Payments & CRE Conference | Request info... |
| 67 | Voya (ING) | $245.00 | 12/31/2020 | FINRA fined Voya $125,982 | Request info... |
| 68 | Lazard Mgmt. Group | $229.70 | 12/31/2020 | Downsizing in progress. | Request info... |
| 69 | Pictet | $225.00 | 9/30/2020 | Pictet sells and leases its Geneva headquarters | Request info... |
| 70 | Lord Abbett & Co | $217.90 | 12/31/2020 | Lord Abbett Continues to promote LGBTQ+ Inclusion | Request info... |
| 71 | Citi Group | $200.00 | 12/31/2020 | Fine of $175,000 on 1/28/21 by FINRA | Request info... |
| 72 | Conning | $197.70 | 12/31/2020 | Matt Daly Discusses ESG Investing Trends for Insurers | Request info... |
| 73 | Putnam Investments | $193.00 | 3/31/2021 | Fund Ranked #1 out of Nearly 300 Funds in the Core Bond Category | Request info... |
| 74 | American Century Investments | $178.00 | 10/2/2020 | Purchased by Capitial Group | Request info... |
| 75 | Fisher Investments | $169.00 | 3/31/2021 | Potential $2.5 million in regulary fines for Berthel Fisher. | Request info... |
| 76 | Virtus Investment Partners | $164.10 | 10/31/2020 | Virtus Investment Partners and AllianzGI announce US strategic partnership | Request info... |
| 77 | Artisan Partners Financial | $162.90 | 3/31/2021 | No news to post. Have your PR Staff contact me. | Request info... |
| 78 | Hines | $160.90 | 12/31/2020 | Hines Reveals Anchor Grocer Tenant for Luxury Mixed-Use Development in Los Angeles | Request info... |
| 79 | Victory Capital | $154.30 | 3/31/2021 | Victory Capital Reports Record Net Income and Earnings Per Share in First Quarter. | Request info... |
| 80 | OakTree | $148.00 | 12/31/2020 | Oaktree Closes Eighth Real Estate Opportunities Fund at $4.7 Billion | Request info... |
| 81 | US Bancorp | $148.00 | 12/31/2020 | SEC fines US Bancorp $650,000. | Request info... |
| 82 | AQR Captial | $143.00 | 3/31/2021 | Best LBGTQ place to work | |
| 83 | Bridgewater Associates | $140.00 | 12/31/2020 | The worlds largest hedge fund takes a huge hit from pandemic. Rutendo Chigora Named to EMpowers 2021 Ethnic Minority Future Leaders List. | Request info... |
| 84 | BrightSphere | $140.00 | 12/31/2020 | BrightSphere Investment Group Inc. Completes Sale of Landmark Partners LLC | Request info... |
| 85 | The Hartford | $139.40 | 12/31/2020 | The Hartford Enhances Group Life And Disability Coverage For Medical Professionals | Request info... |
| 86 | GAM Investors | $136.10 | 3/31/2021 | Changed brand from Gabelli Investors to "GAM". Fined $500k by Swiss regulator. | Request info... |
| 87 | Doubleline | $136.00 | 12/31/2020 | Jeffrey Gundlach has become the face of Doubleline. | Request info... |
| 88 | MAN Group | $127.00 | 12/31/2020 | Man Group appoints John Cryan as Chairman | Request info... |
| 89 | William Blair Funds | $123.00 | 12/31/2020 | William Blair and BrightSphere announced that they have signed a definitive agreement for William Blair to acquire ICM, a $3.2 billion institutional U.S. value equity investment firm | Request info... |
| 90 | Quilter (was Old Mutual) | $118.00 | 12/31/2020 | Quilter to sell the life insurance division for $555.7 million. | Request info... |
| 91 | Stifel Financial Corp | $117.20 | 3/31/2021 | FINRA Press Release (on the June 2020 FINRA page) FINRA fine of $3.6 million for Stifel. | Request info... |
| 92 | Harris Associates | $115.00 | 3/31/2021 | Portfolio Manager Win Murray discussed the markets and a handful of value stock picks on CNBCs Squawk on the Street. Owned by Natixis | Request info... |
| 93 | LSV Asset Management | $104.00 | 12/31/2020 | Behavioral Finance & bottoms up approach | Request info... |
| 94 | IG Wealth Management | $98.80 | 12/31/2020 | IG Wealth Management Tax Season Study: Two-thirds of Canadians Dealing with COVID-related Tax Considerations this Year. | Request info... |
| 95 | Robert W Baird & Co | $93.00 | 3/31/2021 | Baird announced today that it posted record net revenues of $2.33 billion in 2020. FINRA fined Robert W Baird $150,000 | Request info... |
| 96 | TPG Capital | $91.00 | 12/31/2020 | Owned by Tarrant Capital Group | Request info... |
| 97 | Oppenheimer Funds | $88.00 | 12/31/2020 | $525,000 FINRA fine on 4/22/21. Purchased by Invesco. | Request info... |
| 98 | Dodge & Cox | $81.06 | 3/31/2021 | Have greatly transformed ther transparancy to the good to the public and media. | Request info... |
| 99 | Sterling Capital | $80.00 | 3/31/2021 | The Lead - "Dividend Growth and Rising Rates" | Request info... |
| 100 | Transamerica | $77.00 | 6/30/2020 | Fined $4,400,000 by FINRA on 12/21/20 | Request info... |
| 101 | Waddell & Reed | $76.00 | 3/31/2021 | Waddell & Reed wealth management platform sold to LPL Financial. | Request info... |
| 102 | Davis Select Advisers | $70.80 | 12/31/2020 | Davis Advisors Launches Davis Select International ETF (DINT); Expands Lineup of Actively Managed ETFs | Request info... |
| 103 | Fort Washington Advisors | $65.10 | 12/31/2020 | Owned by Western Southern | Request info... |
| 104 | Credit Sussie | $63.50 | 9/30/2020 | Paying $345.000 in fines from FINRA on 4/5/21. Credit Suisse Climate Innovation Fund closes at USD 318m. | Request info... |
| 105 | Oakmark Funds | $60.10 | 3/31/2021 | Portfolio Manager Win Murray discussed the markets and a handful of value stock picks on CNBCs Squawk on the Street. Owned by Natixis via Harris Associates. | Request info... |
| 106 | Brown Brothers Harriman | $55.90 | 12/31/2020 | BBH Capital Partners Raises $1.215 Billion for Fund VI, Exceeding Target by 21.5% | Request info... |
| 107 | Rathbone Brothers | $54.70 | 12/31/2020 | After a rough year, Clive Bannister is the new chairman | Request info... |
| 108 | Fortress Investment Group | $52.70 | 12/31/2020 | SEC fine of $154,097 on 1/14/21. Fortress Value Acquisition Corp. IV Announces Pricing of $600 Million Initial Public Offering | Request info... |
| 109 | Pzena | $49.20 | 3/31/2021 | Pzena Investment Management Opposes StaplesÂs Acquisition of Essendant | Request info... |
| 110 | Causeway Capital Management | $47.00 | 12/31/2020 | Causeway Funds: Causeway's Ketterer Redefines Value for Fed Stimulus Era | Request info... |
| 111 | Thornburg Asset Management | $43.20 | 3/31/2021 | Inflation Expectations In 2021 & U.S. Jobs Report | Request info... |
| 112 | Standard Life Aberdeen (UK) | $41.00 | 2/3/2021 | Focuses on envormental and socal issues. | Request info... |
| 113 | Glenmede Investment Management | $40.00 | 12/31/2020 | Secured Options May Update: Defensively Positioned Heading into June | Request info... |
| 114 | Robinhood Financial | $40.00 | 6/30/2020 | Where to start? Wall-to-wall national news with the GameStop drama and the $65 million dollar FINRA fine on 12/17/20. Robinhood Markets Welcomes Three New Directors to Board. | Request info... |
| 115 | AGF Management Limited | $39.00 | 12/31/2020 | Kevin McCreadie Announces Changes to AGFÂs Senior Leadership Team | Request info... |
| 116 | Sculptor | Och-Ziff | $37.00 | 4/1/2021 | Rebranding from Och-Zill to "Sculptor." To aquire Melody Wireless Infrastrure for $1.625 Billion. | Request info... |
| 117 | Matthews Asia Funds | $30.20 | 3/31/2021 | Matthews Asia Announces Launch of Matthews Asia Innovative Growth Fund. | Request info... |
| 118 | Impax Asset Group | $30.00 | 3/31/2021 | Impax Unveils Sustainability Enhancements, New Names for Three Pax World Funds Deploying Systematic Investment Strategies | Request info... |
| 119 | Cetera Financial Group | $25.80 | 8/10/2020 | Cetera Completes Acquisition of Assets Related to Voya Financial Advisors' Independent Financial Planning Channel | Request info... |
| 120 | Dyal Capital Partners | $23.30 | 12/31/2020 | Purchased by Neuberger Berman | Request info... |
| 121 | Reams Asset Mgmt. | $22.50 | 12/31/2020 | Reams Asset Management Hires Dimitri Silva as Portfolio Manager. Purchased by Raymond James | Request info... |
| 122 | MetLife | $22.40 | 3/25/2021 | Record AUM numbers | Request info... |
| 123 | BNP Paribas | $21.20 | 2/5/2021 | BNPÂ Paribas joins the Net-Zero Banking Alliance launched by the UNEP | Request info... |
| 124 | Empower | $16.50 | 1/4/2021 | Empower Retirement to acquire retirement plan business of MassMutual | Request info... |
| 125 | Touchstone Investments | $16.00 | 3/1/2019 | Touchstone Investments Announces Purchase Agreement to Acquire Select Retail Mutual Fund Business Assets from AIG Life & Retirement. $7.5 Million. | Request info... |
| 126 | Mercer Advisors | $15.80 | 6/30/2020 | Mercer buys Argosy Wealth Mgmt RIA for $330 million. Mercer Advisors Acquires ET George Investment Management, LLC. | Request info... |
| 127 | Pacific Global Asset Management | $15.60 | 12/31/2020 | Part of Pacific Life | Request info... |
| 128 | Manning & Napier | $15.50 | 3/31/2021 | No news to post. Have your PR Staff contact me. | Request info... |
| 129 | Ariel Investments | $15.00 | 1/3/2021 | Melody Hudson is new Co-CEO | Request info... |
| 130 | Ares Management | $14.80 | 12/31/2020 | SEC fines Ares $1 Million | Request info... |
| 131 | Southeastern Asset Management | $12.70 | 6/25/2020 | No news to post. Have your PR Staff contact me. | Request info... |
| 132 | 1251 Capital Group | $10.50 | 12/31/2020 | Emerald Advisers Announces Partnership Plans with 1251 Capital Group | Request info... |
| 133 | Axiom Capitial Management | $9.50 | 12/31/2020 | Axiom has completed the acquisition of Torchlight Group Limited. Axiom is owned by Limerston Capital as of 2/2020. | Request info... |
| 134 | Royce Funds | $9.10 | 11/30/2020 | Now part of Franklin Tempelton via Legg Mason merdger. | Request info... |
| 135 | Park Avenue Securities | $5.70 | 12/31/2020 | FINRA fines Park Avenue Securities $640,522 | Request info... |
| 136 | Saturna Capital | $5.00 | 12/1/2020 | Podcast to discuss entrepreneurship for Islam and Black Lives Matter - Nov. 2020 | Request info... |
| 137 | Emerald Mutual Funds | $4.70 | 9/30/2020 | Merdged with 1251 Capital. | Request info... |
| 138 | Tweedy Browne Co | $4.60 | 12/31/2020 | Tweedy Browne's Letter to Tarkett's Board re: Tender Offer. Warren Buffet's former investment firm | Request info... |
| 139 | Westchester Capital | $4.20 | 12/31/2020 | Boasts zero broker turnover | Request info... |
| 140 | Xponance (was FIS Group) | $4.07 | 10/26/2020 | Rebranded to Xponance from FIS Group | Request info... |
| 141 | Great Point Partners | $2.85 | 10/13/2020 | Fined $5,000 due to failure to conduct it anti-money-laudering test on time by FINRA on 12/3/20. | Request info... |
| 142 | SA Stone (was Sterne Agee) | $1.40 | 1/30/2021 | Stifel selling off Sterne Agee independent broker-dealer business it acquired last year. | Request info... |
| 143 | Dakota Securities International | $1.10 | 11/22/2020 | Was "expelled" from FINRA on December 21, 20. The expulsion and bar are in effect pending review. | |
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If I missed your Investment Company, contact me so I can include your firm in the next ranking.
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- Click on as many of the “logos” or “request info…” buttons as you wish. (free)
- You choose how you want to be contacted. Literature by mail | email | phone contact.
- Then repeat to select the additional companies you want on your short list. That’s it.
Why Is This Investing Site Important?
- We help Mutual Fund Investors
- Smart Investors diversify their portfolios
- Savvy Investors diversify their mutual fund companies
- Wise & Efficient Investors use two or three investment companies at one time and upgrade one every year or so. Just like an NFL roster, you keep upgrading your investment teams. Research the top 100 mutual fund companies with just a few clicks and (scroll down for the full directory) See the 9-minute video for the details.
- Our Investor Tip/Recommendation: Consider using two or three investment companies all the time. We show you how and make it easier for you.
- This data is from press releases and web news. It is incumbent on investors to look at many sources of information before making any decisions.
- Investment Company Data Updated: 4/27/21
Other Reasons to Diversify to Multiple Companies
You diversify your portfolio already to reduce risk. So in times of uncertainty like these, why not diversify your holding into another mutual fund company or two? Unless you are 100% satisfied with your mutual fund provider or are related to your broker, it makes sense to have a secondary mutual fund provider. Why?
- If your favorite broker leaves, the trusted and accurate investment advice drops noticeably all of the sudden or the level of custo
mer service drops, you want to have one or two secondary companies already in place to move your money to maximize your return and safety. - Make your companies compete so you win. I think it’s better to pit two or three companies against each other. Let them know you are doing it. Then at the end of the year, let them all know the results. The competition will make them work harder for you. The ones that don’t work hard will speak volumes. Having a company you are paying that is not working as hard as possible for you is not a company you want to trust with your financial life and future lifestyle.
- The profit margins in the mutual fund industry are large. Many companies out there are hungry for new business, and you can get some deals. After all, it’s about increasing your wealth to protect your lifestyle and the security of your family.
- Finally, hopefully, there will never be a Berny Madoff situation, but are you willing to bet your and your family’s financial life on that? It only takes one or two very smart bad apples behind the scenes to ruin people’s lives forever. Another reason to diversify.
- See the 10-minute video above for more details
Golden Rule Investor Tactic Video
- Actionable Tips on How to Manage Your Investmentt Companies
- 10-minutes
- Perfect for New Investors or reminders for seasoned traders
The Private Investor Issue
- Why? | Currently, how do you know you have the most productive investment company for your situation?
- The Answer | The truth is you don’t know | It is impossible | You don’t know what you don’t know | The only way you will know is adding an investment company or two to compare or benchmark
- That is the reason for this free website | Still ranked #1 in the world by Google as of 4/24/2021
“I have been there | Don’t make the same retirement affecting expensive mistake” – Mike Dunn
(10-minute video but worth it)
Our Investor Value Proposition
- Investing Strategy Tip – Recommend using 2 or 3 mutual fund companies at any one time to create competition for your investing business – Could be a smart investing business move for many
- Lead, follow or get out of the way. Drop the underperforming company and keep upgrading your investment partners over time – That is just good business.
- Use this site to help you gather “investing company information” with just a few clicks (This is NOT for an individual stock or investing information – that is your new professional investment advisor’s team’s job.)
- See the 10-minutes tips video above for more details. Full of helpful success tips.
Why Mutual Funds?
Like in Vegas, you and most people can hit it big now and then. However, the Fund Managers have such an advantage in information, key contacts and vast resources over individual investors it’s not even close. 
Also, like in Vegas, your best odds are 48.5%. In other words, Since they are not even 50%, you lose over time and the house always wins. Mutual Funds even the playing field for the individual investor in two ways:
1. They spread your micro-economic risk by spreading your investment over many stocks so if one tanks your overall investment is not devastated and
2. You let the Fund Manager work for you instead of against you.
This greatly simplifies your job as an individual investor. Now you only have to pick the segment of the global economy that you think will be improving then your mutual fund company, and the fund to meet your goals. So you need to decide if the growth areas will be:
Small Cap, Mid Cap, Large Cap, Bonds, Far East, Pacific Rim, China, Europe, South America, Hi-Tech, High Beta, Utilities, High-Grade Investment Bonds, Junk Bonds, …….
And what mix of each? You don’t need to be keeping tabs on the latest lawsuit of XYZ’s consumer division or another company’s inventory level. Let the Fund Managers do that part. They can do it better than you. That’s the benefit of investing in mutual fund companies.
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