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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 12/21/20  | Investment Company News updated on 2/1/21)
 
#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 12/21/20
Company NameAUMDateNews Updated on 2/1/21Click to get
Company
Info
1Black Rock Funds$7,080.409/30/2020AUM is up .24 Trillion in Q3Request info...
2Vanguard$5,700.009/30/2020Lost 1/2 Trillion in AUM so far in 2020.Request info...
3Charles Schwab$4,280.007/30/2020Purchased TD Ameritrade (TD numbers NOT included in this Schwab AUM update)Request info...
4Barlays$3,397.609/30/2020SEC fines of 49,715,417 in disgourgment, $30 Million in penalties, plus $13 million in interest. 11/2020Request info...
5Fidelity Investments$3,310.009/30/2020Fidelity settles 401k class-action lawsuit for $28.5 million.Request info...
6State Street Global Advisors$3,150.009/30/2020SEC fined State Street $40 million and possible $380 million in repayments. $75 Million FINRA fine. AUM up $550 B.Request info...
7JP Morgan$2,600.009/30/2020JP Morgan fined $1.5 Million for overcharges by SECRequest info...
8Capital Group$2,100.009/30/2020Wins 13 Lipper awards. 3/6/20Request info...
9Amundi Asset Mgmt$2,029.639/30/2020Amundi to acquire Banco Sabadell Asset Management divisionRequest info...
10PIMCO$2,020.0011/15/2020Owned by Allianz. AUM up 10%.Request info...
11BNY Mellon (Dreyfus)$2,000.009/30/2020$875K FINRA Fine. 7/7/20.Request info...
12Prudential Investments$1,648.0011/3/2020FINRA fine of $1 Million for lax recordsRequest info...
13Franklin Templeton$1,466.7011/30/2020AUM nmbers include Legg Mason.Request info...
14Legal & General Investments$1,341.009/30/2020Invests into Australian mortgage businessRequest info...
15T Rowe Price$1,310.009/30/2020"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. AUM up 10%.Request info...
16TD Ameritrade (Schwab)$1,300.006/30/2020Purchased by Charles Schwab on 10/6/20 for $26 Billion.Request info...
17Invesco$1,206.209/30/2020Invesco to pay $105 million in finesRequest info...
18Sun Life Global Investments$1,186.309/30/2020Sun Life Global Investments reduces select mutual funds' management fees. AUM level.Request info...
19TIAA / Nuveen$1,100.009/30/2020TIAA closes life insurance divisionRequest info...
20BofA Merrill Lynch$1,080.009/30/2020FINRA fine of $150,000 for Merrill Lynch on 5/13/20
21Natixis Global Associates$1,067.309/30/2020Natixis fights 2019 French regulator $3M fine. AUM up.Request info...

22Northern Trust$1,000.009/30/2020$250 Million cost cutting program has started. AUM up 5%.Request info...
23Wellington Management$1,000.009/30/2020Focuses on climate change issues for giving and PRRequest info...
24UBS$980.009/30/2020UBS fined $10 Million by SEC. AUM up. $37,500 FINRA fine.Request info...
25Insight Investors$945.709/30/2020Expands Phoenix Headquarters. Insight Acquires French Digital Consulting Company vNext. AUM up 10%Request info...
26Raymond James$930.009/30/2020$47,500 FINRA fine.Request info...
27DWS | Deutsche Asset Management$926.899/30/2020Rebranding to "DWS". AUM up 8% after a bad year.Request info...
28Ameriprise Financial$900.006/30/2020FINRA fines Ameriprise $850K. AUM up 12%.Request info...
29Goldman Sachs Asset Management$874.004/30/2019SEC fine of $1.06 Billion: $606 million in disgourgment and $400 million in penalties. Fined $130,000 by FINRA on 12/19/2019. The 4/30/2019 AUM update date is correct.Request info...
30AXA$866.006/30/2020FINRA fines AXA $772,000Request info...
31Manulife Asset Mgmt$832.009/30/2020AUM up 12%.Request info...
32Legg Mason (Franklin Temp$787.406/30/2020Purchased by Franklin TempletonRequest info...
33Empower$709.209/30/2020Empower Retirement, was named 2020 Retirement Leader of the Year in the annual Mutual Fund Industry AwardsRequest info...
34Standard Life Aberdeen (UK)$667.526/30/2020AUM drops againRequest info...
35Morgan Stanley$665.006/30/2020$5 Million SEC fine on 9/30/20. $175k FINRA fine and $774,514 restitution on 8/12/20. Buying Eaton Vance for $7 Billion.Request info...
36Affiliated Managers Group (AMG)$654.009/30/2020AMG Elects Dwight D. Churchill as Chairman of its Board of DirectorsRequest info...
37MetLife$651.109/30/2020SEC fine for $10 millionRequest info...
38AllianceBernstein$631.009/30/2020Paid a $51k self-reported fine.Request info...
39Federated Hermes (was Federated Investors)$615.009/30/2020Purchased Hermes and rebranded to Federated HermesRequest info...
40Geode Capital Management$612.009/30/2020AUM up 10%.Request info...
41Wells Fargo Advisors$607.009/30/2020SEC fines Wells Fargo $3 Billion.Request info...
42The Blackstone Group$584.009/30/2020Blackstone acquires battery energy storage pioneerRequest info...
43Brookfield Asset Management$575.009/30/2020Brookfield acquires India telecom towersRequest info...
44Nomura Asset Management$540.006/30/2020FINRA fines Nomura $300,000 on 12/9/19. Tries to rebound from 2018 losses and 2019 layoffs. AUM is up.Request info...
45BNP Paribas$532.409/30/2020FINRA fine of $200,000 on 7/3/20.Request info...
46MFS Investment Management$528.006/30/2020Owned by Sun Life FinancialRequest info...
47Dimensional Fund Advisors$527.009/30/2020Dimensional will open its new East Coast headquarters in Charlotte.Request info...
48Eaton Vance Distributors$515.0010/31/2020Being purchased by Morgan Stanley.Request info...
49Principal Financial Group$507.309/30/2020Voted best place to work in the money management space.
50Columbia Threadneedle$498.009/30/2020Commits to sponsor Boston Marathon through 2023Request info...
51Credit Sussie$495.819/30/2020Paying 6.5 Million in fines from FINRARequest info...
52AVIVA Investors$495.266/30/2020Aviva Investors expands real estate development teamRequest info...
53Julius Baer Securities$466.859/30/2020Concerned about Kairos outflows (Italy)Request info...
54Aegon$414.906/30/2020Aegon mourns the loss of Jesús QuintanalRequest info...
55Apollo Management$414.006/30/2020Apollo Global Management Announces New $500 Million Share Repurchase Authorization March 12, 2020Request info...
56LPL Financial$406.009/30/2020Former LPL broker suspended and fined $10k by FINRA for overstating cllents net worth.Request info...
57Robeco/ORIX$400.009/30/2020Robeco rebranded to ORIX. Owned by AXARequest info...
58RBC Global Wealth (CAN)$391.359/30/2020RBC to pay $3.9 million fine by SEC.Request info...
59Janus Henderson Group$358.309/30/2020Fined $2.35 million for overchargingRequest info...
60Neuberger Berman$357.006/30/2020Buying Dyal Capital PartnersRequest info...
61Barings$354.009/30/2020Barings makes a bet as it enters the risky 5G market with Majority Stake Acquisition in Gigasphere Holdings LLCRequest info...
62E-Trade$346.006/30/2020Being purchased by Morgan Stanley. $2.25 Million FINRA fine on 9/2/20.Request info...
63SEI Investments$330.009/30/2020SEI Again Recognized for Award-Winning Fund Performance in 2019
February 6, 2020
Request info...
64Dodge & Cox$324.006/30/2020Request info...
65Edward Jones$320.003/31/2020Edward Jones Financial Advisors Rate Firm Highest in Overall Employee Advisor Satisfaction, According to J.D. PowerRequest info...
66Loomis Sayles & Co$303.609/30/2020Owned by Natixis. AUM is up 10%.Request info...
67Guggenheim Partners$295.009/30/2020Walsh Named Among the 100 Most Influential Women in U.S. FinanceRequest info...
68Stifel Financial Corp$290.0012/31/2019$40,000 FINRA FineRequest info...
69Frank Russell Investments$284.806/30/2020TA Associates and Reverence Capital Partners Complete Acquisition of Russell Investments from London Stock Exchange GroupRequest info...
70New York Life/Mainstay$268.009/30/2020Senior leadership changes in progressRequest info...
71BMO Global Asset Group$259.006/30/2020$40k FINRA fine. 7/12/20.Request info...
72TCW Group$235.009/30/2020AUM is up 10%. Nippon Life buys 25% stake in TCW.Request info...
73KKR$234.009/30/2020"Investors with an institutional vision" Request info...
74Carlyle Group$230.009/30/2020Glenn Youngkin to retire as co-CEO of the Carlyle Group, Kewsong Lee will remain as CEORequest info...
75Voya (ING)$230.006/30/2020SEC fines of $11,547,820 plus $2.3 million in interest, and $9 million in fines totaling over $23 Million.Request info...
76Pictet$225.009/30/2020Pictet raises EUR700 million for first real estate fund and completes two transactionsRequest info...
77BrightSphere$225.006/30/2020Divesting two affilates.Request info...
78Lord Abbett & Co$210.109/30/2020Lord Abbett Continues to Light the Way for LGBTQ+ InclusionRequest info...
79Lazard Mgmt. Group$202.109/30/2020Downsizing in progress. AUM is up.Request info...
80Putnam Investments$188.0011/30/2020Fund Ranked #1 out of Nearly 300 Funds in the Core Bond CategoryRequest info...
81Conning$187.909/30/2020Conning Completes Strategic Investment in Global EvolutionRequest info...
82American Century Investments$178.0010/2/2020Purchased by Capitial GroupRequest info...
83Southeastern Asset Management$160.803/30/2020Southeastern Asset Management has a new CEORequest info...
84CitiGroup$145.004/31/20$475,000 FINRA fineRequest info...
85Hines$144.109/30/2020Focus on RE investingRequest info...
86Victory Capital$142.509/30/2020Still incorporating USAA's investment business.Request info...
87Doubleline$141.009/30/2020Jeffrey Gundlach has become the face of Doubleline.Request info...
88OakTree$140.009/30/2020AUM is up 10%.Request info...
89GAM Investors$136.109/30/2020Changed brand from Gabelli Investors to "GAM". Fined $500k by Swiss regulator. AUM is up 5%.Request info...
90Fisher Investments$135.009/30/2020Potential $2.5 million in regulary fines for Berthel Fisher. AUM up 10%.Request info...
91Artisan Partners Financial$131.5010/31/2020Steady AUM growthRequest info...
92The Hartford$122.109/30/2020The Hartford Donates $1M To U.S. Small Businesses To Aid In COVID-19 RecoveryRequest info...
93Virtus Investment Partners$116.509/30/2020Virtus Investment Partners and AllianzGI announce US strategic partnershipRequest info...
94MAN Group$113.009/30/2020Man Group appoints John Cryan as ChairmanRequest info...
95US Bancorp$112.006/30/2020SEC fines US Bancorp $15 Million.Request info...
96Bridgewater Associates$98.906/30/2020The worlds largest hedge fund takes a huge hit from pandemic.Request info...
97IG Wealth Management$95.8010/31/2020Purchased Mackenzie. AUM up. Rebranding from IGW to IG Wealth Mgmt.Request info...
98LSV Asset Management$92.009/30/2020"Behavioral Finance & bottoms up approach"Request info...
99Swiss Life Asset Mgmt$87.806/30/2020Request info...
100Harris Associates$86.009/30/2020Owned by NatixisRequest info...
101Robert W Baird & Co$85.0011/30/2020FINRA fined Robert W Baird $150,000Request info...
102TPG Capital$85.009/30/2020Owned by Tarrant Capital GroupRequest info...
103Transamerica$77.006/30/2020SEC ordered Transamerica to put $5.9 million in escrow. Owned by Aegon with their HQ in The Hague.Request info...
104Sterling Capital$70.0012/14/2020AUM up 18%. FINRA fine for BB&T Securities for $47.500 on 5/7/20. Plus, 5/18/20 Suntrust (Truist) had a $50,000 FINRA fine and paid $584,466 in restitution.Request info...
105Waddell & Reed$67.909/30/2020Is looking to move the HQ somewhere in Missouri to save costsRequest info...
106Fort Washington Advisors$62.509/30/2020Owned by Western SouthernRequest info...
107William Blair Funds$61.709/30/2020William Blair passed on 11/21/19. AUM up 10%.Request info...
108Quilter (was Old Mutual)$60.219/30/2020Quilter to sell the life insurance division for $555.7 million.Request info...
109Brown Brothers Harriman$54.009/30/2020BBH Capital Partners Completes Investment In Bradford Airport LogisticsRequest info...
110Fortress Investment Group$49.909/30/2020SEC fines of $154,057 + $50,000 in panalties + $45,000 in intetest. Nov 2020Request info...
111Oakmark Funds$47.509/30/2020Owned by Natixis via Harris AssociatesRequest info...
112Pzena$40.7011/30/2020Pzena internally re-organizing with restructuring and buyouts Q1 2020.Request info...
113Thornburg Asset Management$40.5212/31/2019Thornburg Appoints Ben Kirby and Jeff Klingelhofer as Co-Heads of InvestmentsRequest info...
114Robinhood Financial$40.006/30/2020Robinhood is at the center of the GameStop scandel making national headlines by stopping trading. There is talk of a class action lawsuit. Last month, Robinhood got a $65 Million dollar SEC fine. 12/17/20. Yikes.Request info...
115Causeway Capital Management$38.509/30/2020AUM is down.Request info...
116Sculptor | Och-Ziff$36.4012/1/2020Rebranding from Och-Zill to "Sculptor"Request info...
117AGF Management Limited$36.3010/31/2020Kevin McCreadie Announces Changes to AGF’s Senior Leadership TeamRequest info...
118Impax Asset Group$31.2011/30/2020Buying PAX with 9.4 Billion in AUMRequest info...
119Oppenheimer Funds$26.709/30/2020Purchased by Invesco. Fined $85,000 and to pay 3.8 million in restitution by FINRA on 12/20/19.Request info...
120Matthews Asia Funds$26.509/30/2020Matthews Asia Hires Lindsay Wright as Head of Asia and Global Chief Operating OfficerRequest info...
121Ares Management$26.309/30/2020SEC fines Ares $1 MillionRequest info...
122Dyal Capital Partners$21.909/30/2020Purchased by Neuberger BermanRequest info...
123Reams Asset Mgmt.$21.509/30/2020Purchased by Raymond JamesRequest info...
124Manning & Napier$19.2010/31/2020"Manning & Napier loses two PMs, liquidate three funds", per CitywireRequest info...
125Mercer Advisors$18.506/30/2020Mercer buys Argosy Wealth Mgmt RIA for $330 million.Request info...
126Touchstone Investments$18.005/1/2019!!Touchstone Investments Names Rockefeller Asset Management Sub-Advisor to Touchstone International ESG Equity Fund. Owned by Western & SouthernRequest info...
127Davis Select Advisers$17.909/30/2020Request info...
128Pacific Global Asset Management$17.309/30/2020Part of Pacific LifeRequest info...
129Axiom Capitial Management$13.403/30/2020FINRA fine of $37,000 on 5/26/20Request info...
130Glenmede Investment Management$11.009/30/2020AUM dropRequest info...
131Tweedy Browne Co$10.809/30/2020Warren Buffet's former investment firmRequest info...
1321251 Capital Group$10.5012/9/20219Buying Emerald & Ziegler CapitalRequest info...
133Royce Funds$10.009/30/2020Part of Legg MasonRequest info...
134Ariel Investments$6.809/30/2020Melody Hudson is new Co-CEORequest info...
135Saturna Capital$4.206/30/2020Podcast to discuss entrepreneurship for Islam and Black Lives Matter - Nov. 2020Request info...
136Xponance (was FIS Group)$4.0710/26/2020Rebranded to Xponance from FIS Group. $48,000 FINRA fine.Request info...
137Park Avenue Securities$2.989/30/2020FINRA fines Park Avenue Securities $640,522Request info...
138Great Point Partners$2.8510/23/2020Great Point Capital teaming with Lionsgate to start a Film Studio in New YorkRequest info...
139Emerald Mutual Funds$2.439/30/2020New company based in Boston.Request info...
140Westchester Capital$2.379/30/2020Boasts zero broker turnoverRequest info...
141SA Stone (was Sterne Agee)$1.4012/31/2019Rebranding from Sterne Agee to "SA Stone" Purchased Gain Capital. $375,000 FINRA fine. 9/10/20.Request info...
142Heartland Advisors$0.249/30/2020Moving to BMO towerRequest info...
- - Click for All Companies >>>Request info...

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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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  1. Click on as many of the “logos” or “request info…” buttons  as you wish. (free)
  2.  You choose how you want to be contacted. Literature by mail | email | phone contact.
  3. 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: 12/21/20

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 custoInvesting in 2013mer 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 12/22/2020
“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. 2016 Mutual Fund CompaniesAlso, 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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