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Mutual Fund Company List | Latest Directory Ranking Here

Mutual Fund Companies ranked by Assets Under Management (AUM).

Mutual Fund Company Data updated on 8/30/2021

 

 

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Note: Covid-19 Public Relations press releases were not used below. Every company has a public relations post. Though nice and required, those have no benefit to your analysis of the companies.

Ranked by
AUM
on 8/30/21
Company NameAUM (in Billions)DateNewsClick to get
Company
Info
1BlackRock Funds$9,490.006/30/2021Despite the PRC's regulations and other requirements, BlackRock starts Chinese Mutual Fund offering.Request info...
2Charles Schwab$7,600.006/30/2021Scheduled to lay off 1,000 employees after the TD Ameritrade merger. Note: Schwab uses a different calculation other than "true" AUM. Hence, Schwab's AUM is not an apples-to-apples comparison. That issue is between them and the regulators.Request info...
3Vanguard$7,200.001/31/2021Surprised employees learn Vanguard abandons their China Market license application. Ant Group will represent Vanguard in China.Request info...
4BarclayHedge$4,323.906/30/2021Fine of $650,000 on 12/1/20 by FINRARequest info...
5Fidelity Investments$4,200.006/30/2021New accounts double in 2021.Request info...
6State Street Global Advisors$3,900.006/30/2021Reducing office space usage for the new work-at-home strategy. This trend is bad for commercial owners. SEC fined State Street $40 million and possible $380 million in repayments.Request info...
7JP Morgan$3,000.006/30/2021J.P. Morgan agrees to acquire OpenInvest, a pioneer in values-based investing. JP Morgan fined $1.5 Million for overcharges by SECRequest info...
8Capital Group$2,600.006/30/2021Capital Group announces licensing agreement with Fidelity.Request info...
9BNY Mellon (Dreyfus)$2,300.006/30/2021The Bank of New York Mellon Corporation ("BNY Mellon") today announced it has entered into a definitive agreement to acquire Milestone Group, a leading provider of fund management technology. Request info...
10PIMCO/Allianz$2,200.006/30/2021PIMCO Assumes Oversight of Allianz Real Estate.Request info...
11Amundi Asset Mgmt$2,105.006/30/2021Amundi enters into exclusive negotiations for the acquisition of LyxorRequest info...
12Legal & General Investments$1,800.006/30/2021Announces Andrew Kail starts as CEO of Legal & General Retail Retirement. Adds 210,000 sq feet in self storage assists.Request info...
13Prudential Investments$1,741.003/31/2021Made $200 million in diversity pleads. FINRA fine of $1 Million for lax recordsRequest info...
14T Rowe Price$1,640.007/31/2021Announces CEO succession plan on 7/29/21.Request info...
15Franklin Templeton$1,560.007/31/2021Some of Legg Mason funds are being re-branded to Franklin Templeton.Request info...
16Invesco$1,520.006/30/2021Invesco to launch "green" ETFs. Invesco to pay $105 million in fines.Request info...
17BofA Merrill Lynch$1,500.008/17/2021Merrill Lynch, Ferguson and Smith to pay $8.4 million in FINRA fines.
18Northern Trust$1,500.006/30/2021Northern Trust Wealth Management Announces Central Region Leadership Changes. $250 Million cost cutting program has started.Request info...
19Morgan Stanley$1,500.006/30/2021Agrees to pay $1.7 million in restitution and interest.Request info...
20Natixis Global Associates$1,400.006/30/2021Natixis to invests $51.5 million in downtown Memphis.Request info...

21TIAA / Nuveen$1,200.003/31/2021$97 million SEC fine. 7/13/21. TIAA Appoints Thasunda Brown Duckett President and CEOs life insurance division. TIAA closes life insurance division.Request info...
22UBS$1,200.006/30/2021Investment watch-dog group says, "UBS' green funds are not green enough." But what is "green enough?"Request info...
23Insight Investors$1,024.006/30/2021Insight Recognized Among Fortune 2021 World’s Most Admired CompaniesRequest info...
24AXA$1,019.003/31/2021AXA to sell its Singapore business. FINRA fines AXA $772,000Request info...
25LPL Financial$1,008.006/30/2021Pending lawsuit with shareholders. Fined $6,500,000 by FINRA on 12/31/20. Has 17,000 advisors in their independent network.Request info...
26Wellington Management$1,000.006/30/2021Jean Hynes to Succeed Brendan Swords as Chief Executive Officer of Wellington ManagementRequest info...
27Manulife Asset Mgmt$1,000.003/31/2021Brazilian Timberlands is acquired by Manulife Investment ManagementRequest info...
28Principal Financial Group$990.006/30/2021Dan Houston to Speak at BofA Securities 2021 Insurance Conference
29DWS | Deutsche Asset Management$962.203/31/2021Fined $2,500,000 by FINRA on 12/31/20Request info...
30Geode Capital Management$887.006/30/2021No news to post.Request info...
31Loomis Sayles & Co$757.706/30/2021Owned by Natixis.Request info...
32Pictet$746.006/30/2021Pictet sells and leases its Geneva headquartersRequest info...
33Affiliated Managers Group (AMG)$738.003/31/2021AMG Announces Investment in Women-Owned Boston Common Asset ManagementRequest info...
34AllianceBernstein$731.005/31/2021Paid a $51k self-reported fine.Request info...
35The Blackstone Group$684.007/22/2021"AUM is up 21%" per press release.Request info...
36MFS Investment Management$673.207/31/2021Owned by Sun Life FinancialRequest info...
37MetLife$666.706/30/2021Record AUM numbersRequest info...
38Federated Hermes (was Federated Investors)$646.006/30/2021Purchased Hermes and rebranded to Federated HermesRequest info...
39Nomura Asset Management$640.006/30/2021Announces Investment in OSARO focusing on AI ManufacturingRequest info...
40Dimensional Fund Advisors$637.003/31/2021Dimensional will open its new East Coast headquarters in Charlotte.Request info...
41Brookfield Asset Management$625.006/30/2021Brookfield Asset Management Reaches Agreement with Brookfield Property Partners to Acquire 100% of BPY UnitsRequest info...
42HSBC$621.006/30/2021FINRA fine of $650,000 on 2/2/21. Strategically repositions US retail business towards international banking and wealth management.Request info...
43Wells Fargo Advisors$603.003/31/2021Wells Fargo still has 12,600 advisors as of 12/31/20.Request info...
44Ameriprise Financial$593.007/26/2021FINRA fines Ameriprise $850K.Request info...
45Columbia Threadneedle$593.006/30/2021To Buy BRO EMEARequest info...
46Eaton Vance Distributors$583.1012/31/20212021 Lipper Awards. Morgan Stanley Closes Acquisition of Eaton Vance on 3/1/21.Request info...
47RBC Global Wealth (CAN)$554.904/30/2021Agreed to pay restitution of $839,803 by FINRA on 12/15/20Request info...
48Julius Baer Securities$531.006/30/2021Change in the Board of Directors of Julius BaerRequest info...
49Edward Jones$519.806/30/2021Has 41,000 advisorsRequest info...
50BNP Paribas$481.906/30/2021BNP Paribas joins the Net-Zero Banking Alliance launched by the UNEPRequest info...
51AVIVA Investors$481.003/31/2021Announces that it has acquired the CPH Highline building in Copenhagen on behalf of one of its clients. Request info...
52Aegon$463.806/30/2021Owns Transamerica who just got $4.4 million in FINRA fines.Request info...
53Apollo Management$461.103/31/2021Apollo Funds to Acquire Majority Control of ABC Technologies Holdings Inc.Request info...
54Neuberger Berman$433.006/30/2021Buying Alanac Realty InvestorsRequest info...
55Janus Henderson Group$427.606/30/2021Janus Henderson appoints Global Head of Consultant RelationsRequest info...
56BMO Global Asset Group$415.0012/31/2021Ameriprise Financial to Acquire BMO’s EMEA Asset Management BusinessRequest info...
57SEI Investments$399.006/30/2021Touts $1 Trillion in Hedge Fund Assets.Request info...
58Barings$382.006/30/2021Announced the appointment of Paul Diouri as Chief Risk OfficerRequest info...
59Mercer Advisors$380.003/31/2021Mercer buys Argosy Wealth Mgmt RIA for $330 million.Request info...
60KKR$349.004/30/2021AUM up 98% in three years.Request info...
61Guggenheim Partners$325.006/30/2021Walsh Named Among the 100 Most Influential Women in U.S. FinanceRequest info...
62Frank Russell Investments$323.703/31/2021TA Associates and Reverence Capital Partners Complete Acquisition of Russell Investments from London Stock Exchange GroupRequest info...
63Swiss Life Asset Mgmt$300.006/30/2021Buying a Healthcare PortfolioRequest info...
64New York Life/Mainstay$278.003/31/2021Senior leadership changes in progressRequest info...
65Lazard Mgmt. Group$278.005/31/2021Downsizing in progress.Request info...
66Carlyle Group$276.006/30/2021Carlyle Aviation Completes Acquisition of Fly Leasing - 8/2/21Request info...
67TCW Group$265.506/30/2021Nippon Life buys 25% stake in TCW.Request info...
68Sun Life Global Investments$262.006/30/2021Appoints Anna Murphy as head of the Global ESG group. PinnacleCare to be purchased by Sun LifeRequest info...
69Voya (ING)$253.006/30/2021FINRA fined Voya $125,982Request info...
70Lord Abbett & Co$246.006/30/2021Lord Abbett Continues to promote LGBTQ+ InclusionRequest info...
71Goldman Sachs Asset Management$234.006/30/2021$50,000 FINRA fine on 5/27/21. $1,250,000 fine by FINRA on Jan 22, 2021. The good new is, at least the fines are getting smaller.Request info...
72Bridgewater Associates$223.007/9/2021The worlds largest hedge fund takes a huge hit from pandemic.Request info...
73Robeco/ORIX$221.003/31/2021Robeco rebranded to ORIX. Owned by AXARequest info...
74American Century Investments$218.003/11/2021Purchased by Capital GroupRequest info...
75Citi Group$200.0012/31/2020FINRA fine of $350,000 on 6/15/21. Fine of $175,000 on 1/28/21 by FINRA.Request info...
76Putnam Investments$200.007/31/2021Fund Ranked #1 out of Nearly 300 Funds in the Core Bond CategoryRequest info...
77Virtus Investment Partners$180.307/31/2021Virtus Investment Partners and Allianz announce US strategic partnershipRequest info...
78US Bancorp$179.006/30/2021SEC fines US Bancorp $15 Million.Request info...
79Artisan Partners Financial$177.207/31/2021No news to post.Request info...
80Raymond James$168.804/29/2021AUM up 11%. $47,500 FINRA fine.Request info...
81Quilter (was Old Mutual)$164.403/31/2021Quilter to sell the life insurance division for $555.7 million.Request info...
82Victory Capital$162.9012/31/2020Still incorporating USAA's investment business.Request info...
83Hines$160.9012/31/2020Since 1992, Hines has acquired approximately 538 projects totaling more than 215 million square feet of space Request info...
84Fisher Investments$159.004/5/2021Potential $2.5 million in regular fines for Berthel Fisher.Request info...
85OakTree$156.006/30/2021OakTree acquisitions has been quite recently.Request info...
86The Hartford$153.806/30/2021The Hartford Donates $1M To U.S. Small Businesses To Aid In COVID-19 RecoveryRequest info...
87PineBridge Investments$141.406/30/2021PineBridge announces expansion into Florida.Request info...
88AQR Capital$140.003/31/2021Best LBGTQ place to work
89BrightSphere$140.003/31/2021Selling of Campbell Global, LLC agreed to on 6/21/21.Request info...
90GAM Investors$137.706/30/2021Changed brand from Gabelli Investors to "GAM". Fined $500k by Swiss regulator. Request info...
91Doubleline$137.006/30/2021Jeffrey Gundlach has become the face of Doubleline.Request info...
92MAN Group$135.306/30/2021Man Group appoints John Cryan as ChairmanRequest info...
93Harris Associates$122.706/30/2021Owned by NatixisRequest info...
94IG Wealth Management$122.206/30/2021Purchased Mackenzie. AUM up. Rebranding from IGW to IG Wealth Mgmt.Request info...
95LSV Asset Management$122.006/30/2021Behavioral Finance & bottoms up approachRequest info...
96Stifel Financial Corp$118.0012/11/2020FINRA Press Release (on the June 2020 FINRA page) FINRA fine of $3.6 million for Stifel.Request info...
97CVC Partners$114.806/30/2021CVC funds complete acquisition of RiverStone Europe and appoints Preben Prebensen as ChairRequest info...
98Thrivent Financial$109.206/30/2021Two Lipper Awards in 2021. Lutheran Based CompanyRequest info...
99Robinhood Financial$100.003/31/2021New $70 Million dollar FINRA fine on 8/20/21. Wall-to-wall national news with the GameStop drama and the $65 million dollar FINRA fine on 12/17/20.Request info...
100Robert W Baird & Co$99.007/30/2021FINRA fined Robert W Baird $150,000Request info...
101Dodge & Cox$88.906/30/2021Have greatly transformed their transparency to the good to the public and media.Request info...
102First Eagle$88.006/30/2021Lost 20% AUM in 2021Request info...
103TPG Capital$85.002/20/2021Current business model focus is leveraged buyouts. Owned by Tarrant Capital GroupRequest info...
104Sterling Capital$85.006/30/2021FINRA 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$75.503/31/2021Is looking to move the HQ somewhere in Missouri to save costsRequest info...
106William Blair Funds$74.006/30/2021William 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 firmRequest info...
107Fort Washington Advisors$68.306/30/2021Owned by Western SouthernRequest info...
108Brown Brothers Harriman$68.006/30/2021BBH Capital Partners Completes Investment In Bradford Airport LogisticsRequest info...
109Conning$67.706/30/2021Matt Daly Discusses ESG Investing Trends for InsurersRequest info...
110Oakmark Funds$64.006/30/2021Owned by Natixis via Harris AssociatesRequest info...
111Credit Sussie$63.509/30/2020FINRA fine of $350,000 on 4/5/21. Paying $6.5 Million in fines from FINRARequest info...
112Rathbone Brothers$55.805/13/2021Rathbone to buy Saunderson. After a rough year, Clive Bannister is the new chairmanRequest info...
113Fortress Investment Group$53.906/30/2021Fortress Investment Group Sells Long Beach Airport Plaza Office PropertiesRequest info...
114Dyal Capital Partners$52.503/31/2021Purchased by Neuberger BermanRequest info...
115Impax Asset Group$47.606/30/2021Impax Asset Management Screens Its Portfolio for Deforestation ExposureRequest info...
116Causeway Capital Management$47.003/31/2021Buys Westrock, LLCRequest info...
117Thornburg Asset Management$43.506/30/2021Thornburg Expands Board with Addition of Blair C. NaylorRequest info...
118Glenmede Investment Management$43.006/30/2021Request info...
119AGF Management Limited$42.107/31/2021Kevin McCreadie Announces Changes to AGF’s Senior Leadership TeamRequest info...
120"ABDN" |Standard Life Aberdeen $41.002/3/2021Rebranding to "ABDN." I see the SEO value other than that, Hmmm? Focuses on envormental and socal issues.Request info...
121Oppenheimer Funds$40.103/31/2021Oppenheimer FINRA fine of $525,000 on 4/22/21. Purchased by Invesco.Request info...
122Securities America$39.006/30/2021SEC fines Securities America $1.75 million for surveillance activates by broker. FINRA fine of $125,000 on 2/23/21.Request info...
123Sculptor | Och-Ziff$37.608/1/2021Rebranding from Och-Zill to "Sculptor"Request info...
124Pzena$32.407/31/2021Pzena's AUM dropped from 53.1 in June of 2021 to 32.4 in July of 2021. I am trying to verify what happened.Request info...
125Vantagepoint Funds$31.006/30/2021Established in 2017Request info...
126Ares Management$30.706/30/2021SEC fines Ares $1 MillionRequest info...
127Matthews Asia Funds$29.707/31/2021Per my blogs, let's just say the tone of their PR seems suspicious and predictable which is great for some investors and worrisome for others in light of the geo-political realities.Request info...
128Cetera Financial Group$25.706/30/2021New FINRA find on 6/25/21 of $125,000. Purchased part of VOYA's Wealth Management. Fined a total of $1,000,000 by FINRA on 12/15/20Request info...
129Reams Asset Mgmt.$23.406/30/2021Purchased by Raymond JamesRequest info...
130Davis Select Advisers$23.306/30/2021No news to post.Request info...
131Manning & Napier$22.506/30/2021No news to post.Request info...
132Empower$19.406/30/2021Empower Retirement to acquire Prudential Financial retirement business. Empower Retirement to acquire retirement plan business of MassMutual.Request info...
133Royce Funds$17.706/29/2021Now part of Franklin Templeton via Legg Mason merger.Request info...
134Ariel Investments$16.203/31/2021Melody Hudson is new Co-CEORequest info...
135Touchstone Investments$16.006/30/2021To purchase a $7.5 Billion of AIG's portfolio. Owned by Western & Southern.Request info...
136Xponance (was FIS Group)$11.003/31/2021Rebranded to Xponance from FIS GroupRequest info...
1371251 Capital Group$10.5012/31/20201251 Capital Group invests into minority led Mar Vista. Merger with EmeraldRequest info...
138Transamerica$10.404/30/2021Fined $4,400,000 by FINRA on 12/21/20Request info...
139Southeastern Asset Management$10.404/30/2021Lost 20% AUM in 10 months.Request info...
140Park Avenue Securities$7.506/30/2021FINRA fines Park Avenue Securities $640,522Request info...
141Tweedy Browne Co$4.6012/31/2020Warren Buffet's former investment firmRequest info...
142Westchester Capital$4.603/31/2021Boasts zero broker turnoverRequest info...
143Saturna Capital$4.003/25/2021Lost 20% of AUM in 2021 YTD. Podcast to discuss entrepreneurship for Islam and Black Lives Matter - Nov. 2020Request info...
144Emerald Mutual Funds$2.903/31/2021Merged with 1251 Capital.Request info...
145Pacific Global Asset Management$2.708/12/2021Part of Pacific LifeRequest info...
146Axiom Capital Management$2.206/30/2021Axiom has completed the acquisition of Torchlight Group Limited. Axiom is owned by Limestone Capital as of 2/2020.Request info...
147Great Point Partners$2.203/31/2021Fined $5,000 due to failure to conduct it anti-money-laundering test on time by FINRA on 12/3/20. Request info...
148SA Stone (was Sterne Agee)$2.006/30/2021Rebranding from Sterne Agee to "SA Stone" Purchased Gain Capital. $375,000 FINRA fine. 9/10/20.Request info...
149E-Trade$0.003/30/2021Morgan Stanley's $13 Billion purchase of E-Trade ClosesRequest info...
149Dakota Securities InternationalNAWall of Shame. Was "expelled" from FINRA on December 21, 20. The expulsion and bar are in effect pending review.
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