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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 11/19/2021

 

 

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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 11/19/21
Company NameAUM (in Billions)DateNewsClick to get
Company
Info
1BlackRock Funds$9,460.09/30/2021How will China's problems affect Blackrock?Request info...
2Vanguard$8,300.09/1/2021Vanguard completes acquisition of Just Invest.Request info...
3Charles Schwab$7,980.010/3/2021"SEC investigating robo adviser disclosures, warns of Q2 results hit," per Reuters.Request info...
4BarclayHedge$4,320.08/16/2021"CEO resigns amid Epstein scandal inquiry," per NYT - 11/1/21.Request info...
5Fidelity Investments$4,227.59/30/2021To Add Nearly 1,000 New Jobs in Florida.Request info...
6State Street Global Advisors$3,900.06/30/2021DOJ announces State Street Corporation fine of $115 Million for a Criminal Penalty on 5/13/21.Request info...
7JP Morgan$3,000.06/30/2021FINRA fine of $300k on 8/20/21.Request info...
8Capital Group$2,600.09/30/2021Capital Group announces licensing agreement with Fidelity.Request info...
9BNY Mellon (Dreyfus)$2,300.09/30/2021To pay $150 million in German tax bills.Request info...
10PIMCO/Allianz$2,200.09/30/2021Former PIMCO CEO gets 9 months for college scandal.Request info...
11Amundi Asset Mgmt$2,051.19/30/2021AUM down slightly in Q3.Request info...
12Legal & General Investments$1,800.06/30/2021Legal & General announces a c£310 million buy-in with Reuters Supplementary Pension Scheme.Request info...
13Prudential Investments$1,700.09/30/2021Made $200 million in diversity pleads. FINRA fine of $1 Million for lax recordsRequest info...
14T Rowe Price$1,610.09/30/2021AUM is slightly down in Q3.Request info...
15Franklin Templeton$1,572.09/30/2021AUM is slightly up in Q3.Request info...
16Invesco$1,528.69/30/2021Invesco to launch "green" ETFs. Invesco to pay $105 million in fines.Request info...
17Northern Trust$1,500.07/30/2021AUM is steady in Q3.Request info...
18Morgan Stanley$1,500.06/30/2021Agrees to pay $1.7 million in restitution and interest.Request info...
19Natixis Global Associates$1,339.59/30/2021AUM is steady in Q3.Request info...

20TIAA / Nuveen$1,331.09/30/2021AUM is up in Q3. $97 million SEC fine. 7/13/21. TIAA closes life insurance division.Request info...
21Wellington Management$1,288.79/30/2021Jean Hynes to Succeed Brendan Swords as Chief Executive Officer
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22BofA Merrill Lynch$1,200.09/30/2021Reduces by over 400 Advisors in Q2. AUM drops in Q3.
23UBS$1,200.09/30/2021UBS appealing $5.4 Billion French penalty.Request info...
24LPL Financial$1,133.09/30/2021AUM is up.Request info...
25Insight Investors$1,024.06/30/2021Recognized Among Fortune 2021 Worlds Most Admired CompaniesRequest info...
26Principal Financial Group$981.09/30/2021Principal to discontinue sales of all U.S. retail fixed annuities and consumer life insurance products. 
27AXA$974.06/30/2021AXA to divest its Singapore business. FINRA fines AXA $772,000. AUM is down Q3.Request info...
28DWS | Deutsche Asset Management$972.96/30/20219/10/21 - Censored and fined $800,000 by FINRA.Request info...
29Geode Capital Management$933.09/30/2021Huge losses on derivative trades forced Geode to close down its hedge-fund business.Request info...
30Manulife Asset Mgmt$826.09/30/2021AUM is down.Request info...
31AllianceBernstein$765.010/31/2021Paid a $51k self-reported fine. AUM is up in Q3.Request info...
32Affiliated Managers Group (AMG)$748.09/30/2021AMG Announces Investment in Abacus Capital GroupRequest info...
33Pictet$746.09/30/2021Collardi out after money laundering scandal.Request info...
34The Blackstone Group$731.09/30/2021"AUM is up 21%" per press release.Request info...
35MFS Investment Management$684.39/30/2021Owned by Sun Life FinancialRequest info...
36MetLife$664.79/30/2021AUM was up but now plateauing and stable.Request info...
37Dimensional Fund Advisors$653.09/30/2021Dimensional will open its new East Coast headquarters in Charlotte.Request info...
38Brookfield Asset Management$650.09/30/2021Brookfield hires ex-regulator to head up the insurance business.Request info...
39Nomura Asset Management$640.09/30/2021Announces Investment in OSARO focusing on AI ManufacturingRequest info...
40Federated Hermes (was Federated Investors)$634.010/31/2021Purchased Hermes and rebranded to Federated HermesRequest info...
41"ABDN" |Standard Life Aberdeen $616.56/30/2021Rebranding to "ABDN."Request info...
42Wells Fargo Advisors$603.03/31/2021Wells Fargo still has 12,600 advisors as of Q2.Request info...
43New York Life/Mainstay$600.06/30/2021Combining with CBRE as a sub advisor.Request info...
44Ameriprise Financial$593.07/26/2021Ex-Amerprise broker case to US Supreme court.Request info...
45Columbia Threadneedle$593.06/30/2021Melda Mergen to become Global Head of EquitiesRequest info...
46Eaton Vance Distributors$583.112/31/20212021 Lipper Awards. Morgan Stanley Closes Acquisition of Eaton Vance on 3/1/21.Request info...
47Julius Baer Securities$531.06/30/2021$79 Million in Penalties for money laundering per 5/27/21 DOJ press release.Request info...
48Edward Jones$519.811/4/2021Has 41,000 advisorsRequest info...
49HSBC$508.79/30/2021Announced the closing of most
of the USA banking branches on 1/1/22
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50Credit Sussie$487.03/31/202110/19/21 SEC fine of $475 million. FINRA fine of $350,000 on 4/5/21. Credit Sussie to fix scandals with recovery plan.Request info...
51AVIVA Investors$481.66/30/2021UK ordered Aviva to refund leaseholders.Request info...
52Apollo Management$481.19/30/2021AUM is up.Request info...
53RBC Global Wealth (CAN)$467.09/30/20219/17/21 - SEC fine of $800,000.Request info...
54BNP Paribas$465.49/30/2021French charged BNP Paribas for laundering Gabon's assets.Request info...
55Aegon$450.79/30/2021Owns Transamerica who just got $4.4 million in FINRA fine.Request info...
56Neuberger Berman$437.09/30/2021AUM is slightly up in A3.Request info...
57KKR$429.06/30/2021To buy Cyprus One," per Reuters.Request info...
58Janus Henderson Group$419.39/30/2021AUM is slightly down in Q3.Request info...
59Barings$382.06/30/2021Barings Names Eric Lloyd President, David Mihalick Head of Private AssetsRequest info...
60Mercer Advisors$362.05/31/2021Mercer buys Argosy Wealth Mgmt. RIA for $330 million.Request info...
61Loomis Sayles & Co$353.79/30/2021Loomis, Sayles announces The Fuss Family Mental Health Initiative.Request info...
62Frank Russell Investments$330.16/30/2021Announces many green and climate ETFs.Request info...
63SEI Investments$300.09/30/2021AUM is up 22%.Request info...
64Swiss Life Asset Mgmt$300.06/30/2021DOJ to charge $77 million in fines. 5/14/21.Request info...
65Citi Group$300.03/31/2021FINRA fine of $350,000 on 6/15/21. Fine of $175,000 on 1/28/21 by FINRA. Citi to exit 13 markets in Q4.Request info...
66Carlyle Group$293.09/30/2021AUM is up 19%.Request info...
67BMO Global Asset Group$273.09/30/2021Ameriprise Financial to Acquire BMO’s EMEA Asset Management BusinessRequest info...
68TCW Group$265.89/30/2021"TCW’s Investment Chief and CEO Set Departures After Employees Threaten to Quit" per WSJ.Request info...
69IGM Financial$265.29/30/2021Purchased Mackenzie. AUM up. Rebranding from IGW to IG Wealth Mgmt.Request info...
70Sun Life Global Investments$262.09/30/2021Appoints Anna Murphy as head of the Global ESG group. PinnacleCare to be purchased by Sun LifeRequest info...
71Guggenheim Partners$259.09/30/2021AUM is down in Q3.Request info...
72Voya (ING)$253.09/30/2021FINRA fined Voya $125,982. Steady AUM in Q3.Request info...
73Raymond James$242.06/30/2021AUM up 11%. $47,500 FINRA fine.Request info...
74Lazard Mgmt. Group$239.89/30/2021Downsizing in progress.Request info...
75Goldman Sachs Asset Management$234.09/30/2021To pay the last $1.26 Billion in fines of the total of $2.3 Billion. June 2021.Request info...
76Robert W Baird & Co$231.59/30/2021Baird's ReMed product rebrands as Collage. FINRA fined Robert W Baird $150,000Request info...
77Bridgewater Associates$223.07/9/2021Ray Dalio is starting a new China fund.Request info...
78American Century Investments$218.03/11/2021Strategic partnership with Nomra.Request info...
79Lord Abbett & Co$210.19/30/2021Naming new partners and managing directors.Request info...
80Conning$209.49/30/2021Matt Daly Discusses ESG Investing Trends for InsurersRequest info...
81Putnam Investments$201.010/31/2021Putnam Investments Appoints Brett S. Goldstein Co-Chief Investment Officer of Global Asset AllocationRequest info...
82Virtus Investment Partners$187.410/31/2021Virtus Investment Partners and AllianzGI announce US strategic partnershipRequest info...
83US Bancorp$181.09/30/2021U.S. Bancorp to Acquire MUFG Union Bank. 9/21/21.Request info...
84Artisan Partners Financial$179.710/31/2021No news to post.Request info...
85AQR Captial$164.45/27/2021Best LBGTQ place to work
86Victory Capital$159.99/30/2021Victory Capital Closes Acquisition of New Energy Capital Partners. 11/1/21.Request info...
87OakTree$158.09/30/2021Oaktree enters a bidding war to buy a sandal ridden casino in Australia.Request info...
88The Hartford$152.19/30/2021The Hartford agrees to settlement for $650 million to the Boy Scotts of America.Request info...
89Fisher Investments$148.09/30/2021Potential $2.5 million in regular fines for Berthel Fisher.Request info...
90Quilter (was Old Mutual)$146.49/30/2021Quilter to sell the life insurance division for $555.7 million.Request info...
91PineBridge Investments$141.89/30/2021PineBridge announces expansion into Florida. AUM is up in Q3.Request info...
92Doubleline Capital$137.09/30/2021Jeffrey Gundlach has become the face of Doubleline.Request info...
93MAN Group$135.06/30/2021Man AHL receives approval for QFII license in ChinaRequest info...
94CVC Partners$125.09/30/2021"The scandal-hit Japanese electronics giant Toshiba, has received an offer from CVC Capital Partners," per BBC source.Request info...
95Harris Associates$121.09/30/2021Owned by Natixis. AUM is slightly down.Request info...
96Stifel Financial Corp$117.811/4/2021Stifel to acquire Vining Sparks. 9/29/21.Request info...
97BrightSphere$114.09/30/2021BrightSphere completes sale of Affiliate Campbell GlobalRequest info...
98GAM Investors$111.09/30/2021Changed brand from Gabelli Investors to "GAM". Fined $500k by Swiss regulator. Request info...
99TPG Capital$108.06/30/2021TPG founder fired as a result of the college admissions cheating scandalRequest info...
100LSV Asset Management$107.09/30/2021Behavioral Finance & bottoms up approachRequest info...
101Fortress Investment Group$102.19/30/2021"SoftBank Is Considering a Sale of Fortress Investment Group," per Yahoo.Request info...
102Cetera Financial Group$100.09/30/2021New FINRA find on 6/25/21 of $125,000. Purchased part of VOYA's Wealth Management. Request info...
103Empower$100.09/30/2021"Empower Retirement subsidiary fined $1.5 million for not reporting cyberattacks on some retirement accounts," The Denver Post.Request info...
104Robinhood Financial$100.03/31/2021The latest FINRA fine is for $70 Million dollars on 8/20/21.Request info...
105Transamerica$89.04/1/2021Transamerica pays $5.4 million Transamerica on retirement plans.Request info...
106Dodge & Cox$88.96/30/2021Dodge & Cox Investment Leadership & Committee Changes.Request info...
107First Eagle$88.06/30/2021AUM is now stable.Request info...
108Sterling Capital$86.09/30/2021Owned by BB&T/Truest.Request info...
109Hines$83.66/30/2021AUM is down.Request info...
110Waddell & Reed$75.53/31/2021After more than one transaction, LPL Financial ultimately takes control of Waddell & Reed in 2021.Request info...
111Fort Washington Advisors$73.99/30/2021Owned by Western SouthernRequest info...
112Blue Owl$70.09/30/2021Dyal and Owl Rock formed Blue Owl.Request info...
113Brown Brothers Harriman$68.06/30/20219/7/21 - State Street to acquire BBH for $3.5 Billion in cash.Request info...
114Oakmark Funds$62.09/30/2021"David Herro's $28bn Oakmark International fund has more than 4% of its assets in embattled European bank Credit Suisse," per citywireusa.Request info...
115Rathbone Brothers$55.810/21/2021Steady AUM in Q3.Request info...
116Pzena$53.010/31/2021AUM is up.Request info...
117Impax Asset Group$50.19/30/2021AUM is up 8%Request info...
118Glenmede Investment Management$46.39/30/2021Linda Manfredonia takes over as the Delaware Regional DirectorRequest info...
119William Blair Funds$45.09/30/2021New Managing Director to expand William Blair Expands Investment Banking in the Denver market.Request info...
120Oppenheimer Funds$43.69/30/2021Oppenheimer FINRA fine of $525,000 on 4/22/21. Purchased by Invesco.Request info...
121Thornburg Asset Management$43.49/30/2021Thornburg Adds Two Co-Portfolio Managers to International Growth Strategy Team. 11/1/21Request info...
122Causeway Capital Management$42.79/30/2021AUM is DownRequest info...
123AGF Management Limited$42.410/31/2021Kevin McCreadie Announces Changes to AGF’s Senior Leadership TeamRequest info...
124Securites America$39.06/30/2021SEC fines Securities America $1.75 million for surveillance activates by broker. FINRA fine of $125,000 on 2/23/21.Request info...
125Sculptor | Och-Ziff$37.211/1/2021Rebranding from Och-Zill to "Sculptor"Request info...
126Ares Management$32.79/30/2021SEC fines Ares $1 MillionRequest info...
127Vantagepoint Funds$31.09/30/2021Rebranding from Vantagepoint Funds to Mission Square Investments. 9/10/21.Request info...
128Matthews Asia Funds$28.710/31/2021AUM is down slightly.Request info...
129Reams Asset Mgmt.$23.39/30/2021Purchased by Raymond JamesRequest info...
130Robeco/ORIX$23.09/30/2021Robeco rebranded to ORIX. Owned by AXARequest info...
131Manning & Napier$22.510/31/2021Manning & Napier, Inc. Announces Expiration of Shareholder Rights AgreementRequest info...
132Davis Select Advisers$21.69/30/2021Davis Advisors”) provides discretionary portfolio management services, serving as investment adviser or sub-adviser for Morgan Stanley.Request info...
133Royce Funds$16.29/30/2021Now part of Franklin Templeton via Legg Mason merger.Request info...
134Touchstone Investments$16.09/30/2021To purchase a $7.5 Billion of AIG's portfolio. Owned by Western & Southern.Request info...
135Xponance (was FIS Group)$12.011/1/2021Rebranded to Xponance from FIS GroupRequest info...
136Ariel Investments$10.99/30/2021Melody Hudson is new Co-CEO. AUM is slightly down.Request info...
137Thrivent Financial$10.79/30/2021Mike DeKoning joins Thrivent as senior vice president of Insurance Solutions. 10/6/21.Request info...
1381251 Capital Group$10.59/30/20211251 Capital Group invests into minority led Mar Vista. Merger with EmeraldRequest info...
139Southeastern Asset Management$10.44/30/2021Steady AUM in Q3.Request info...
140Park Avenue Securities$7.59/30/2021FINRA fines Park Avenue Securities $640,522Request info...
141Emerald Mutual Funds$6.09/30/2021Merdged with 1251 Capital.Request info...
142Saturna Capital$5.86/30/2021AUM is up 20%.Request info...
143Tweedy Browne Co$4.96/30/2021Warren Buffet's former investment firmRequest info...
144Westchester Capital$4.69/30/2021Boasts zero broker turnoverRequest info...
145SA Stone (was Sterne Agee)$2.19/30/2021Rebranding from Sterne Agee to "SA Stone" Request info...
146E-TradeMorgan Stanley's $13 Billion purchase of E-Trade ClosesRequest info...
147Dakota Securities InternationalWall of Shame. Was "expelled" from FINRA on December 21, 20. The expulsion and bar are in effect pending review.
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