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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 12/21/2020

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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 12/21/20
Company NameAUMDate Click 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...
4Fidelity Investments$3,310.009/30/2020Fidelity settles 401k class-action lawsuit for $28.5 million.Request info...
5State Street Global Advisors$3,150.009/30/2020SEC fined State Street $40 million and possible $380 million in repayments. AUM up $550 B.Request info...
6JP Morgan$2,600.009/30/2020JP Morgan fined $1.5 Million for overcharges by SECRequest info...
7Capital Group$2,100.009/30/2020Wins 13 Lipper awards. 3/6/20Request info...
8Amundi Asset Mgmt$2,029.639/30/2020Amundi to acquire Banco Sabadell Asset Management divisionRequest info...
9PIMCO$2,020.0011/15/2020Owned by Allianz. AUM up 10%.Request info...
10BNY Mellon (Dreyfus)$2,000.009/30/2020$875K FINRA Fine. 7/7/20.Request info...
11Prudential Investments$1,648.0011/3/2020FINRA fine of $1 Million for lax recordsRequest info...
12Franklin Templeton$1,466.7011/30/2020AUM nmbers include Legg Mason.Request info...
13Legal & General Investments$1,341.009/30/2020Invests into Australian mortgage businessRequest info...
14T 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...
15TD Ameritrade (Schwab)$1,300.006/30/2020Purchased by Charles Schwab on 10/6/20 for $26 Billion.Request info...
16Invesco$1,206.209/30/2020Invesco to pay $105 million in finesRequest info...
17Sun Life Global Investments$1,186.309/30/2020Sun Life Global Investments reduces select mutual funds' management fees. AUM level.Request info...
18TIAA / Nuveen$1,100.009/30/2020TIAA closes life insurance divisionRequest info...
19BofA Merrill Lynch$1,080.009/30/2020FINRA fine of $150,000 for Merrill Lynch on 5/13/20
20Natixis Global Associates$1,067.309/30/2020Natixis fights 2019 French regulator $3M fine. AUM up.Request info...

21Northern Trust$1,000.009/30/2020$250 Million cost cutting program has started. AUM up 5%.Request info...
22Wellington Management$1,000.009/30/2020Focuses on climate change issues for giving and PRRequest info...
23UBS$980.009/30/2020UBS fined $10 Million by SEC. AUM up.Request info...
24Insight Investors$945.709/30/2020Expands Phoenix Headquarters. Insight Acquires French Digital Consulting Company vNext. AUM up 10%Request info...
25Raymond James$930.009/30/2020$47,500 FINRA fine.Request info...
26DWS | Deutsche Asset Management$926.899/30/2020Rebranding to "DWS". AUM up 8% after a bad year.Request info...
27Ameriprise Financial$900.006/30/2020FINRA fines Ameriprise $850K. AUM up 12%.Request info...
28Goldman Sachs Asset Management$874.004/30/2019Fined $130,000 by FINRA on 12/19/2019. The 4/30/2019 AUM update date is correct.Request info...
29AXA$866.006/30/2020FINRA fines AXA $772,000Request info...
30Manulife Asset Mgmt$832.009/30/2020AUM up 12%.Request info...
31Legg Mason (Franklin Temp$787.406/30/2020Purchased by Franklin TempletonRequest info...
32Empower$709.209/30/2020Empower Retirement, was named 2020 Retirement Leader of the Year in the annual Mutual Fund Industry AwardsRequest info...
33Standard Life Aberdeen (UK)$667.526/30/2020AUM drops againRequest info...
34Morgan Stanley$665.006/30/2020$5 M SEC fine on 9/30/20. $175k FINRA fine and $774k restitution on 8/12/20. Buying Eaton Vance for $7 Billion.Request info...
35Affiliated Managers Group (AMG)$654.009/30/2020AMG Elects Dwight D. Churchill as Chairman of its Board of DirectorsRequest info...
36MetLife$651.109/30/2020SEC fine for $10 millionRequest info...
37AllianceBernstein$631.009/30/2020Paid a $51k self-reported fine.Request info...
38Federated Hermes (was Federated Investors)$615.009/30/2020Purchased Hermes and rebranded to Federated HermesRequest info...
39Geode Capital Management$612.009/30/2020AUM up 10%.Request info...
40Wells Fargo Advisors$607.009/30/2020SEC fines Wells Fargo $3 Billion.Request info...
41The Blackstone Group$584.009/30/2020Blackstone acquires battery energy storage pioneerRequest info...
42Brookfield Asset Management$575.009/30/2020Brookfield acquires India telecom towersRequest info...
43Nomura 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...
44BNP Paribas$532.409/30/2020FINRA fine of $200,000 on 7/3/20.Request info...
45MFS Investment Management$528.006/30/2020Owned by Sun Life FinancialRequest info...
46Dimensional Fund Advisors$527.009/30/2020Dimensional will open its new East Coast headquarters in Charlotte.Request info...
47Eaton Vance Distributors$515.0010/31/2020Being purchased by Morgan Stanley.Request info...
48Principal Financial Group$507.309/30/2020Voted best place to work in the money management space.
49Columbia Threadneedle$498.009/30/2020Commits to sponsor Boston Marathon through 2023Request info...
50Credit Sussie$495.819/30/2020Paying 6.5 Million in fines from FINRARequest info...
51AVIVA Investors$495.266/30/2020Aviva Investors expands real estate development teamRequest info...
52Julius Baer Securities$466.859/30/2020Concerned about Kairos outflows (Italy)Request info...
53Aegon$414.906/30/2020Aegon mourns the loss of Jesús QuintanalRequest info...
54Apollo Management$414.006/30/2020Apollo Global Management Announces New $500 Million Share Repurchase Authorization March 12, 2020Request info...
55LPL Financial$406.009/30/2020Former LPL broker suspended and fined $10k by FINRA for overstating cllents net worth.Request info...
56Robeco/ORIX$400.009/30/2020Robeco rebranded to ORIX. Owned by AXARequest info...
57RBC Global Wealth (CAN)$391.359/30/2020RBC to pay $3.9 million fine by SEC.Request info...
58Janus Henderson Group$358.309/30/2020Fined $2.35 million for overchargingRequest info...
59Neuberger Berman$357.006/30/2020Buying Dyal Capital PartnersRequest info...
60Barings$354.009/30/2020Barings makes a bet as it enters the risky 5G market with Majority Stake Acquisition in Gigasphere Holdings LLCRequest info...
61E-Trade$346.006/30/2020Being purchased by Morgan Stanley. $2.25 M FINRA fine on 9/2/20.Request info...
62SEI Investments$330.009/30/2020SEI Again Recognized for Award-Winning Fund Performance in 2019
February 6, 2020
Request info...
63Dodge & Cox$324.006/30/2020Request info...
64Edward Jones$320.003/31/2020Edward Jones Financial Advisors Rate Firm Highest in Overall Employee Advisor Satisfaction, According to J.D. PowerRequest info...
65Loomis Sayles & Co$303.609/30/2020Owned by Natixis. AUM is up 10%.Request info...
66Guggenheim Partners$295.009/30/2020Walsh Named Among the 100 Most Influential Women in U.S. FinanceRequest info...
67Stifel Financial Corp$290.0012/31/2019"FINRA Press Release" (on the June 2020 FINRA page) FINRA fine of $3.6 million for Stifel.Request info...
68Frank Russell Investments$284.806/30/2020TA Associates and Reverence Capital Partners Complete Acquisition of Russell Investments from London Stock Exchange GroupRequest info...
69New York Life/Mainstay$268.009/30/2020Senior leadership changes in progressRequest info...
70BMO Global Asset Group$259.006/30/2020$40k FINRA fine. 7/12/20.Request info...
71TCW Group$235.009/30/2020AUM is up 10%. Nippon Life buys 25% stake in TCW.Request info...
72KKR$234.009/30/2020"Investors with an institutional vision" Request info...
73Carlyle Group$230.009/30/2020Glenn Youngkin to retire as co-CEO of the Carlyle Group, Kewsong Lee will remain as CEORequest info...
74Voya (ING)$230.006/30/2020FINRA fined Voya $125,982Request info...
75Pictet$225.009/30/2020Pictet raises EUR700 million for first real estate fund and completes two transactionsRequest info...
76BrightSphere$225.006/30/2020Divesting two affilates.Request info...
77Lord Abbett & Co$210.109/30/2020Lord Abbett Continues to Light the Way for LGBTQ+ InclusionRequest info...
78Lazard Mgmt. Group$202.109/30/2020Downsizing in progress. AUM is up.Request info...
79Putnam Investments$188.0011/30/2020Fund Ranked #1 out of Nearly 300 Funds in the Core Bond CategoryRequest info...
80Conning$187.909/30/2020Conning Completes Strategic Investment in Global EvolutionRequest info...
81American Century Investments$178.0010/2/2020Purchased by Capitial GroupRequest info...
82Southeastern Asset Management$160.803/30/2020Southeastern Asset Management has a new CEORequest info...
83Hines$144.109/30/2020Focus on RE investingRequest info...
84Victory Capital$142.509/30/2020Still incorporating USAA's investment business.Request info...
85Doubleline$141.009/30/2020Jeffrey Gundlach has become the face of Doubleline.Request info...
86OakTree$140.009/30/2020AUM is up 10%.Request info...
87GAM Investors$136.109/30/2020Changed brand from Gabelli Investors to "GAM". Fined $500k by Swiss regulator. AUM is up 5%.Request info...
88Fisher Investments$135.009/30/2020Potential $2.5 million in regulary fines for Berthel Fisher. AUM up 10%.Request info...
89Artisan Partners Financial$131.5010/31/2020Steady AUM growthRequest info...
90The Hartford$122.109/30/2020The Hartford Donates $1M To U.S. Small Businesses To Aid In COVID-19 RecoveryRequest info...
91Virtus Investment Partners$116.509/30/2020Virtus Investment Partners and AllianzGI announce US strategic partnershipRequest info...
92MAN Group$113.009/30/2020Man Group appoints John Cryan as ChairmanRequest info...
93US Bancorp$112.006/30/2020SEC fines US Bancorp $15 Million.Request info...
94Bridgewater Associates$98.906/30/2020The worlds largest hedge fund takes a huge hit from pandemic.Request info...
95IG Wealth Management$95.8010/31/2020Purchased Mackenzie. AUM up. Rebranding from IGW to IG Wealth Mgmt.Request info...
96LSV Asset Management$92.009/30/2020"Behavioral Finance & bottoms up approach"Request info...
97Swiss Life Asset Mgmt$87.806/30/2020Request info...
98Harris Associates$86.009/30/2020Owned by NatixisRequest info...
99Robert W Baird & Co$85.0011/30/2020FINRA fined Robert W Baird $150,000Request info...
100TPG Capital$85.009/30/2020Owned by Tarrant Capital GroupRequest info...
101Sterling 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...
102Waddell & Reed$67.909/30/2020Is looking to move the HQ somewhere in Missouri to save costsRequest info...
103Fort Washington Advisors$62.509/30/2020Owned by Western SouthernRequest info...
104William Blair Funds$61.709/30/2020William Blair passed on 11/21/19. AUM up 10%.Request info...
105Quilter (was Old Mutual)$60.219/30/2020Quilter to sell the life insurance division for $555.7 million.Request info...
106Brown Brothers Harriman$54.009/30/2020BBH Capital Partners Completes Investment In Bradford Airport LogisticsRequest info...
107Fortress Investment Group$49.909/30/2020Fortress Investment Group Sells Long Beach Airport Plaza Office PropertiesRequest info...
108Oakmark Funds$47.509/30/2020Owned by Natixis via Harris AssociatesRequest info...
109Pzena$40.7011/30/2020Pzena internally re-organizing with restructuring and buyouts Q1 2020.Request info...
110Thornburg Asset Management$40.5212/31/2019Thornburg Appoints Ben Kirby and Jeff Klingelhofer as Co-Heads of InvestmentsRequest info...
111Robinhood Financial$40.006/30/2020$65 Million dollar FINRA fine. 12/17/20. Yikes.Request info...
112Causeway Capital Management$38.509/30/2020AUM is down.Request info...
113Sculptor | Och-Ziff$36.4012/1/2020Rebranding from Och-Zill to "Sculptor"Request info...
114AGF Management Limited$36.3010/31/2020Kevin McCreadie Announces Changes to AGF’s Senior Leadership TeamRequest info...
115Impax Asset Group$31.2011/30/2020Buying PAX with 9.4 Billion in AUMRequest info...
116Oppenheimer 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...
117Matthews Asia Funds$26.509/30/2020Matthews Asia Hires Lindsay Wright as Head of Asia and Global Chief Operating OfficerRequest info...
118Ares Management$26.309/30/2020SEC fines Ares $1 MillionRequest info...
119Dyal Capital Partners$21.909/30/2020Purchased by Neuberger BermanRequest info...
120Reams Asset Mgmt.$21.509/30/2020Purchased by Raymond JamesRequest info...
121Manning & Napier$19.2010/31/2020"Manning & Napier loses two PMs, liquidate three funds", per CitywireRequest info...
122Mercer Advisors$18.506/30/2020Mercer buys Argosy Wealth Mgmt RIA for $330 million.Request info...
123Touchstone Investments$18.005/1/2019!!Touchstone Investments Names Rockefeller Asset Management Sub-Advisor to Touchstone International ESG Equity Fund. Owned by Western & SouthernRequest info...
124Davis Select Advisers$17.909/30/2020Request info...
125Pacific Global Asset Management$17.309/30/2020Part of Pacific LifeRequest info...
126Axiom Capitial Management$13.403/30/2020FINRA fine of $37,000 on 5/26/20Request info...
127Glenmede Investment Management$11.009/30/2020AUM dropRequest info...
128Tweedy Browne Co$10.809/30/2020Warren Buffet's former investment firmRequest info...
1291251 Capital Group$10.5012/9/20219Buying Emerald & Ziegler CapitalRequest info...
130Royce Funds$10.009/30/2020Part of Legg MasonRequest info...
131Ariel Investments$6.809/30/2020Melody Hudson is new Co-CEORequest info...
132Saturna Capital$4.206/30/2020Podcast to discuss entrepreneurship for Islam and Black Lives Matter - Nov. 2020Request info...
133Xponance (was FIS Group)$4.0710/26/2020Rebranded to Xponance from FIS GroupRequest info...
134Park Avenue Securities$2.989/30/2020FINRA fines Park Avenue Securities $640,522Request info...
135Great Point Partners$2.8510/23/2020Great Point Capital teaming with Lionsgate to start a Film Studio in New YorkRequest info...
136Emerald Mutual Funds$2.439/30/2020New company based in Boston.Request info...
137Westchester Capital$2.379/30/2020Boasts zero broker turnoverRequest info...
138SA 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...
139Heartland Advisors$0.249/30/2020Moving to BMO towerRequest info...
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