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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

Monthly Investment Company News updated on 2/1/21

 

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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 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...
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