Investment Company Industry Market Share List
Data from: 1/3/2020
| Ranked by AUM on 1/3/20 | Company Name | Market Share % | New AUM In Billions | New Date | Current News |
|---|---|---|---|---|---|
| 1 | Black Rock Funds | 9.43% | $6,963.90 | 9/30/2019 | Bad Fossil fuel investment loss of $90 Billion, but still #1 |
| 2 | Vanguard | 6.14% | $4,530.10 | 9/30/2019 | New no commission ETF platform |
| 3 | Charles Schwab | 5.34% | $3,940.00 | 9/30/2019 | Schwab to buy TD Ameritrade |
| 4 | State Street Global Advisors | 3.81% | $2,810.00 | 3/31/2019 | Layoffs to start in January of 2020 |
| 5 | Fidelity Investments | 3.33% | $2,459.00 | 3/31/2019 | To add billions in IT for workplace enhancements. To offer crypto currency in five years. No response for updated numbers. |
| 6 | JP Morgan | 2.98% | $2,200.00 | 9/30/2019 | Please record 3rd quarter earnings. FINRA fines JP Morgan $1.1 million. No media inquiry response for updated AUM number nor published web data. |
| 7 | BNY Mellon (Dreyfus) | 2.57% | $1,900.00 | 9/30/2019 | KPMG fined for Mellon reports in UK. |
| 8 | PIMCO | 2.55% | $1,880.00 | 9/30/2019 | College scandal hits PIMCO executive |
| 9 | Capital Group | 2.52% | $1,860.00 | 3/31/2019 | "Capital Group fund manager quits after BBC exposé," per Financial Times article |
| 10 | Amundi Asset Mgmt | 2.37% | $1,750.00 | 9/30/2019 | Hired Myerberg from Janus Henderson for fixed income group. |
| 11 | Prudential Investments | 1.90% | $1,400.00 | 5/1/2019 | Earnings per share is down year-over-year in Q3 |
| 12 | BofA Merrill Lynch | 1.90% | $1,400.00 | 3/31/2019 | Merrill is trying flat salary with bonus compensation strategy. |
| 13 | Legal & General Investments | 1.78% | $1,313.00 | 6/30/2019 | Buys Cardiff for 400 M pounds |
| 14 | TD Ameritrade | 1.76% | $1,297.00 | 10/17/2018 | To be purchased by Charles Schwab |
| 15 | Invesco | 1.60% | $1,182.20 | 9/30/2019 | Invesco to "cut 1,300 jobs," Per Financial Times |
| 16 | T Rowe Price | 1.60% | $1,180.00 | 11/30/2019 | "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. |
| 17 | Sun Life Global Investments | 1.44% | $1,063.00 | 9/30/2019 | Sun Life to buy majority in InfraRed Capital Partners |
| 18 | TIAA | 1.43% | $1,059.00 | 9/30/2019 | TIAA closes life insurance division |
| 19 | Natixis Global Associates | 1.38% | $1,020.00 | 9/30/2019 | Rise of 12% in AUM |
| 20 | Northern Trust | 1.33% | $983.00 | 9/30/2019 | Ricky Fowler and Bubba Watson committed to Northern Trust |
| 21 | Loomis Sayles & Co | 1.24% | $917.10 | 9/30/2019 | Purchased McDonnell Investments. Affiliated with Natixis Global |
| 22 | Wellington Management | 1.24% | $915.00 | 7/1/2019 | Focuses on climate change issues for giving and PR |
| 23 | Edward Jones | 1.24% | $914.00 | 3/31/2019 | Voted on of the 2019 best places to work for parents |
| 24 | Ameriprise Financial | 1.22% | $900.00 | 9/30/2019 | Larson Payne Larson Group, a team of experienced financial advisors managing approximately $222 million in assets, has joined its employee channel in Edina, Minn. |
| 25 | Goldman Sachs Asset Management | 1.18% | $874.50 | 4/30/2019 | Missed Q3 projections |
| 26 | AXA | 1.17% | $866.00 | 6/30/2019 | FINRA fines AXA $772,000 |
| 27 | UBS | 1.14% | $842.00 | 3/31/2019 | |
| 28 | DWS | Deutsche Asset Management | 1.14% | $840.00 | 9/30/2019 | Rebranding to "DWS" |
| 29 | Credit Sussie | 1.10% | $811.00 | 6/30/2019 | Paying 5.3 Billion in FINRA fines. Profit declines in Q3. |
| 30 | Legg Mason | 1.07% | $791.00 | 10/31/2019 | Layoffs may be avoided since AUM is up |
| 31 | Affiliated Managers Group (AMG) | 0.99% | $732.00 | 9/30/2019 | Jay Horgan is the new CEO at AMG |
| 32 | Insight Investors | 0.97% | $714.00 | 9/30/2019 | Expands Phoenix Headquarters |
| 33 | Principal Financial Group | 0.95% | $703.40 | 9/30/2019 | Principal announces 2020 outlook and long term guidance |
| 34 | Franklin Templeton | 0.94% | $693.00 | 9/30/2019 | Jennifer Johnson is the new CEO |
| 35 | SEI Investments | 0.90% | $662.00 | 9/30/2019 | Q3 earnings beat estimates after stock buy back |
| 36 | Standard Life Aberdeen (UK) | 0.87% | $644.50 | 6/30/2019 | AUM drops again |
| 37 | BNP Paribas | 0.86% | $632.00 | 6/30/2019 | FINRA fine of $15 million over money laundering controls - Dec 2019 |
| 38 | AllianceBernstein | 0.81% | $601.00 | 10/31/2019 | AUM is up. To move HQ from Boston to Nashville for cost cutting reasons |
| 39 | Dimensional Fund Advisers | 0.78% | $579.00 | 9/30/2019 | Dimensional Reduces US Mutual Fund Management Fees |
| 40 | The Blackstone Group | 0.75% | $554.00 | 9/30/2019 | Blackstone Group sues RCS owner |
| 41 | Federated Investors | 0.71% | $527.20 | 9/30/2019 | Buys PNC Capital Advisors |
| 42 | Geode Capital Management | 0.70% | $519.00 | 9/30/2019 | As a third party, Geode Capital Management will manages Fidelity's "free" ETF index funds as the funds' sub-advisor |
| 43 | Morgan Stanley | 0.69% | $507.00 | 9/30/2019 | Reducing the number of advisors |
| 44 | Nomura Asset Management | 0.68% | $501.00 | 9/30/2019 | FINRA fines Nomura $225,000. Tries to rebound from 2018 losses and 2019 layoffs. |
| 45 | New York Life/Mainstay | 0.68% | $500.00 | 9/30/2019 | Senior leadership changes in progress |
| 46 | Brookfield Asset Management | 0.68% | $500.00 | 9/30/2019 | Brookfield acquires India telecom towers |
| 47 | MFS Investment Management | 0.66% | $488.00 | 6/30/2019 | Owned by Sun Life Financial |
| 48 | Eaton Vance Distributors | 0.65% | $482.80 | 9/30/2019 | "To try ETFs - again" |
| 49 | Wells Fargo Advisors | 0.64% | $476.00 | 3/31/2019 | Well Fargo is now recruiting more advisors than it is losing. |
| 50 | Columbia Threadneedle | 0.64% | $469.00 | 9/30/2019 | Commits to sponsor Boston Marathon through 2023 |
| 51 | AVIVA Investors | 0.60% | $444.20 | 9/30/2019 | Buys office building in Amsterdam |
| 52 | Julius Baer Securities | 0.58% | $426.50 | 6/30/2019 | Karos will drag earnings down |
| 53 | Frank Russell Investments | 0.54% | $400.00 | 3/31/2019 | TA Associates and Reverence Capital Partners Complete Acquisition of Russell Investments from London Stock Exchange Group |
| 54 | Manulife Asset Mgmt | 0.53% | $394.00 | 9/30/2019 | Manulife's Asian business units help 2019 results |
| 55 | Aegon | 0.52% | $386.00 | 6/30/2019 | Aegon will repurchase common shares for an amount of EUR 168 million to neutralize the dilutive effect of the 2019 interim stock dividend. |
| 56 | RBC Global Wealth (CAN) | 0.49% | $359.40 | 9/30/2019 | FINRA fine of $2.9 million in Oct '19. |
| 57 | MetLife | 0.48% | $356.40 | 9/30/2019 | SEC fine for $10 million |
| 58 | Janus Henderson Group | 0.48% | $356.10 | 9/30/2019 | Fined $2.35 million for overcharging |
| 59 | Neuberger Berman | 0.46% | $339.00 | 9/30/2019 | Buying Dyal Capital Partners |
| 60 | LPL Financial | 0.46% | $338.00 | 9/30/2019 | LPL paid $26 million in fines in 2019 |
| 61 | Sculptor | Och-Ziff | 0.45% | $333.30 | 9/12/2019 | Rebranding from Och-Zill to "Sculptor" |
| 62 | Dodge & Cox | 0.42% | $313.20 | 9/30/2019 | AUM is up |
| 63 | Stifel Financial Corp | 0.42% | $312.00 | 9/30/2019 | AUM up 8% |
| 64 | Apollo Management | 0.41% | $303.00 | 3/31/2019 | Apollo and Athene Close the Acquisition of GE Capitals PK AirFinance Debt Business |
| 65 | Barings | 0.41% | $300.00 | 9/30/2019 | Barings makes a bet as it enters the risky 5G market with Majority Stake Acquisition in Gigasphere Holdings LLC |
| 66 | Guggenheim Partners | 0.37% | $275.00 | 9/30/2019 | Ex-SEC Enforcement Chief Takes Leadership Role at Guggenheim Partners |
| 67 | BMO Global Asset Group | 0.36% | $263.00 | 6/30/2019 | Kristi Mitchem is new CEO |
| 68 | Citi Group | 0.35% | $256.00 | 3/26/2019 | FINRA fines Citigroup $1.25 million and an additional $55,000 |
| 69 | Oppenheimer Funds | 0.32% | $234.00 | 6/30/2019 | Purchased by Invesco |
| 70 | Robeco/ORIX | 0.30% | $222.30 | 9/30/2019 | Part of AXA |
| 71 | Carlyle Group | 0.30% | $222.00 | 9/30/2019 | The Carlyle Group Completes Conversion to a Corporation |
| 72 | BrightSphere | 0.29% | $217.00 | 9/30/2019 | CEO buys 50,000 shares on 12/31/19 |
| 73 | Voya (ING) | 0.29% | $217.00 | 9/30/2019 | FINRA fined Voya $125,982 |
| 74 | TCW Group | 0.29% | $211.00 | 9/30/2019 | Nippon Life buys 25% stake in TCW |
| 75 | Lazard Mgmt. Group | 0.28% | $207.70 | 9/30/2019 | Lazard CEO to speak at Goldman Sachs conference |
| 76 | Pictet | 0.26% | $192.00 | 9/30/2019 | Pictet changes its Asia market management |
| 77 | Lord Abbett & Co | 0.25% | $185.30 | 9/30/2019 | Lord Abbett Portfolio Manager Yoana Koleva Wins 2019 Women in Asset Management Award |
| 78 | Putnam Investments | 0.24% | $180.00 | 11/30/2019 | Fund Ranked #1 out of Nearly 300 Funds in the Core Bond Category |
| 79 | American Century Investments | 0.23% | $170.00 | 3/31/2019 | Nomura buys 40% |
| 80 | IGM Financial | 0.23% | $166.40 | 11/30/2019 | Purchased Mackenzie. AUM up. |
| 81 | Bridgewater Associates | 0.22% | $160.00 | 9/8/2019 | The worlds largest hedge fund |
| 82 | Victory Capital | 0.20% | $149.50 | 11/30/2019 | Increased AUM by, not 12.8% but 128% in one quarter. $64.1 Billion to $149.5 Billion! Victory Capital purchased USAA's Investment management business. |
| 83 | Doubleline | 0.20% | $147.00 | 9/30/2019 | Conssitant AUM increases. Well done. |
| 84 | Ares Management | 0.20% | $144.00 | 9/30/2019 | Ares Management announces acquisition Of three Texas wind farms |
| 85 | Raymond James | 0.19% | $143.10 | 9/30/2019 | To expand into Canada |
| 86 | GAM Investors | 0.19% | $139.00 | 9/30/2019 | Changed brand from Gabelli Investors to "GAM" |
| 87 | OakTree | 0.17% | $122.00 | 9/30/2019 | Brookfield to acquire 62% of Oaktree |
| 88 | The Hartford | 0.16% | $120.00 | 9/30/2019 | Named "2019 Military Friendly Employer" |
| 89 | TPG Capital | 0.16% | $119.00 | 9/30/2019 | Owned by Tarrant Capital Group |
| 90 | Artisan Partners Financial | 0.16% | $117.10 | 9/30/2019 | Steady AUM growth |
| 91 | Conning | 0.15% | $113.00 | 9/30/2019 | Conning Completes Strategic Investment in Global Evolution |
| 92 | MAN Group | 0.15% | $112.70 | 9/30/2019 | Man Group appoints John Cryan as Chairman |
| 93 | Harris Associates | 0.15% | $111.00 | 9/30/2019 | Harris' Kat Chairez Named to Crains 40 Under 40 |
| 94 | Virtus Investment Partners | 0.14% | $105.00 | 6/30/2019 | Buys Sustainable Growth Advisors |
| 95 | Mercer Advisors | 0.14% | $100.00 | 12/19/2019 | Three Mercer advisors awarded best wealth advisors over $5 billion dollars |
| 96 | US Bancorp | 0.13% | $97.00 | 9/30/2019 | U.S. Bancorp may close 450 branches |
| 97 | Waddell & Reed | 0.09% | $68.80 | 9/30/2019 | Is looking to move the HQ somewhere in Missouri to save costs |
| 98 | Oakmark Funds | 0.09% | $68.00 | 9/30/2019 | AUM is trending down after Q1 increase |
| 99 | Robert W Baird & Co | 0.08% | $62.00 | 9/30/2019 | FINRA fined Robert W Baird $150,000 |
| 100 | Quilter (was Old Mutual) | 0.08% | $59.60 | 9/30/2019 | Quilter to sell the life insurance division for $555.7 million. |
| 101 | Sterling Capital | 0.08% | $58.00 | 9/30/2019 | Sterling Capital Equity Income Fund (BEGIX) Ranked in the First Percentile of its Morningstar(1) Category for 15 Years |
| 102 | William Blair Funds | 0.07% | $54.20 | 9/30/2019 | William Blair passed on 11/21/19 |
| 103 | Thornburg Asset Management | 0.07% | $49.40 | 3/31/2019 | Thornburg Appoints Ben Kirby and Jeff Klingelhofer as Co-Heads of Investments |
| 104 | Causeway Capital Management | 0.07% | $48.60 | 9/30/2019 | |
| 105 | Fortress Investment Group | 0.06% | $41.50 | 9/30/2019 | Fortress Investment Group Sells Long Beach Airport Plaza Office Properties |
| 106 | AGF Management Limited | 0.05% | $37.40 | 8/31/2019 | AGF Management Limited Declares Fourth Quarter 2019 Dividend |
| 107 | Pzena | 0.05% | $36.70 | 8/31/2019 | Pzena internally re-organizing with restructuring and buyouts Q1 2020. |
| 108 | Matthews Asia Funds | 0.04% | $27.10 | 11/30/2019 | Matthews Asia Hires Lindsay Wright as Head of Asia and Global Chief Operating Officer |
| 109 | Dyal Capital Partners | 0.03% | $21.70 | 9/30/2019 | Purchased by Neuberger Berman |
| 110 | Robinhood Financial | 0.03% | $20.00 | 9/30/2019 | Joins the free EFT commission charge. FINRA fines Robinhood $1.25 million on 12/9/19 |
| 111 | Davis Select Advisers | 0.03% | $19.80 | 9/30/2019 | |
| 112 | Manning & Napier | 0.03% | $19.30 | 9/30/2019 | "Manning & Napier loses two PMs, liquidate three funds", per Citywire |
| 113 | Reams Asset Mgmt | 0.03% | $18.50 | 9/30/2019 | Purchased by Raymond James |
| 114 | Touchstone Investments | 0.02% | $18.00 | 5/1/2019 | Touchstone Investments Names Rockefeller Asset Management Sub-Advisor to Touchstone International ESG Equity Fund |
| 115 | Glenmede Investment Management | 0.02% | $17.60 | 9/30/2019 | |
| 116 | Tweedy Browne Co | 0.02% | $15.10 | 3/30/2019 | Warren Buffet's former investment firm |
| 117 | Impax Asset Group | 0.02% | $15.00 | 10/31/2019 | Buying PAX with 9.4 Billion in AUM |
| 118 | Southeastern Asset Management | 0.02% | $14.00 | 9/30/2019 | Southeastern Asset Management has a new CEO |
| 119 | Ariel Investments | 0.02% | $13.00 | 6/30/2019 | Melody Hudson is new Co-CEO |
| 120 | Royce Funds | 0.02% | $12.90 | 6/30/2019 | Part of Legg Mason |
| 121 | 1251 Capital Group | 0.02% | $12.50 | 9/6/2019 | Buying Emerald & Ziegler Capital |
| 122 | Brown Brothers Harriman | 0.02% | $12.50 | 3/31/2019 | BBH Capital Partners Completes Investment In Bradford Airport Logistics |
| 123 | Pacific Global Asset Management | 0.02% | $12.10 | 9/30/2019 | Part of Pacific Life |
| 124 | Sterne Agee (SA Stone) | 0.02% | $12.00 | 9/30/2019 | Rebranding from Sterne Agee to "SA Stone" |
| 125 | FIS Group | 0.01% | $4.70 | 3/31/2019 | FINRA fine of $25,000. Lost half of AUM. |
| 126 | Westchester Capital | 0.01% | $3.70 | 9/30/2019 | Boasts zero broker turnover |
| 127 | Z Capital Group | 0.00% | $2.80 | 12/5/2019 | Buys company fo4 580 million dollars |
| 128 | Emerald | 0.00% | $2.80 | 9/30/2019 | |
| 129 | Park Avenue Securities | 0.00% | $2.10 | 9/30/2019 | FINRA fines Park Avenue Securities $640,522 |
| 130 | Saturna Capital | 0.00% | $2.10 | 9/30/2019 | Saturna Capitals President Appointed to Newly Formed SEC Asset Management Advisory Committee |
| 131 | Grayscale Investments | 0.00% | $2.10 | 9/30/2019 | Grayscale Gets Regulatory Nod From FINRA for Ethereum Trust to Trade on OTC Markets for using Block-Chain transactions |
| 132 | Great Point Capital | 0.00% | $1.50 | 9/30/2019 | Great Point Capital teaming with Lionsgate to start a Film Studio in New York |
| 133 | Heartland Advisors | 0.00% | $1.30 | 9/30/2019 | Moving to BMO tower |
| 134 | Ross Sinclair & Associates | 0.00% | $0.80 | 12/4/2019 | AUM is up but has to pay a $200,000 FINRA fine. |
| 135 | Lafayette Investments | 0.00% | $0.30 | 9/30/2019 | Buys Ryanair Holdings |
| "========= | "========= | ||||
| 100% | $73,814.40 |
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