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Investment Industry Company Directory
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Ranking the top 100+ investment companies by Assets Under Management (AUM) quarterly.
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Last update: 11/22/2021
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| Ranked by AUM on 11/22/21 | Company Name | AUM (in Billions) | Date | News | Click to get Company Info |
|---|---|---|---|---|---|
| 1 | BlackRock Funds | $9,460.0 | 9/30/2021 | Will China's problems affect Blackrock? | Request info... |
| 2 | Vanguard | $8,300.0 | 9/1/2021 | Vanguard completes acquisition of "Just Invest." | Request info... |
| 3 | Charles Schwab | $7,980.0 | 10/3/2021 | "Charles Schwab says SEC investigating robo adviser disclosures. Warns of Q2 results hit," per Reuters. | Request info... |
| 4 | BarclayHedge | $4,320.0 | 8/16/2021 | "CEO is out amid Epstein scandal inquiry," per NYT - 11/1/21. | Request info... |
| 5 | Fidelity Investments | $4,227.5 | 9/30/2021 | Fidelity Investments to Add Nearly 1,000 New Jobs, Almost Doubling Presence in Florida. | Request info... |
| 6 | State Street Global Advisors | $3,900.0 | 6/30/2021 | DOJ announces fine State Street Corporation of $115 Million for a Criminal Penalty on 5/13/21. | Request info... |
| 7 | JP Morgan | $3,000.0 | 6/30/2021 | FINRA fine of $300k on 8/20/21. | Request info... |
| 8 | Capital Group | $2,600.0 | 9/30/2021 | Capital Group announces licensing agreement with Fidelity. | Request info... |
| 9 | BNY Mellon (Dreyfus) | $2,300.0 | 9/30/2021 | To pay $150 million in German tax bills. | Request info... |
| 10 | PIMCO/Allianz | $2,200.0 | 9/30/2021 | Former PIMCO CEO gets 9 months for college scandal. | Request info... |
| 11 | Amundi Asset Mgmt | $2,051.1 | 9/30/2021 | AUM down slightly in Q3. | Request info... |
| 12 | Legal & General Investments | $1,800.0 | 6/30/2021 | Legal & General announces a c£310 million buy-in with Reuters Supplementary Pension Scheme. | Request info... |
| 13 | Prudential Investments | $1,700.0 | 9/30/2021 | Made $200 million in diversity pleads. FINRA fine of $1 Million for lax records | Request info... |
| 14 | T Rowe Price | $1,610.0 | 9/30/2021 | AUM is slightly down in Q3. | Request info... |
| 15 | Franklin Templeton | $1,572.0 | 9/30/2021 | AUM is slightly up in A3. | Request info... |
| 16 | Invesco | $1,528.6 | 9/30/2021 | Invesco to launch "green" ETFs. Invesco to pay $105 million in fines. | Request info... |
| 17 | Northern Trust | $1,500.0 | 7/30/2021 | AUM is steady in Q3. | Request info... |
| 18 | Morgan Stanley | $1,500.0 | 6/30/2021 | Agrees to pay $1.7 million in restitution and interest. | Request info... |
| 19 | Natixis Global Associates | $1,339.5 | 9/30/2021 | AUM is steady in Q3. | Request info... |
| 20 | TIAA / Nuveen | $1,331.0 | 9/30/2021 | AUM is up in Q3. $97 million SEC fine. 7/13/21. TIAA closes life insurance division. | Request info... |
| 21 | Wellington Management | $1,288.7 | 9/30/2021 | Jean Hynes to Succeed Brendan Swords as Chief Executive Officer of Wellington Management | Request info... |
| 22 | BofA Merrill Lynch | $1,200.0 | 9/30/2021 | Reduces by over 400 Advisors in Q2. AUM drops in Q3. |  |
| 23 | UBS | $1,200.0 | 9/30/2021 | UBS appealing $5.4 Billion French penalty. | Request info... |
| 24 | LPL Financial | $1,133.0 | 9/30/2021 | AUM is up. | Request info... |
| 25 | Insight Investors | $1,024.0 | 6/30/2021 | Insight Recognized Among Fortune 2021 Worlds Most Admired Companies | Request info... |
| 26 | Principal Financial Group | $981.0 | 9/30/2021 | Principal to discontinue sales of all U.S. retail fixed annuities and consumer life insurance products. |  |
| 27 | AXA | $974.0 | 6/30/2021 | AXA to divest its Singapore business. FINRA fines AXA $772,000. AUM is down Q3. | Request info... |
| 28 | DWS | Deutsche Asset Management | $972.9 | 6/30/2021 | 9/10/21 - Censored and fined $800,000 by FINRA. | Request info... |
| 29 | Geode Capital Management | $933.0 | 9/30/2021 | Huge losses on derivative trades forced Geode to close down its hedge-fund business. | Request info... |
| 30 | Manulife Asset Mgmt | $826.0 | 9/30/2021 | AUM is down. | Request info... |
| 31 | AllianceBernstein | $765.0 | 10/31/2021 | Paid a $51k self-reported fine. AUM is up in Q3. | Request info... |
| 32 | Affiliated Managers Group (AMG) | $748.0 | 9/30/2021 | AMG Announces Investment in Abacus Capital Group | Request info... |
| 33 | Pictet | $746.0 | 9/30/2021 | Collardi out after money laundering scandal. | Request info... |
| 34 | The Blackstone Group | $731.0 | 9/30/2021 | "AUM is up 21%" per press release. | Request info... |
| 35 | MFS Investment Management | $684.3 | 9/30/2021 | Owned by Sun Life Financial | Request info... |
| 36 | MetLife | $664.7 | 9/30/2021 | AUM was up but now plateauing and stable. | Request info... |
| 37 | Dimensional Fund Advisors | $653.0 | 9/30/2021 | Dimensional will open its new East Coast headquarters in Charlotte. | Request info... |
| 38 | Brookfield Asset Management | $650.0 | 9/30/2021 | Brookfield hires ex-regulator to head up the insurance business. | Request info... |
| 39 | Nomura Asset Management | $640.0 | 9/30/2021 | Announces Investment in OSARO focusing on AI Manufacturing | Request info... |
| 40 | Federated Hermes (was Federated Investors) | $634.0 | 10/31/2021 | Purchased Hermes and rebranded to Federated Hermes | Request info... |
| 41 | "ABDN" |Standard Life Aberdeen | $616.5 | 6/30/2021 | Rebranding to "ABDN." | Request info... |
| 42 | Wells Fargo Advisors | $603.0 | 3/31/2021 | Wells Fargo still has 12,600 advisors as of Q2. | Request info... |
| 43 | New York Life/Mainstay | $600.0 | 6/30/2021 | Combining with CBRE as a sub advisor. | Request info... |
| 44 | Ameriprise Financial | $593.0 | 7/26/2021 | Ex-Amerprise broker case to US Supreme court. | Request info... |
| 45 | Columbia Threadneedle | $593.0 | 6/30/2021 | Melda Mergen to become Global Head of Equities | Request info... |
| 46 | Eaton Vance Distributors | $583.1 | 12/31/2021 | 2021 Lipper Awards. Morgan Stanley Closes Acquisition of Eaton Vance on 3/1/21. | Request info... |
| 47 | Julius Baer Securities | $531.0 | 6/30/2021 | $79 Million in Penalties for money laundering per 5/27/21 DOJ press release. | Request info... |
| 48 | Edward Jones | $519.8 | 11/4/2021 | Has 41,000 advisors | Request info... |
| 49 | HSBC | $508.7 | 9/30/2021 | FINRA fine of $650,000 on 2/2/21. | Request info... |
| 50 | Credit Sussie | $487.0 | 3/31/2021 | 10/19/21 SEC fine of $475 million. FINRA fine of $350,000 on 4/5/21. Credit Sussie to fix scandals with recovery plan. | Request info... |
| 51 | AVIVA Investors | $481.6 | 6/30/2021 | UK ordered Aviva to refund leaseholders. | Request info... |
| 52 | Apollo Management | $481.1 | 9/30/2021 | AUM is up. | Request info... |
| 53 | RBC Global Wealth (CAN) | $467.0 | 9/30/2021 | 9/17/21 - SEC fine of $800,000. | Request info... |
| 54 | BNP Paribas | $465.4 | 9/30/2021 | French charged BNP Paribas for laundering Gabon's assets. | Request info... |
| 55 | Aegon | $450.7 | 9/30/2021 | Owns Transamerica who just got $4.4 million in FINRA fines. | Request info... |
| 56 | Neuberger Berman | $437.0 | 9/30/2021 | AUM is slightly up in A3. | Request info... |
| 57 | KKR | $429.0 | 6/30/2021 | To buy Cyprus One," per Reuters. | Request info... |
| 58 | Janus Henderson Group | $419.3 | 9/30/2021 | AUM is slightly down in Q3. | Request info... |
| 59 | Barings | $382.0 | 6/30/2021 | Barings Names Eric Lloyd President, David Mihalick Head of Private Assets | Request info... |
| 60 | Mercer Advisors | $362.0 | 5/31/2021 | Mercer buys Argosy Wealth Mgmt. RIA for $330 million. | Request info... |
| 61 | Loomis Sayles & Co | $353.7 | 9/30/2021 | Loomis, Sayles announces The Fuss Family Mental Health Initiative. | Request info... |
| 62 | Frank Russell Investments | $330.1 | 6/30/2021 | Announces many green and climate ETFs. | Request info... |
| 63 | SEI Investments | $300.0 | 9/30/2021 | AUM is up 22%. | Request info... |
| 64 | Swiss Life Asset Mgmt | $300.0 | 6/30/2021 | DOJ to charge $77 million in fines. 5/14/21. | Request info... |
| 65 | Citi Group | $300.0 | 3/31/2021 | FINRA 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... |
| 66 | Carlyle Group | $293.0 | 9/30/2021 | AUM is up 19%. | Request info... |
| 67 | BMO Global Asset Group | $273.0 | 9/30/2021 | Ameriprise Financial to Acquire BMOs EMEA Asset Management Business | Request info... |
| 68 | TCW Group | $265.8 | 9/30/2021 | "TCWs Investment Chief and CEO Set Departures After Employees Threaten to Quit" per WSJ. | Request info... |
| 69 | IGM Financial | $265.2 | 9/30/2021 | Purchased Mackenzie. AUM up. Rebranding from IGW to IG Wealth Mgmt. | Request info... |
| 70 | Sun Life Global Investments | $262.0 | 9/30/2021 | Appoints Anna Murphy as head of the Global ESG group. PinnacleCare to be purchased by Sun Life | Request info... |
| 71 | Guggenheim Partners | $259.0 | 9/30/2021 | AUM is down in Q3. | Request info... |
| 72 | Voya (ING) | $253.0 | 9/30/2021 | FINRA fined Voya $125,982. Steady AUM in Q3. | Request info... |
| 73 | Raymond James | $242.0 | 6/30/2021 | AUM up 11%. $47,500 FINRA fine. | Request info... |
| 74 | Lazard Mgmt. Group | $239.8 | 9/30/2021 | Downsizing in progress. | Request info... |
| 75 | Goldman Sachs Asset Management | $234.0 | 9/30/2021 | To pay the last $1.26 Billion in fines of the total of $2.3 Billion. June 2021. | Request info... |
| 76 | Robert W Baird & Co | $231.5 | 9/30/2021 | Baird Capital Portfolio Company ReMed Rebrands as Collage. FINRA fined Robert W Baird $150,000 | Request info... |
| 77 | Bridgewater Associates | $223.0 | 7/9/2021 | Ray Dalio is starting a new China fund. | Request info... |
| 78 | American Century Investments | $218.0 | 3/11/2021 | Strategic partnership with Nomra. | Request info... |
| 79 | Lord Abbett & Co | $210.1 | 9/30/2021 | Naming new partners and managing directors. | Request info... |
| 80 | Conning | $209.4 | 9/30/2021 | Matt Daly Discusses ESG Investing Trends for Insurers | Request info... |
| 81 | Putnam Investments | $201.0 | 10/31/2021 | Putnam Investments Appoints Brett S. Goldstein Co-Chief Investment Officer of Global Asset Allocation | Request info... |
| 82 | Virtus Investment Partners | $187.4 | 10/31/2021 | Virtus Investment Partners and AllianzGI announce US strategic partnership | Request info... |
| 83 | US Bancorp | $181.0 | 9/30/2021 | U.S. Bancorp to Acquire MUFG Union Bank. 9/21/21. | Request info... |
| 84 | Artisan Partners Financial | $179.7 | 10/31/2021 | No news to post. | Request info... |
| 85 | AQR Captial | $164.4 | 5/27/2021 | Best LBGTQ place to work | |
| 86 | Victory Capital | $159.9 | 9/30/2021 | Victory Capital Closes Acquisition of New Energy Capital Partners. 11/1/21. | Request info... |
| 87 | OakTree | $158.0 | 9/30/2021 | Oaktree enters a bidding war to buy a sandal ridden casino in Australia. | Request info... |
| 88 | The Hartford | $152.1 | 9/30/2021 | The Hartford agrees to settlement for $650 million to the Boy Scotts of America. | Request info... |
| 89 | Fisher Investments | $148.0 | 9/30/2021 | Potential $2.5 million in regular fines for Berthel Fisher. | Request info... |
| 90 | Quilter (was Old Mutual) | $146.4 | 9/30/2021 | Quilter to sell the life insurance division for $555.7 million. | Request info... |
| 91 | PineBridge Investments | $141.8 | 9/30/2021 | PineBridge announces expansion into Florida. AUM is up in Q3. | Request info... |
| 92 | Doubleline Capital | $137.0 | 9/30/2021 | Jeffrey Gundlach has become the face of Doubleline. | Request info... |
| 93 | MAN Group | $135.0 | 6/30/2021 | Man AHL receives approval for QFII license in China | Request info... |
| 94 | CVC Partners | $125.0 | 9/30/2021 | "The scandal-hit Japanese electronics giant Toshiba, has received an offer from CVC Capital Partners," per BBC source. | Request info... |
| 95 | Harris Associates | $121.0 | 9/30/2021 | Owned by Natixis. AUM is slightly down. | Request info... |
| 96 | Stifel Financial Corp | $117.8 | 11/4/2021 | Stifel to acquire Vining Sparks. 9/29/21. | Request info... |
| 97 | BrightSphere | $114.0 | 9/30/2021 | BrightSphere completes sale of Affiliate Campbell Global | Request info... |
| 98 | GAM Investors | $111.0 | 9/30/2021 | Changed brand from Gabelli Investors to "GAM". Fined $500k by Swiss regulator. | Request info... |
| 99 | TPG Capital | $108.0 | 6/30/2021 | TPG founder fired as a result of the college admissions cheating scandal | Request info... |
| 100 | LSV Asset Management | $107.0 | 9/30/2021 | Behavioral Finance & bottoms up approach | Request info... |
| 101 | Fortress Investment Group | $102.1 | 9/30/2021 | "SoftBank Is Considering a Sale of Fortress Investment Group," per Yahoo. | Request info... |
| 102 | Cetera Financial Group | $100.0 | 9/30/2021 | New FINRA find on 6/25/21 of $125,000. Purchased part of VOYA's Wealth Management. | Request info... |
| 103 | Empower | $100.0 | 9/30/2021 | "Empower Retirement subsidiary fined $1.5 million for not reporting cyberattacks on some retirement accounts," The Denver Post. | Request info... |
| 104 | Robinhood Financial | $100.0 | 3/31/2021 | The latest FINRA fine is for $70 Million dollars on 8/20/21. | Request info... |
| 105 | Transamerica | $89.0 | 4/1/2021 | Transamerica pays $5.4 million Transamerica on retirement plans. | Request info... |
| 106 | Dodge & Cox | $88.9 | 6/30/2021 | Dodge & Cox Investment Leadership & Committee Changes. | Request info... |
| 107 | First Eagle | $88.0 | 6/30/2021 | AUM is now stable. | Request info... |
| 108 | Sterling Capital | $86.0 | 9/30/2021 | Owned by BB&T/Truest. | Request info... |
| 109 | Hines | $83.6 | 6/30/2021 | AUM is down. | Request info... |
| 110 | Waddell & Reed | $75.5 | 3/31/2021 | After more than one transaction, LPL Financial ultimately takes control of Waddell & Reed in 2021. | Request info... |
| 111 | Fort Washington Advisors | $73.9 | 9/30/2021 | Owned by Western Southern | Request info... |
| 112 | Blue Owl | $70.0 | 9/30/2021 | Dyal and Owl Rock formed Blue Owl. | Request info... |
| 113 | Brown Brothers Harriman | $68.0 | 6/30/2021 | 9/7/21 - State Street to acquire BBH for $3.5 Billion in cash. | Request info... |
| 114 | Oakmark Funds | $62.0 | 9/30/2021 | "David Herro's $28bn Oakmark International fund has more than 4% of its assets in embattled European bank Credit Suisse," per citywireusa. | Request info... |
| 115 | Rathbone Brothers | $55.8 | 10/21/2021 | Steady AUM in Q3. | Request info... |
| 116 | Pzena | $53.0 | 10/31/2021 | AUM is up. | Request info... |
| 117 | Impax Asset Group | $50.1 | 9/30/2021 | AUM is up 8% | Request info... |
| 118 | Glenmede Investment Management | $46.3 | 9/30/2021 | Linda Manfredonia takes over as the Delaware Regional Director | Request info... |
| 119 | William Blair Funds | $45.0 | 9/30/2021 | New Managing Director to expand William Blair Expands Investment Banking in the Denver market. | Request info... |
| 120 | Oppenheimer Funds | $43.6 | 9/30/2021 | Oppenheimer FINRA fine of $525,000 on 4/22/21. Purchased by Invesco. | Request info... |
| 121 | Thornburg Asset Management | $43.4 | 9/30/2021 | Thornburg Adds Two Co-Portfolio Managers to International Growth Strategy Team. 11/1/21 | Request info... |
| 122 | Causeway Capital Management | $42.7 | 9/30/2021 | AUM is Down | Request info... |
| 123 | AGF Management Limited | $42.4 | 10/31/2021 | Kevin McCreadie Announces Changes to AGFs Senior Leadership Team | Request info... |
| 124 | Securites America | $39.0 | 6/30/2021 | SEC fines Securities America $1.75 million for surveillance activates by broker. FINRA fine of $125,000 on 2/23/21. | Request info... |
| 125 | Sculptor | Och-Ziff | $37.2 | 11/1/2021 | Rebranding from Och-Zill to "Sculptor" | Request info... |
| 126 | Ares Management | $32.7 | 9/30/2021 | SEC fines Ares $1 Million | Request info... |
| 127 | Vantagepoint Funds | $31.0 | 9/30/2021 | Rebranding from Vantagepoint Funds to Mission Square Investments. 9/10/21. | Request info... |
| 128 | Matthews Asia Funds | $28.7 | 10/31/2021 | AUM is down slightly. | Request info... |
| 129 | Reams Asset Mgmt. | $23.3 | 9/30/2021 | Purchased by Raymond James | Request info... |
| 130 | Robeco/ORIX | $23.0 | 9/30/2021 | Robeco rebranded to ORIX. Owned by AXA | Request info... |
| 131 | Manning & Napier | $22.5 | 10/31/2021 | Manning & Napier, Inc. Announces Expiration of Shareholder Rights Agreement | Request info... |
| 132 | Davis Select Advisers | $21.6 | 9/30/2021 | Davis Advisors) provides discretionary portfolio management services, serving as investment adviser or sub-adviser for Morgan Stanley. | Request info... |
| 133 | Royce Funds | $16.2 | 9/30/2021 | Now part of Franklin Templeton via Legg Mason merger. | Request info... |
| 134 | Touchstone Investments | $16.0 | 9/30/2021 | To purchase a $7.5 Billion of AIG's portfolio. Owned by Western & Southern. | Request info... |
| 135 | Xponance (was FIS Group) | $12.0 | 11/1/2021 | Rebranded to Xponance from FIS Group | Request info... |
| 136 | Ariel Investments | $10.9 | 9/30/2021 | Melody Hudson is new Co-CEO. AUM is slightly down. | Request info... |
| 137 | Thrivent Financial | $10.7 | 9/30/2021 | Mike DeKoning joins Thrivent as senior vice president of Insurance Solutions. 10/6/21. | Request info... |
| 138 | 1251 Capital Group | $10.5 | 9/30/2021 | 1251 Capital Group invests into minority led Mar Vista. Merger with Emerald | Request info... |
| 139 | Southeastern Asset Management | $10.4 | 4/30/2021 | Steady AUM in Q3. | Request info... |
| 140 | Park Avenue Securities | $7.5 | 9/30/2021 | FINRA fines Park Avenue Securities $640,522 | Request info... |
| 141 | Emerald Mutual Funds | $6.0 | 9/30/2021 | Merdged with 1251 Capital. | Request info... |
| 142 | Saturna Capital | $5.8 | 6/30/2021 | AUM is up 20%. | Request info... |
| 143 | Tweedy Browne Co | $4.9 | 6/30/2021 | Warren Buffet's former investment firm | Request info... |
| 144 | Westchester Capital | $4.6 | 9/30/2021 | Boasts zero broker turnover | Request info... |
| 145 | SA Stone (was Sterne Agee) | $2.1 | 9/30/2021 | Rebranding from Sterne Agee to "SA Stone" | Request info... |
| 146 | E-Trade | Morgan Stanley's $13 Billion purchase of E-Trade Closes | Request info... | ||
| 147 | Dakota Securities International | Wall of Shame. Was "expelled" from FINRA on December 21, 20. The expulsion and bar are in effect pending review. | |||
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