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Last update: 8/12/2020

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Ranked by
AUM
on 8/12/20
Company NameNew AUMUpdateCurrent NewsClick to get
Company
Info
1Black Rock Funds$6,840.00 6/30/2020Plans $1.1 Billion Stock Repurchase. AUM up $400 B.Request info...
2Vanguard$6,200.00 6/30/2020Vanguard Announces Senior Leadership Rotations.Request info...
3Charles Schwab$3,700.00 6/30/2020Charles Schwab Announces Plan to Adopt thinkorswim Trading Platforms as Part of TD Ameritrade Integration. AUM up $500 B.Request info...
4JP Morgan$3,210.00 6/30/2020JP Morgan fined $1.5 Million for overcharges by SECRequest info...
5State Street Global Advisors$3,050.00 6/30/2020SEC fined State Street $40 million and possible $380 million in repayments. AUM up $550 B.Request info...
6Fidelity Investments$2,915.00 3/31/2020Fidelity settles 401k class-action lawsuit for $28.5 million.Request info...
7BofA Merrill Lynch$2,450.00 6/30/2020FINRA fine of $150,000 for Merrill Lynch on 5/13/20
8BNY Mellon (Dreyfus)$2,000.00 6/30/2020Mellon whistleblower gets $50 million.Request info...
9PIMCO$1,920.00 6/30/2020Owned by Allianz. AUM up 10%.Request info...
10Capital Group$1,900.00 3/19/2020Wins 13 Lipper awards. 3/6/20Request info...
11Prudential Investments$1,605.00 8/4/2020FINRA fine of $1 Million for lax recordsRequest info...
12Amundi Asset Mgmt$1,592.00 6/30/2020Amundi to acquire Banco Sabadell Asset Management divisionRequest info...
13Legal & General Investments$1,570.00 6/30/2020Invests into Australian mortgage businessRequest info...
14TD Ameritrade$1,300.00 12/31/2019To be purchased by Charles Schwab. Selling for $26 Billion. Fined $250,000 by FINRA on 12/30/19. Request info...
15T Rowe Price$1,220.00 6/30/2020"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...
16Sun Life Global Investments$1,023.00 3/31/2020Sun Life Global Investments reduces select mutual funds' management fees. AUM level.Request info...
17Natixis Global Associates$1,017.20 6/30/2020Natixis fights 2019 French regulator $3M fine. AUM up.Request info...

18Northern Trust$1,000.00 6/30/2020$250 Million cost cutting program has started. AUM up 5%.Request info...
19TIAA / Nuveen$1,000.00 6/30/2020TIAA closes life insurance divisionRequest info...
20Wellington Management$1,000.00 3/31/2020Focuses on climate change issues for giving and PRRequest info...
21Insight Investors$959.356/30/2020Expands Phoenix Headquarters. Insight Acquires French Digital Consulting Company vNext. AUM up 10%Request info...
22UBS$928.006/30/2020UBS fined $10 Million by SEC. AUM up.Request info...
23Ameriprise Financial$900.006/30/2020FINRA fines Ameriprise $850K. AUM up 12%.Request info...
24Goldman Sachs Asset Management$874.504/30/2019!!Fined $130,000 by FINRA on 12/19/2019.Request info...
25AXA$866.006/30/2020FINRA fines AXA $772,000Request info...
26Invesco$863.506/30/2020Invesco to pay $105 million in finesRequest info...
27DWS | Deutsche Asset Management$838.006/30/2020Rebranding to "DWS". AUM up 8% after a bad year.Request info...
28Manulife Asset Mgmt$800.003/31/2020AUM up 12%.Request info...
29Legg Mason$787.406/30/2020To be purchased by Franklin TempletonRequest info...
30Affiliated Managers Group (AMG)$778.006/30/2020AMG Elects Dwight D. Churchill as Chairman of its Board of DirectorsRequest info...
31Raymond James$774.006/30/2020To expand into CanadaRequest info...
32Principal Financial Group$701.806/30/2020Principal Announces New $900 Million Share Repurchase Authorization. AUM up 10%.
33Standard Life Aberdeen (UK)$667.526/30/2020AUM drops againRequest info...
34Morgan Stanley$665.006/30/2020FINRA fine of $120,000 on 5/1/20. AUM is up.Request info...
35Federated Hermes (was Federated Investors)$628.806/30/2020Purchased Hermes and rebranded to Federated HermesRequest info...
36BNP Paribas$627.006/30/2020FINRA fine of $15 million over money laundering controls - Dec 2019Request info...
37Franklin Templeton$622.806/30/2020To acquire Legg Mason. SEC fines Franklin Templeton $250K.Request info...
38MetLife$601.403/31/2020SEC fine for $10 millionRequest info...
39AllianceBernstein$600.006/30/2020Paid a $51k self-reported fine.Request info...
40The Blackstone Group$568.007/31/2020Blackstone acquires battery energy storage pioneerRequest info...
41Geode Capital Management$564.006/30/2020As a third party, Geode Capital Management will manages Fidelity's "free" ETF index funds as the funds' sub-advisorRequest info...
42MFS Investment Management$528.006/30/2020Owned by Sun Life FinancialRequest info...
43Nomura Asset Management$518.006/30/2020FINRA fines Nomura $300,000 on 12/9/19. Tries to rebound from 2018 losses and 2019 layoffs. AUM is up.Request info...
44Wells Fargo Advisors$518.006/30/2020SEC fines Wells Fargo $3 Billion.Request info...
45Brookfield Asset Management$515.007/15/2020Brookfield acquires India telecom towersRequest info...
46Dimensional Fund Advisors$514.006/30/2020Dimensional will open its new East Coast headquarters in Charlotte.Request info...
47AVIVA Investors$495.266/30/2020Aviva Investors expands real estate development teamRequest info...
48RBC Global Wealth (CAN)$490.007/7/2020RBC to pay $3.9 million fine by SEC.Request info...
49Columbia Threadneedle$476.006/30/2020Commits to sponsor Boston Marathon through 2023Request info...
50Eaton Vance Distributors$465.307/31/2020Jessica Kung Joins Eaton Vance as Chief Human Resources Officer. AUM is up.Request info...
51Credit Sussie$446.006/30/2020Paying 6.5 Million in fines from FINRARequest info...
52Julius Baer Securities$440.526/30/2020Swiss regulators activly investigating on lax money laundering safeguards.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...
55Robeco/ORIX$400.003/31/2020Robeco rebranded to ORIX. Owned by AXARequest info...
56LPL Financial$388.626/30/2020Former LPL broker suspended and fined $10k by FINRA for overstating cllents net worth.Request info...
57Neuberger Berman$357.006/30/2020Buying Dyal Capital PartnersRequest info...
58Barings$346.006/30/2020Barings makes a bet as it enters the risky 5G market with Majority Stake Acquisition in Gigasphere Holdings LLCRequest info...
59Janus Henderson Group$336.706/30/2020Fined $2.35 million for overchargingRequest info...
60Edward Jones$320.003/31/2020Edward Jones Financial Advisors Rate Firm Highest in Overall Employee Advisor Satisfaction, According to J.D. PowerRequest info...
61SEI Investments$318.006/30/2020SEI Again Recognized for Award-Winning Fund Performance in 2019
February 6, 2020
Request info...
62Dodge & Cox$313.209/30/2019!!Request info...
63Stifel 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...
64Frank Russell Investments$284.806/30/2020TA Associates and Reverence Capital Partners Complete Acquisition of Russell Investments from London Stock Exchange GroupRequest info...
65Guggenheim Partners$280.006/30/2020Walsh Named Among the 100 Most Influential Women in U.S. FinanceRequest info...
66New York Life/Mainstay$267.006/30/2020Senior leadership changes in progressRequest info...
67BMO Global Asset Group$259.006/30/2020Kristi Mitchem is new CEORequest info...
68Loomis Sayles & Co$251.306/30/2020Owned by NatixisRequest info...
69Voya (ING)$230.006/30/2020FINRA fined Voya $125,982Request info...
70BrightSphere$225.006/30/2020CEO buys 50,000 shares on 12/31/19Request info...
71TCW Group$225.006/30/2020Nippon Life buys 25% stake in TCWRequest info...
72Carlyle Group$221.006/30/2020Glenn Youngkin to retire as co-CEO of the Carlyle Group, Kewsong Lee will remain as CEORequest info...
73Lord Abbett & Co$198.506/30/2020Lord Abbett Continues to Light the Way for LGBTQ+ InclusionRequest info...
74Lazard Mgmt. Group$190.606/30/2020Downsizing in progress. AUM is up.Request info...
75Pictet$183.003/31/2020Pictet raises EUR700 million for first real estate fund and completes two transactionsRequest info...
76Conning$180.306/30/2020Conning Completes Strategic Investment in Global EvolutionRequest info...
77American Century Investments$178.003/31/2020Nomura buys 40%Request info...
78IGM Financial$171.007/31/2020Purchased Mackenzie. AUM up.Request info...
79Putnam Investments$169.006/30/2020Fund Ranked #1 out of Nearly 300 Funds in the Core Bond CategoryRequest info...
80Bridgewater Associates$138.003/31/2020The worlds largest hedge fund takes a huge hit from pandemic.Request info...
81Doubleline$135.003/31/2020Jeffrey Gundlach has become the face of Doubleline.Request info...
82Victory Capital$129.106/30/2020Still incorporating USAA's investment business.Request info...
83Artisan Partners Financial$126.606/30/2020Steady AUM growthRequest info...
84GAM Investors$126.006/30/2020Changed brand from Gabelli Investors to "GAM". Fined $500k by Swiss regulator.Request info...
85OakTree$122.106/30/2020Brookfield to acquire 62% of OaktreeRequest info...
86Fisher Investments$121.006/30/2020Potential $2.5 million in regulary fines for Berthel FisherRequest info...
87US Bancorp$112.006/30/2020SEC fines US Bancorp $15 Million.Request info...
88Virtus Investment Partners$108.406/30/2020Virtus Investment Partners and AllianzGI announce US strategic partnershipRequest info...
89MAN Group$104.203/31/2020Man Group appoints John Cryan as ChairmanRequest info...
90The Hartford$102.006/30/2020The Hartford Donates $1M To U.S. Small Businesses To Aid In COVID-19 RecoveryRequest info...
91Harris Associates$86.406/30/2020Owned by NatixisRequest info...
92TPG Capital$79.006/30/2020Owned by Tarrant Capital GroupRequest info...
93Robert W Baird & Co$73.006/30/2020FINRA fined Robert W Baird $150,000Request info...
94Waddell & Reed$65.006/30/2020Is looking to move the HQ somewhere in Missouri to save costsRequest info...
95Fort Washington Advisors$60.906/30/2020Owned by Western SouthernRequest info...
96Sterling Capital$59.006/30/2020FINRA 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...
97William Blair Funds$56.806/30/2020William Blair passed on 11/21/19. AUM up 10%.Request info...
98Oakmark Funds$49.006/30/2020Owned by Natixis via Harris AssociatesRequest info...
99Quilter (was Old Mutual)$47.823/31/2020Quilter to sell the life insurance division for $555.7 million.Request info...
100Fortress Investment Group$41.703/31/2020Fortress Investment Group Sells Long Beach Airport Plaza Office PropertiesRequest info...
101Glenmede Investment Management$41.0012/31/2019!!Request info...
102Thornburg Asset Management$40.5212/31/2019!!Thornburg Appoints Ben Kirby and Jeff Klingelhofer as Co-Heads of InvestmentsRequest info...
103Causeway Capital Management$38.106/30/2020AUM is down.Request info...
104AGF Management Limited$37.006/30/2020Kevin McCreadie Announces Changes to AGF’s Senior Leadership TeamRequest info...
105Sculptor | Och-Ziff$35.508/1/2020Rebranding from Och-Zill to "Sculptor"Request info...
106Oppenheimer Funds$32.106/30/2020Purchased by Invesco. Fined $85,000 and to pay 3.8 million in restitution by FINRA on 12/20/19.Request info...
107Pzena$32.006/30/2020Pzena internally re-organizing with restructuring and buyouts Q1 2020.Request info...
108Impax Asset Group$24.207/31/2020Buying PAX with 9.4 Billion in AUMRequest info...
109Davis Select Advisers$23.703/24/2020Request info...
110Matthews Asia Funds$22.006/30/2020Matthews Asia Hires Lindsay Wright as Head of Asia and Global Chief Operating OfficerRequest info...
111Dyal Capital Partners$21.706/30/2020Purchased by Neuberger BermanRequest info...
112Reams Asset Mgmt.$20.106/30/2020Purchased by Raymond JamesRequest info...
113Robinhood Financial$20.006/30/2020Joins the free EFT commission charge. FINRA fines Robinhood $1.25 million on 12/9/19Request info...
114Mercer Advisors$18.506/30/2020Mercer buys Argosy Wealth Mgmt RIA for $330 million.Request info...
115Manning & Napier$18.106/30/2020"Manning & Napier loses two PMs, liquidate three funds", per CitywireRequest info...
116Touchstone Investments$18.005/1/2019!!Touchstone Investments Names Rockefeller Asset Management Sub-Advisor to Touchstone International ESG Equity Fund. Owned by Western & SouthernRequest info...
117Southeastern Asset Management$17.0012/31/2019Southeastern Asset Management has a new CEORequest info...
118Pacific Global Asset Management$16.603/31/2020Part of Pacific LifeRequest info...
119Ares Management$14.406/30/2020SEC fines Ares $1 MillionRequest info...
120Brown Brothers Harriman$14.203/31/2020BBH Capital Partners Completes Investment In Bradford Airport LogisticsRequest info...
121Axiom Capitial Management$13.403/27/2020FINRA fine of $37,000 on 5/26/20Request info...
1221251 Capital Group$12.509/30/2019!!Buying Emerald & Ziegler CapitalRequest info...
123Tweedy Browne Co$11.206/30/2020Warren Buffet's former investment firmRequest info...
124Royce Funds$11.106/30/2020Part of Legg MasonRequest info...
125Ariel Investments$10.203/31/2020Melody Hudson is new Co-CEORequest info...
126Xponance (was FIS Group)$9.702/29/2020Rebranded to Xponance from FIS GroupRequest info...
127Park Avenue Securities$4.003/31/2020FINRA fines Park Avenue Securities $640,522Request info...
128Saturna Capital$4.0012/31/2019Saturna Capital’s President Appointed to Newly Formed SEC Asset Management Advisory CommitteeRequest info...
129Westchester Capital$3.906/30/2020Boasts zero broker turnoverRequest info...
130Great Point Partners$2.803/31/2020Great Point Capital teaming with Lionsgate to start a Film Studio in New YorkRequest info...
131Emerald Mutual Funds$2.403/31/2020New company based in Boston.Request info...
132SA Stone (was Sterne Agee)$1.4012/31/2019Rebranding from Sterne Agee to "SA Stone"Request info...
133Heartland Advisors$1.206/30/2020Moving to BMO towerRequest info...
134Ross Sinclair & Associates$0.7012/31/2019AUM is up but has to pay a $200,000 FINRA fine.Request info...
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