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Last update: 4/26/2021

COVID-19. Note to investors – Investors should control what you can control. One thing you can control is which investment companies you use. (More than one may be best.) This website helps you with researching investment companies. Remember – you have investments and some people don’t. 

 

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Ranked by
AUM
on 4/26/21
Company NameAUMDateNews
1BlackRock Funds$9,000.003/31/2021BlackRock is the first investment company in the world to pass the $9 Trillion mark in AUM.
2Vanguard$7,200.001/31/2021Long-Tenured Vanguard Investment Leader John Hollyer to Retire
3Charles Schwab$7,070.003/31/2021Scheduled to lay off 1,000 employees after the TD Ameritrade merdger
4Fidelity Investments$3,800.003/2/2021Fidelity Expands Hiring Into New Geographic Areas
5State Street Global Advisors$3,500.001/25/2021SEC fined State Street $40 million and possible $380 million in repayments.
6PIMCO/Allianz$2,892.003/31/2021PIMCO Names Alec Kersman as Head of Asia?Pacific. Owned by Allianz.
7JP Morgan$2,800.004/14/2021JP Morgan fined $1.5 Million for overcharges by SEC
8Capital Group$2,300.002/23/2021Wins 20 Lipper Awards
9BNY Mellon (Dreyfus)$2,200.003/31/2021$875K FINRA Fine. 7/7/20.
10Amundi Asset Mgmt$1,900.001/1/2021Amundi enters into exclusive negotiations for the acquisition of Lyxor
11Prudential Investments$1,721.003/31/2021FINRA fine of $1 Million for lax records
12T Rowe Price$1,700.003/31/2021T. 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.
13Legal & General Investments$1,700.0012/31/2020Adds 210,000 sq feet in self storage assests.
14Franklin Templeton$1,498.002/28/2021AUM nmbers include Legg Mason purchase.
15BofA Merrill Lynch$1,400.003/31/2021Merrill, previously branded as Merrill Lynch, is an American investing and wealth management division of Bank of America.
16Invesco$1,391.502/28/2021Invesco to pay $105 million in fines
17Natixis Global Associates$1,387.7012/31/2020Natixis Investment Managers First to Gain Approval for Custom Baskets in Active Semi-transparent ETFs
18TIAA / Nuveen$1,259.0012/31/2020TIAA Appoints Thasunda Brown Duckett President and CEOs life insurance division. TIAA closes life insurance division.
19Sun Life Global Investments$1,250.0012/31/2020PinnacleCare to be purchased by Sun Life
20Goldman Sachs Asset Management$1,100.003/31/2021$1,250,000 fine by FINRA on Jan 22, 2021
21Ameriprise Financial$1,100.001/27/2021FINRA fines Ameriprise $850K.
22Northern Trust$1,100.0012/31/2020Northern Trust Wealth Management Announces Central Region Leadership Changes. $250 Million cost cutting program has started.
23UBS$1,100.0012/31/2020UBS Alpine Property Focus: Vacation homes benefit from pandemic
24Insight Investors$1,030.0012/31/2020Insight Recognized Among Fortune 2021 World’s Most Admired Companies
25Raymond James$1,020.0012/31/2020$47,500 FINRA fine.
26AXA$1,000.002/21/2021FINRA fines AXA $772,000
27Wellington Management$1,000.0012/31/2020Jean Hynes to Succeed Brendan Swords as Chief Executive Officer of Wellington Management
28DWS | Deutsche Asset Management$959.3012/31/2020Fined $2,500,000 by FINRA on 12/31/20
29LPL Financial$903.0012/31/2020Fined $6,500,000 by FINRA on 12/31/20. Has 17,000 advisors in their independent network.
30Barclay$826.3012/31/2020Fine of $650,000 on 12/1/20 by FINRA
31Morgan Stanley$781.0012/31/2020Agrees to pay $1.7 million in restitution and interest.
32Manulife Asset Mgmt$755.003/31/2021Brazilian Timberlands is aquired by Manulife Investment Management
33Affiliated Managers Group (AMG)$716.2012/31/2020AMG Announces Investment in Women-Owned Boston Common Asset Management
34AllianceBernstein$697.003/31/2021Paid a $51k self-reported fine.
35Columbia Threadneedle$671.003/31/2021To Buy BRO EMEA
36Dimensional Fund Advisors$637.004/15/2021Dimensional will open its new East Coast headquarters in Charlotte.
37MFS Investment Management$626.303/31/2021Owned by Sun Life Financial
38Federated Hermes (was Federated Investors)$619.0012/31/2020Purchased Hermes and rebranded to Federated Hermes
39Nomura Asset Management$607.003/31/2021Announces Investment in OSARO focusing on AI Manufacturing
40Wells Fargo Advisors$607.009/30/2020Wells Fargo still has 12,600 advisors as of 12/31/20.
41Brookfield Asset Management$600.004/23/2021Brookfield Asset Management Reaches Agreement with Brookfield Property Partners to Acquire 100% of BPY Units
42Geode Capital Management$595.002/5/2021No news to post.
43Eaton Vance Distributors$583.0012/31/2020Morgan Stanley Closes Acquisition of Eaton Vance on 3/1/21.
44The Blackstone Group$549.004/22/2021"AUM is is 21%" per press release.
45Edward Jones$518.0012/31/2020Has 41,000 advisors
46Julius Baer Securities$474.7012/31/2020Change in the Board of Directors of Julius Baer
47AVIVA Investors$463.303/31/2021Announces that it has acquired the CPH Highline building in Copenhagen on behalf of one of its clients. 
48Apollo Management$455.502/3/2021Apollo Funds to Acquire Majority Control of ABC Technologies Holdings Inc.
49BMO Global Asset Group$415.7012/31/2020Ameriprise Financial to Acquire BMO’s EMEA Asset Management Business
50Aegon$414.906/30/2020Owns Transamerica who just got $4.4 million in FINRA fines.
51Neuberger Berman$405.0012/31/2020Buying Alanac Realty Investors
52Janus Henderson Group$402.0012/31/2020Janus Henderson appoints Global Head of Consultant Relations
53Robeco/ORIX$400.004/21/2021Robeco rebranded to ORIX. Owned by AXA
54RBC Global Wealth (CAN)$391.009/30/2020Agreed to pay restitution of $839,803 by FINRA on 12/15/20
55Principal Financial Group$385.203/31/2021Dan Houston to Speak at BofA Securities 2021 Insurance Conference
56SEI Investments$384.003/31/2021Touts $1 Tillion in Hedge Fund Assets.
57E-Trade$346.0012/31/2020Morgan Stanley's $13 Billion purchase of E-Trade Closes
58Barings$345.0012/31/2020Announced the appointment of Paul Diouri as Chief Risk Officer
59Frank Russell Investments$326.903/31/2021TA Associates and Reverence Capital Partners Complete Acquisition of Russell Investments from London Stock Exchange Group
60Loomis Sayles & Co$321.2012/31/2020Owned by Natixis.
61Guggenheim Partners$310.0012/31/2020Walsh Named Among the 100 Most Influential Women in U.S. Finance
62Swiss Life Asset Mgmt$295.0012/31/2020Buying a Healthcare Portfilio
63New York Life/Mainstay$268.009/30/2020Senior leadership changes in progress
64TCW Group$253.003/31/2021Nippon Life buys 25% stake in TCW.
65KKR$252.0012/31/2020Investors with an institutional vision
66Carlyle Group$245.8012/31/2020Glenn Youngkin to retire as co-CEO of the Carlyle Group, Kewsong Lee will remain as CEO
67Voya (ING)$245.0012/31/2020FINRA fined Voya $125,982
68Lazard Mgmt. Group$229.7012/31/2020Downsizing in progress.
69Pictet$225.009/30/2020Pictet sells and leases its Geneva headquarters
70Lord Abbett & Co$217.9012/31/2020Lord Abbett Continues to promote LGBTQ+ Inclusion
71Citi Group$200.0012/31/2020Fine of $175,000 on 1/28/21 by FINRA
72Conning$197.7012/31/2020Matt Daly Discusses ESG Investing Trends for Insurers
73Putnam Investments$193.003/31/2021Fund Ranked #1 out of Nearly 300 Funds in the Core Bond Category
74American Century Investments$178.0010/2/2020Purchased by Capitial Group
75Fisher Investments$169.003/31/2021Potential $2.5 million in regulary fines for Berthel Fisher.
76Virtus Investment Partners$164.1010/31/2020Virtus Investment Partners and AllianzGI announce US strategic partnership
77Artisan Partners Financial$162.903/31/2021No news to post.
78Hines$160.9012/31/2020Since 1992, Hines has acquired approximately 538 projects totaling more than 215 million square feet of space
79Victory Capital$154.303/31/2021Still incorporating USAA's investment business.
80OakTree$148.0012/31/2020OakTree acquisitions has been quite recently.
81US Bancorp$148.0012/31/2020SEC fines US Bancorp $15 Million.
82AQR Captial$143.003/31/2021Best LBGTQ place to work
83Bridgewater Associates$140.0012/31/2020The worlds largest hedge fund takes a huge hit from pandemic.
84BrightSphere$140.0012/31/2020Divesting two affilates.
85The Hartford$139.4012/31/2020The Hartford Donates $1M To U.S. Small Businesses To Aid In COVID-19 Recovery
86GAM Investors$136.103/31/2021Changed brand from Gabelli Investors to "GAM". Fined $500k by Swiss regulator.
87Doubleline$136.0012/31/2020Jeffrey Gundlach has become the face of Doubleline.
88MAN Group$127.0012/31/2020Man Group appoints John Cryan as Chairman
89William Blair Funds$123.0012/31/2020William Blair and BrightSphere announced that they have signed a definitive agreement for William Blair to acquire ICM, a $3.2 billion institutional U.S. value equity investment firm
90Quilter (was Old Mutual)$118.0012/31/2020Quilter to sell the life insurance division for $555.7 million.
91Stifel Financial Corp$117.203/31/2021FINRA Press Release (on the June 2020 FINRA page) FINRA fine of $3.6 million for Stifel.
92Harris Associates$115.003/31/2021Owned by Natixis
93LSV Asset Management$104.0012/31/2020Behavioral Finance & bottoms up approach
94IG Wealth Management$98.8012/31/2020Purchased Mackenzie. AUM up. Rebranding from IGW to IG Wealth Mgmt.
95Robert W Baird & Co$93.003/31/2021FINRA fined Robert W Baird $150,000
96TPG Capital$91.0012/31/2020Owned by Tarrant Capital Group
97Oppenheimer Funds$88.0012/31/2020Purchased by Invesco.
98Dodge & Cox$81.063/31/2021Have greatly transformed ther transparancy to the good to the public and media.
99Sterling Capital$80.003/31/2021FINRA 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.
100Transamerica$77.006/30/2020Fined $4,400,000 by FINRA on 12/21/20
101Waddell & Reed$76.003/31/2021Is looking to move the HQ somewhere in Missouri to save costs
102Davis Select Advisers$70.8012/31/2020No news to post.
103Fort Washington Advisors$65.1012/31/2020Owned by Western Southern
104Credit Sussie$63.509/30/2020Paying 6.5 Million in fines from FINRA
105Oakmark Funds$60.103/31/2021Owned by Natixis via Harris Associates
106Brown Brothers Harriman$55.9012/31/2020BBH Capital Partners Completes Investment In Bradford Airport Logistics
107Rathbone Brothers$54.7012/31/2020After a rough year, Clive Bannister is the new chairman
108Fortress Investment Group$52.7012/31/2020Fortress Investment Group Sells Long Beach Airport Plaza Office Properties
109Pzena$49.203/31/2021Pzena Investment Management Opposes Staples’s Acquisition of Essendant
110Causeway Capital Management$47.0012/31/2020No news to post.
111Thornburg Asset Management$43.203/31/2021Thornburg Expands Board with Addition of Blair C. Naylor
112Standard Life Aberdeen (UK)$41.002/3/2021Focuses on envormental and socal issues.
113Glenmede Investment Management$40.0012/31/2020
114Robinhood Financial$40.006/30/2020Where to start? Wall-to-wall national news with the GameStop drama and the $65 million dollar FINRA fine on 12/17/20.
115AGF Management Limited$39.0012/31/2020Kevin McCreadie Announces Changes to AGF’s Senior Leadership Team
116Sculptor | Och-Ziff$37.004/1/2021Rebranding from Och-Zill to "Sculptor"
117Matthews Asia Funds$30.203/31/2021Per my blogs, let's just say the tone of their PR seems suspicious and predictable which is great for some investors and worrisome for others in light of the geo-political realities.
118Impax Asset Group$30.003/31/2021Impax Asset Management Screens Its Portfolio for Deforestation Exposure
119Cetera Financial Group$25.808/10/2020Fined a total of $1,000,000 by FINRA on 12/15/20
120Dyal Capital Partners$23.3012/31/2020Purchased by Neuberger Berman
121Reams Asset Mgmt.$22.5012/31/2020Purchased by Raymond James
122MetLife$22.403/25/2021Record AUM numbers
123BNP Paribas$21.202/5/2021BNP Paribas joins the Net-Zero Banking Alliance launched by the UNEP
124Empower$16.501/4/2021Empower Retirement to acquire retirement plan business of MassMutual
125Touchstone Investments$16.003/1/2019To purchase a $7.5 Billion of AIG's portfilio. Owned by Western & Southern.
126Mercer Advisors$15.806/30/2020Mercer buys Argosy Wealth Mgmt RIA for $330 million.
127Pacific Global Asset Management$15.6012/31/2020Part of Pacific Life
128Manning & Napier$15.503/31/2021No news to post.
129Ariel Investments$15.001/3/2021Melody Hudson is new Co-CEO
130Ares Management$14.8012/31/2020SEC fines Ares $1 Million
131Southeastern Asset Management$12.706/25/2020
1321251 Capital Group$10.5012/31/2020Merdger with Emerald
133Axiom Capitial Management$9.5012/31/2020Axiom has completed the acquisition of Torchlight Group Limited. Axiom is owned by Limerston Capital as of 2/2020.
134Royce Funds$9.1011/30/2020Now part of Franklin Tempelton via Legg Mason merdger.
135Park Avenue Securities$5.7012/31/2020FINRA fines Park Avenue Securities $640,522
136Saturna Capital$5.0012/1/2020Podcast to discuss entrepreneurship for Islam and Black Lives Matter - Nov. 2020
137Emerald Mutual Funds$4.709/30/2020Merdged with 1251 Capital.
138Tweedy Browne Co$4.6012/31/2020Warren Buffet's former investment firm
139Westchester Capital$4.2012/31/2020Boasts zero broker turnover
140Xponance (was FIS Group)$4.0710/26/2020Rebranded to Xponance from FIS Group
141Great Point Partners$2.8510/13/2020Fined $5,000 due to failure to conduct it anti-money-laudering test on time by FINRA on 12/3/20.
142SA Stone (was Sterne Agee)$1.401/30/2021Rebranding from Sterne Agee to "SA Stone" Purchased Gain Capital. $375,000 FINRA fine. 9/10/20.
143Dakota Securities International$1.1011/22/2020Was "expelled" from FINRA on December 21, 20. The expulsion and bar are in effect pending review.

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