Investing Information
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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: 8/12/2020
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| Ranked by AUM on 8/12/20 | Company Name | New AUM | Update | Current News | Click to get Company Info |
|---|---|---|---|---|---|
| 1 | Black Rock Funds | $6,840.00 | 6/30/2020 | Plans $1.1 Billion Stock Repurchase. AUM up $400 B. | Request info... |
| 2 | Vanguard | $6,200.00 | 6/30/2020 | Vanguard Announces Senior Leadership Rotations. | Request info... |
| 3 | Charles Schwab | $3,700.00 | 6/30/2020 | Charles Schwab Announces Plan to Adopt thinkorswim Trading Platforms as Part of TD Ameritrade Integration. AUM up $500 B. | Request info... |
| 4 | JP Morgan | $3,210.00 | 6/30/2020 | JP Morgan fined $1.5 Million for overcharges by SEC | Request info... |
| 5 | State Street Global Advisors | $3,050.00 | 6/30/2020 | SEC fined State Street $40 million and possible $380 million in repayments. AUM up $550 B. | Request info... |
| 6 | Fidelity Investments | $2,915.00 | 3/31/2020 | Fidelity settles 401k class-action lawsuit for $28.5 million. | Request info... |
| 7 | BofA Merrill Lynch | $2,450.00 | 6/30/2020 | FINRA fine of $150,000 for Merrill Lynch on 5/13/20 |  |
| 8 | BNY Mellon (Dreyfus) | $2,000.00 | 6/30/2020 | Mellon whistleblower gets $50 million. | Request info... |
| 9 | PIMCO | $1,920.00 | 6/30/2020 | Owned by Allianz. AUM up 10%. | Request info... |
| 10 | Capital Group | $1,900.00 | 3/19/2020 | Wins 13 Lipper awards. 3/6/20 | Request info... |
| 11 | Prudential Investments | $1,605.00 | 8/4/2020 | FINRA fine of $1 Million for lax records | Request info... |
| 12 | Amundi Asset Mgmt | $1,592.00 | 6/30/2020 | Amundi to acquire Banco Sabadell Asset Management division | Request info... |
| 13 | Legal & General Investments | $1,570.00 | 6/30/2020 | Invests into Australian mortgage business | Request info... |
| 14 | TD Ameritrade | $1,300.00 | 12/31/2019 | To be purchased by Charles Schwab. Selling for $26 Billion. Fined $250,000 by FINRA on 12/30/19. | Request info... |
| 15 | T 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... |
| 16 | Sun Life Global Investments | $1,023.00 | 3/31/2020 | Sun Life Global Investments reduces select mutual funds' management fees. AUM level. | Request info... |
| 17 | Natixis Global Associates | $1,017.20 | 6/30/2020 | Natixis fights 2019 French regulator $3M fine. AUM up. | Request info... |
| 18 | Northern Trust | $1,000.00 | 6/30/2020 | $250 Million cost cutting program has started. AUM up 5%. | Request info... |
| 19 | TIAA / Nuveen | $1,000.00 | 6/30/2020 | TIAA closes life insurance division | Request info... |
| 20 | Wellington Management | $1,000.00 | 3/31/2020 | Focuses on climate change issues for giving and PR | Request info... |
| 21 | Insight Investors | $959.35 | 6/30/2020 | Expands Phoenix Headquarters. Insight Acquires French Digital Consulting Company vNext. AUM up 10% | Request info... |
| 22 | UBS | $928.00 | 6/30/2020 | UBS fined $10 Million by SEC. AUM up. | Request info... |
| 23 | Ameriprise Financial | $900.00 | 6/30/2020 | FINRA fines Ameriprise $850K. AUM up 12%. | Request info... |
| 24 | Goldman Sachs Asset Management | $874.50 | 4/30/2019!! | Fined $130,000 by FINRA on 12/19/2019. | Request info... |
| 25 | AXA | $866.00 | 6/30/2020 | FINRA fines AXA $772,000 | Request info... |
| 26 | Invesco | $863.50 | 6/30/2020 | Invesco to pay $105 million in fines | Request info... |
| 27 | DWS | Deutsche Asset Management | $838.00 | 6/30/2020 | Rebranding to "DWS". AUM up 8% after a bad year. | Request info... |
| 28 | Manulife Asset Mgmt | $800.00 | 3/31/2020 | AUM up 12%. | Request info... |
| 29 | Legg Mason | $787.40 | 6/30/2020 | To be purchased by Franklin Templeton | Request info... |
| 30 | Affiliated Managers Group (AMG) | $778.00 | 6/30/2020 | AMG Elects Dwight D. Churchill as Chairman of its Board of Directors | Request info... |
| 31 | Raymond James | $774.00 | 6/30/2020 | To expand into Canada | Request info... |
| 32 | Principal Financial Group | $701.80 | 6/30/2020 | Principal Announces New $900 Million Share Repurchase Authorization. AUM up 10%. |  |
| 33 | Standard Life Aberdeen (UK) | $667.52 | 6/30/2020 | AUM drops again | Request info... |
| 34 | Morgan Stanley | $665.00 | 6/30/2020 | FINRA fine of $120,000 on 5/1/20. AUM is up. | Request info... |
| 35 | Federated Hermes (was Federated Investors) | $628.80 | 6/30/2020 | Purchased Hermes and rebranded to Federated Hermes | Request info... |
| 36 | BNP Paribas | $627.00 | 6/30/2020 | FINRA fine of $15 million over money laundering controls - Dec 2019 | Request info... |
| 37 | Franklin Templeton | $622.80 | 6/30/2020 | To acquire Legg Mason. SEC fines Franklin Templeton $250K. | Request info... |
| 38 | MetLife | $601.40 | 3/31/2020 | SEC fine for $10 million | Request info... |
| 39 | AllianceBernstein | $600.00 | 6/30/2020 | Paid a $51k self-reported fine. | Request info... |
| 40 | The Blackstone Group | $568.00 | 7/31/2020 | Blackstone acquires battery energy storage pioneer | Request info... |
| 41 | Geode Capital Management | $564.00 | 6/30/2020 | As a third party, Geode Capital Management will manages Fidelity's "free" ETF index funds as the funds' sub-advisor | Request info... |
| 42 | MFS Investment Management | $528.00 | 6/30/2020 | Owned by Sun Life Financial | Request info... |
| 43 | Nomura Asset Management | $518.00 | 6/30/2020 | FINRA fines Nomura $300,000 on 12/9/19. Tries to rebound from 2018 losses and 2019 layoffs. AUM is up. | Request info... |
| 44 | Wells Fargo Advisors | $518.00 | 6/30/2020 | SEC fines Wells Fargo $3 Billion. | Request info... |
| 45 | Brookfield Asset Management | $515.00 | 7/15/2020 | Brookfield acquires India telecom towers | Request info... |
| 46 | Dimensional Fund Advisors | $514.00 | 6/30/2020 | Dimensional will open its new East Coast headquarters in Charlotte. | Request info... |
| 47 | AVIVA Investors | $495.26 | 6/30/2020 | Aviva Investors expands real estate development team | Request info... |
| 48 | RBC Global Wealth (CAN) | $490.00 | 7/7/2020 | RBC to pay $3.9 million fine by SEC. | Request info... |
| 49 | Columbia Threadneedle | $476.00 | 6/30/2020 | Commits to sponsor Boston Marathon through 2023 | Request info... |
| 50 | Eaton Vance Distributors | $465.30 | 7/31/2020 | Jessica Kung Joins Eaton Vance as Chief Human Resources Officer. AUM is up. | Request info... |
| 51 | Credit Sussie | $446.00 | 6/30/2020 | Paying 6.5 Million in fines from FINRA | Request info... |
| 52 | Julius Baer Securities | $440.52 | 6/30/2020 | Swiss regulators activly investigating on lax money laundering safeguards. | Request info... |
| 53 | Aegon | $414.90 | 6/30/2020 | Aegon mourns the loss of Jesús Quintanal | Request info... |
| 54 | Apollo Management | $414.00 | 6/30/2020 | Apollo Global Management Announces New $500 Million Share Repurchase Authorization March 12, 2020 | Request info... |
| 55 | Robeco/ORIX | $400.00 | 3/31/2020 | Robeco rebranded to ORIX. Owned by AXA | Request info... |
| 56 | LPL Financial | $388.62 | 6/30/2020 | Former LPL broker suspended and fined $10k by FINRA for overstating cllents net worth. | Request info... |
| 57 | Neuberger Berman | $357.00 | 6/30/2020 | Buying Dyal Capital Partners | Request info... |
| 58 | Barings | $346.00 | 6/30/2020 | Barings makes a bet as it enters the risky 5G market with Majority Stake Acquisition in Gigasphere Holdings LLC | Request info... |
| 59 | Janus Henderson Group | $336.70 | 6/30/2020 | Fined $2.35 million for overcharging | Request info... |
| 60 | Edward Jones | $320.00 | 3/31/2020 | Edward Jones Financial Advisors Rate Firm Highest in Overall Employee Advisor Satisfaction, According to J.D. Power | Request info... |
| 61 | SEI Investments | $318.00 | 6/30/2020 | SEI Again Recognized for Award-Winning Fund Performance in 2019 February 6, 2020 | Request info... |
| 62 | Dodge & Cox | $313.20 | 9/30/2019!! | Request info... | |
| 63 | Stifel Financial Corp | $290.00 | 12/31/2019 | "FINRA Press Release" (on the June 2020 FINRA page) FINRA fine of $3.6 million for Stifel. | Request info... |
| 64 | Frank Russell Investments | $284.80 | 6/30/2020 | TA Associates and Reverence Capital Partners Complete Acquisition of Russell Investments from London Stock Exchange Group | Request info... |
| 65 | Guggenheim Partners | $280.00 | 6/30/2020 | Walsh Named Among the 100 Most Influential Women in U.S. Finance | Request info... |
| 66 | New York Life/Mainstay | $267.00 | 6/30/2020 | Senior leadership changes in progress | Request info... |
| 67 | BMO Global Asset Group | $259.00 | 6/30/2020 | Kristi Mitchem is new CEO | Request info... |
| 68 | Loomis Sayles & Co | $251.30 | 6/30/2020 | Owned by Natixis | Request info... |
| 69 | Voya (ING) | $230.00 | 6/30/2020 | FINRA fined Voya $125,982 | Request info... |
| 70 | BrightSphere | $225.00 | 6/30/2020 | CEO buys 50,000 shares on 12/31/19 | Request info... |
| 71 | TCW Group | $225.00 | 6/30/2020 | Nippon Life buys 25% stake in TCW | Request info... |
| 72 | Carlyle Group | $221.00 | 6/30/2020 | Glenn Youngkin to retire as co-CEO of the Carlyle Group, Kewsong Lee will remain as CEO | Request info... |
| 73 | Lord Abbett & Co | $198.50 | 6/30/2020 | Lord Abbett Continues to Light the Way for LGBTQ+ Inclusion | Request info... |
| 74 | Lazard Mgmt. Group | $190.60 | 6/30/2020 | Downsizing in progress. AUM is up. | Request info... |
| 75 | Pictet | $183.00 | 3/31/2020 | Pictet raises EUR700 million for first real estate fund and completes two transactions | Request info... |
| 76 | Conning | $180.30 | 6/30/2020 | Conning Completes Strategic Investment in Global Evolution | Request info... |
| 77 | American Century Investments | $178.00 | 3/31/2020 | Nomura buys 40% | Request info... |
| 78 | IGM Financial | $171.00 | 7/31/2020 | Purchased Mackenzie. AUM up. | Request info... |
| 79 | Putnam Investments | $169.00 | 6/30/2020 | Fund Ranked #1 out of Nearly 300 Funds in the Core Bond Category | Request info... |
| 80 | Bridgewater Associates | $138.00 | 3/31/2020 | The worlds largest hedge fund takes a huge hit from pandemic. | Request info... |
| 81 | Doubleline | $135.00 | 3/31/2020 | Jeffrey Gundlach has become the face of Doubleline. | Request info... |
| 82 | Victory Capital | $129.10 | 6/30/2020 | Still incorporating USAA's investment business. | Request info... |
| 83 | Artisan Partners Financial | $126.60 | 6/30/2020 | Steady AUM growth | Request info... |
| 84 | GAM Investors | $126.00 | 6/30/2020 | Changed brand from Gabelli Investors to "GAM". Fined $500k by Swiss regulator. | Request info... |
| 85 | OakTree | $122.10 | 6/30/2020 | Brookfield to acquire 62% of Oaktree | Request info... |
| 86 | Fisher Investments | $121.00 | 6/30/2020 | Potential $2.5 million in regulary fines for Berthel Fisher | Request info... |
| 87 | US Bancorp | $112.00 | 6/30/2020 | SEC fines US Bancorp $15 Million. | Request info... |
| 88 | Virtus Investment Partners | $108.40 | 6/30/2020 | Virtus Investment Partners and AllianzGI announce US strategic partnership | Request info... |
| 89 | MAN Group | $104.20 | 3/31/2020 | Man Group appoints John Cryan as Chairman | Request info... |
| 90 | The Hartford | $102.00 | 6/30/2020 | The Hartford Donates $1M To U.S. Small Businesses To Aid In COVID-19 Recovery | Request info... |
| 91 | Harris Associates | $86.40 | 6/30/2020 | Owned by Natixis | Request info... |
| 92 | TPG Capital | $79.00 | 6/30/2020 | Owned by Tarrant Capital Group | Request info... |
| 93 | Robert W Baird & Co | $73.00 | 6/30/2020 | FINRA fined Robert W Baird $150,000 | Request info... |
| 94 | Waddell & Reed | $65.00 | 6/30/2020 | Is looking to move the HQ somewhere in Missouri to save costs | Request info... |
| 95 | Fort Washington Advisors | $60.90 | 6/30/2020 | Owned by Western Southern | Request info... |
| 96 | Sterling Capital | $59.00 | 6/30/2020 | 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... |
| 97 | William Blair Funds | $56.80 | 6/30/2020 | William Blair passed on 11/21/19. AUM up 10%. | Request info... |
| 98 | Oakmark Funds | $49.00 | 6/30/2020 | Owned by Natixis via Harris Associates | Request info... |
| 99 | Quilter (was Old Mutual) | $47.82 | 3/31/2020 | Quilter to sell the life insurance division for $555.7 million. | Request info... |
| 100 | Fortress Investment Group | $41.70 | 3/31/2020 | Fortress Investment Group Sells Long Beach Airport Plaza Office Properties | Request info... |
| 101 | Glenmede Investment Management | $41.00 | 12/31/2019!! | Request info... | |
| 102 | Thornburg Asset Management | $40.52 | 12/31/2019!! | Thornburg Appoints Ben Kirby and Jeff Klingelhofer as Co-Heads of Investments | Request info... |
| 103 | Causeway Capital Management | $38.10 | 6/30/2020 | AUM is down. | Request info... |
| 104 | AGF Management Limited | $37.00 | 6/30/2020 | Kevin McCreadie Announces Changes to AGFs Senior Leadership Team | Request info... |
| 105 | Sculptor | Och-Ziff | $35.50 | 8/1/2020 | Rebranding from Och-Zill to "Sculptor" | Request info... |
| 106 | Oppenheimer Funds | $32.10 | 6/30/2020 | Purchased by Invesco. Fined $85,000 and to pay 3.8 million in restitution by FINRA on 12/20/19. | Request info... |
| 107 | Pzena | $32.00 | 6/30/2020 | Pzena internally re-organizing with restructuring and buyouts Q1 2020. | Request info... |
| 108 | Impax Asset Group | $24.20 | 7/31/2020 | Buying PAX with 9.4 Billion in AUM | Request info... |
| 109 | Davis Select Advisers | $23.70 | 3/24/2020 | Request info... | |
| 110 | Matthews Asia Funds | $22.00 | 6/30/2020 | Matthews Asia Hires Lindsay Wright as Head of Asia and Global Chief Operating Officer | Request info... |
| 111 | Dyal Capital Partners | $21.70 | 6/30/2020 | Purchased by Neuberger Berman | Request info... |
| 112 | Reams Asset Mgmt. | $20.10 | 6/30/2020 | Purchased by Raymond James | Request info... |
| 113 | Robinhood Financial | $20.00 | 6/30/2020 | Joins the free EFT commission charge. FINRA fines Robinhood $1.25 million on 12/9/19 | Request info... |
| 114 | Mercer Advisors | $18.50 | 6/30/2020 | Mercer buys Argosy Wealth Mgmt RIA for $330 million. | Request info... |
| 115 | Manning & Napier | $18.10 | 6/30/2020 | "Manning & Napier loses two PMs, liquidate three funds", per Citywire | Request info... |
| 116 | Touchstone Investments | $18.00 | 5/1/2019!! | Touchstone Investments Names Rockefeller Asset Management Sub-Advisor to Touchstone International ESG Equity Fund. Owned by Western & Southern | Request info... |
| 117 | Southeastern Asset Management | $17.00 | 12/31/2019 | Southeastern Asset Management has a new CEO | Request info... |
| 118 | Pacific Global Asset Management | $16.60 | 3/31/2020 | Part of Pacific Life | Request info... |
| 119 | Ares Management | $14.40 | 6/30/2020 | SEC fines Ares $1 Million | Request info... |
| 120 | Brown Brothers Harriman | $14.20 | 3/31/2020 | BBH Capital Partners Completes Investment In Bradford Airport Logistics | Request info... |
| 121 | Axiom Capitial Management | $13.40 | 3/27/2020 | FINRA fine of $37,000 on 5/26/20 | Request info... |
| 122 | 1251 Capital Group | $12.50 | 9/30/2019!! | Buying Emerald & Ziegler Capital | Request info... |
| 123 | Tweedy Browne Co | $11.20 | 6/30/2020 | Warren Buffet's former investment firm | Request info... |
| 124 | Royce Funds | $11.10 | 6/30/2020 | Part of Legg Mason | Request info... |
| 125 | Ariel Investments | $10.20 | 3/31/2020 | Melody Hudson is new Co-CEO | Request info... |
| 126 | Xponance (was FIS Group) | $9.70 | 2/29/2020 | Rebranded to Xponance from FIS Group | Request info... |
| 127 | Park Avenue Securities | $4.00 | 3/31/2020 | FINRA fines Park Avenue Securities $640,522 | Request info... |
| 128 | Saturna Capital | $4.00 | 12/31/2019 | Saturna Capitals President Appointed to Newly Formed SEC Asset Management Advisory Committee | Request info... |
| 129 | Westchester Capital | $3.90 | 6/30/2020 | Boasts zero broker turnover | Request info... |
| 130 | Great Point Partners | $2.80 | 3/31/2020 | Great Point Capital teaming with Lionsgate to start a Film Studio in New York | Request info... |
| 131 | Emerald Mutual Funds | $2.40 | 3/31/2020 | New company based in Boston. | Request info... |
| 132 | SA Stone (was Sterne Agee) | $1.40 | 12/31/2019 | Rebranding from Sterne Agee to "SA Stone" | Request info... |
| 133 | Heartland Advisors | $1.20 | 6/30/2020 | Moving to BMO tower | Request info... |
| 134 | Ross Sinclair & Associates | $0.70 | 12/31/2019 | AUM is up but has to pay a $200,000 FINRA fine. | Request info... |
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Mutual Fund Directory.org
Visit the (Brother site) #1 Ranked Mutual Fund Directory site in the world per Google 2014 to 2020. Same directory list but other information.