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Last update: 4/26/2021

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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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