Publicly Traded Mid and Small-Cap Asset Management Companies

U.S. Exchanges

List of Publicly Traded Mid and Small-Cap Asset Management Companies Listed on Major U.S. Exchanges

Many of the mid and small-cap asset management companies share similar characteristics to their large-cap counterparts. These companies provide financial products and services to a range of clients with the goal of helping their clients meet their financial objectives. Like the large-caps, many of these companies offer a range of strategies (equities, fixed income, alternative investments) through a number of investment vehicles (mutual funds, ETFs, closed-end funds, etc.). What differentiates these companies is (as a general rule) the fact they have fewer assets under management (AUM) and less of a global reach. With some of these companies you also start to see more of a specialized focus on a more select group of strategies or a specific demographic/industry that the company is targeting.

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Additional publicly traded financial companies and financial categories can be accessed through the link below:

Publicly Traded Companies in the Financial Sector

A comparison widget that shows trend, earnings per share (EPS), P/E ratio and beta for each of the companies on this list can be accessed through the link below.

Mid and Small-Cap Asset Management Industry Comparison Widget

Select the company’s link to access charts, news links and company website and social media information.

Asset Management Companies: Mid-Cap Stocks

Affiliated Managers Group, Inc. (AMG)

AllianceBerstein Holdings L.P. (AB)

Artisan Partners Asset Management Inc. (APAM)

Eaton Vance Corporation (EV)

Financial Engines, Inc. (FNGN)

Fortress Investment Group LLC (FIG)

Janus Capital Group, Inc. (JNS)

KKR & Co. L.P. (KKR)

Lazard Ltd. (LAZ)

Legg Mason, Inc. (LM)

SEI Investments Company (SEIC)

Voya Financial, Inc. (VOYA)

Asset Management Companies: Small-Cap Stocks

Cohen & Steers Inc. (CNS)

Diamond Hill Investment Group, Inc. (DHIL)

Federated Investors, Inc. (FII)

Gamco Investors, Inc. (GBL)

Noah Holdings Ltd. (NOAH) (China)

OM Asset Management Plc. (OMAM) (United Kingdom)

Piper Jaffray Companies (PJC) (Investment banking and asset management)

Pzena Investment Management Inc. (PZN)

Virtus Investment Partners, Inc. (VRTS)

Waddell & Reed Financial, Inc. (WDR)

Westwood Holdings Group Inc. (WHG)

WisdomTree Investments, Inc. (WETF) (Focuses exclusively on ETFs)

Asset Management Companies: Micro-Cap Stocks

Ashford Inc. (AINC)

Hennessy Advisors, Inc. (HNNA)

Jupai Holdings Ltd. (JP) (IPO in July 2015: China)

Manning & Napier, Inc. (MN)

Silvercrest Asset Management Group Inc. (SAMG)

U.S. Global Investors, Inc. (GROW)

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Publicly Traded Companies by Sector and Industry