Publicly Traded Mid and Small-Cap Asset Management CompaniesU.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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Asset Management Companies: Mid-Cap Stocks
Asset Management Companies: Small-Cap Stocks
Noah Holdings Ltd. (NOAH) (China)
OM Asset Management Plc. (OMAM) (United Kingdom)
Piper Jaffray Companies (PJC) (Investment banking and asset management)
WisdomTree Investments, Inc. (WETF) (Focuses exclusively on ETFs)
Asset Management Companies: Micro-Cap Stocks
Jupai Holdings Ltd. (JP) (IPO in July 2015: China)