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)
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)