Top Fund Brokers
- Custodians, Auditors, Brokers & Marketers
| Due Diligence for Asset Managers |
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| Fund Service Providers |
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Firms disclose their funds' custodians, auditors, brokers, and
marketers on SEC IAPD Schedule D. These leaderboards rank each
provider by the number of private funds it serves. Provider pages
chart cumulative funds over time, by each fund's first filing year.
|
| # |
Top Brokers |
Fund AUM |
Funds |
| 1 |
JPMorgan |
11,157.0 B |
5,850 |
| 2 |
Morgan Stanley |
10,699.5 B |
6,649 |
| 3 |
Goldman Sachs |
10,593.4 B |
7,205 |
| 4 |
Bank of America |
9,079.7 B |
3,193 |
| 5 |
Barclays |
8,544.7 B |
1,540 |
| 6 |
Citi |
8,399.7 B |
1,989 |
| 7 |
UBS |
7,211.1 B |
2,532 |
| 8 |
BNP Paribas |
6,987.8 B |
1,306 |
| 9 |
Credit Suisse |
6,852.5 B |
2,688 |
| 10 |
Deutsche Bank |
5,884.0 B |
1,998 |
| 11 |
HSBC |
3,579.3 B |
369 |
| 12 |
Wells Fargo |
2,836.4 B |
1,020 |
| 13 |
Societe Generale |
2,568.7 B |
370 |
| 14 |
National Financial Services LLC |
2,060.2 B |
777 |
| 15 |
BNY Mellon |
2,025.2 B |
273 |
| 16 |
Nomura |
1,411.1 B |
148 |
| 17 |
Pershing LLC |
1,209.1 B |
823 |
| 18 |
State Street |
1,017.1 B |
211 |
| 19 |
Royal Bank of Canada |
898.6 B |
18 |
| 20 |
Scotia Capital USA Inc |
701.3 B |
82 |
| 21 |
Skandinaviska Enskilda Banken AB PUBL |
688.7 B |
8 |
| 22 |
Scotiabank - the Bank of Nova Scotia Houston Branch |
687.7 B |
1 |
| 23 |
Macquarie Bank International Limited |
687.7 B |
1 |
| 24 |
Marex Group PLC |
687.7 B |
1 |
| 25 |
Scotiabank - the Bank of Nova Scotia |
687.7 B |
1 |
| 26 |
Prime Dealer Service Corp |
687.7 B |
1 |
| 27 |
Macquarie Group Limited |
687.7 B |
1 |
| 28 |
Jefferies |
674.6 B |
1,197 |
| 29 |
CIBC World Markets Corp |
564.1 B |
50 |
| 30 |
Marex Capital Markets Inc |
506.9 B |
187 |
| 31 |
CLSA Limited |
501.9 B |
3 |
| 32 |
The Royal Bank of Scotland PLC |
497.5 B |
30 |
| 33 |
Macquarie Bank Limited |
493.7 B |
27 |
| 34 |
Standard Chartered Bank |
490.6 B |
45 |
| 35 |
The Bank of Nova Scotia |
466.3 B |
39 |
| 36 |
Cantor Fitzgerald & Co |
411.4 B |
277 |
| 37 |
Natwest Markets PLC |
386.1 B |
37 |
| 38 |
Canadian Imperial Bank of Commerce |
351.8 B |
23 |
| 39 |
Palafox Trading LLC |
331.4 B |
2 |
| 40 |
Mortgage Backed Securities Clearing Corporation |
331.4 B |
2 |
| 41 |
Lchclearnet Group Ltd |
331.3 B |
1 |
| 42 |
CF Secured LLC |
327.0 B |
63 |
| 43 |
Mizuho |
302.8 B |
30 |
| 44 |
Citco Bank Nederland NV Dublin Branch |
301.2 B |
4 |
| 45 |
Newedge USA LLC |
296.4 B |
134 |
| 46 |
Citco Custody Limited |
249.2 B |
2 |
| 47 |
TD Securities USA LLC |
245.4 B |
80 |
| 48 |
Interactive Brokers LLC |
239.8 B |
1,462 |
| 49 |
BMO Capital Markets Corp |
221.6 B |
18 |
| 50 |
Banco Santander Sa |
221.3 B |
13 |
| 51 |
Standard Chartered Bank PLC |
217.9 B |
3 |
| 52 |
Prime Dealer Services Corp |
217.8 B |
65 |
| 53 |
Citadel Securities LLC |
211.2 B |
15 |
| 54 |
Skandinaviska Enskilda Banken AB |
207.9 B |
18 |
| 55 |
BMO Nesbitt Burns Inc |
203.0 B |
36 |
| 56 |
Natixis Securities Americas LLC |
202.8 B |
9 |
| 57 |
Bank of Montreal |
202.1 B |
20 |
| 58 |
CICC Financial Trading Limited |
200.2 B |
13 |
| 59 |
National Bank of Canada Financial Inc |
199.5 B |
7 |
| 60 |
Natixis Sa |
199.3 B |
5 |
| 61 |
Fidelity Prime Financing |
198.3 B |
19 |
| 62 |
SMBC Capital Markets Inc |
197.8 B |
4 |
| 63 |
The Bank of Nova Scotia Houston Branch |
193.5 B |
6 |
| 64 |
Oppenheimer & Co Inc |
174.9 B |
55 |
| 65 |
RBS Securities Inc |
169.1 B |
20 |
| 66 |
Citadel Clearing LLC |
166.5 B |
11 |
| 67 |
RBC Capital Markets LLC |
161.5 B |
61 |
| 68 |
Guggenheim Securities LLC |
160.6 B |
12 |
| 69 |
The Northern Trust Company |
156.9 B |
16 |
| 70 |
RBC Europe Limited |
150.7 B |
7 |
| 71 |
ING Financial Markets LLC |
149.7 B |
3 |
| 72 |
Canadian Imperial Bank of Commerce NY Branch |
149.7 B |
3 |
| 73 |
Blue Capital Global Reinsurance SA-I |
149.7 B |
3 |
| 74 |
Catco Reinsurance Fund Ltd |
149.7 B |
3 |
| 75 |
Royal Bank of Canada New York Branch |
149.7 B |
3 |
| 76 |
Natixis New York Branch |
149.7 B |
3 |
| 77 |
Newedge Financial Inc |
147.4 B |
4 |
| 78 |
ING Bank NV |
146.9 B |
3 |
| 79 |
J Aron & Company |
146.8 B |
3 |
| 80 |
Endurance Specialty Insurance Ltd |
146.8 B |
2 |
| 81 |
Coinbase Inc - Prime |
146.8 B |
2 |
| 82 |
BTIG LLC |
143.3 B |
760 |
| 83 |
Daiwa Capital Markets Europe Limited |
142.0 B |
3 |
| 84 |
Cantor Fitzgerald Securities |
139.4 B |
6 |
| 85 |
Advantage Securities LLC |
139.1 B |
2 |
| 86 |
SG Asia Holdings India PVT Ltd |
134.8 B |
2 |
| 87 |
State Bank of India Singapore Branch |
134.8 B |
2 |
| 88 |
SBI Global Securities Services Private Limited |
134.8 B |
2 |
| 89 |
Shinan Investment Corp |
134.8 B |
2 |
| 90 |
National Financial Services LLC Through ITS Fidelity Capital Markets Division Fidelity |
134.6 B |
1 |
| 91 |
Royal Bank of Scotland PLC |
119.7 B |
13 |
| 92 |
Bank of Nova Scotia |
114.3 B |
30 |
| 93 |
Fidelity Brokerage Services LLC |
107.3 B |
233 |
| 94 |
Unicredit Bank AG |
106.8 B |
4 |
| 95 |
TD Securities Inc |
103.9 B |
69 |
| 96 |
TD Prime Services LLC |
103.4 B |
111 |
| 97 |
Guardians of New Zealand Superannuation |
93.9 B |
2 |
| 98 |
Unicredit Bank Austria AG |
91.0 B |
1 |
| 99 |
Royal Bank of Scotland NV |
91.0 B |
1 |
| 100 |
BMO Capital Markets |
80.7 B |
10 |
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