New Fund Filings

Analysis of funds recently registered and key themes in product development. To monitor new funds and other fund changes on a daily basis go to our sister site

Clients can select from the latest Highlights of New Fund Filings below or from the list of all Highlights of New Funds.

New Fund Filings Review: November 2021      12/20/2021
  November saw the registration of 69 new funds, down from 88 recorded across October. ETFs accounted for the most new filings during the month at 46, followed by 21 mutual funds and two closed-end funds. Dimensional Fund Advisors accounted for the largest number of filings for the month through a series of 10 active equity ETFs. Fidelity saw the second highest new registrations through eight mutual funds and one ETF. U.S. and international equity saw an equal number of new monthly registrations at 22 each. ETFs accounted for the highest number of new filings across both, with 15 new domestic equity ETFs and 17 new international ones.
New Fund Filings Review: October 2021      11/19/2021
  New fund registrations increased to 88 over the course of October, up from 63 during September. This included 36 open-end mutual funds, 43 ETFs, five closed-end funds, and four interval funds. Direxion filed the most new funds for the month with nine ETFs, including seven leveraged or inverse products. BNY Mellon recorded the second highest total through a series of income-producing bond funds. October also saw multiple registrations for new Bitcoin-related ETFs. Highlighting the uncertain regulatory space these funds seek to enter, three leveraged and inverse funds were withdrawn soon after filing.
New Fund Filings Review: September 2021      10/26/2021
  New fund filings dipped slightly in September. Asset managers registered 63 new funds over the course of the month compared to 90 during August. September’s totals included 16 open-end mutual funds, 45 ETFs (two of which are semi-transparent), and two interval funds. O’Shares Investment Advisers registered the most new funds for the month with six ETFs, including three ESG funds. Crossmark Global Investments saw the second highest number of new filings through a series of five equity funds incorporating values-based screenings. September saw filings for five new blockchain-related funds, following the 11 registrations for crypto funds in August.
New Fund Filings Review: August 2021      9/23/2021
  New fund registrations remained elevated in August with a total of 90 new funds. This included 16 open-mutual funds, 69 ETFs, two closed-end funds, and three interval funds. ETF filings leaned more towards active funds (41) than passive (28). The managers with the largest new filings for the month saw their rankings through passive ETFs. Rafferty Asset Management led for the month with nine new funds through a series of mostly leveraged and inverse funds, while BondBloxx announced plans for seven high yield index ETFs. The month saw new filings for 11 cryptocurrency-related funds, though two funds were withdrawn by their sponsors soon after registration.
New Fund Filings Review: July 2021      8/27/2021
  July witnessed the highest number of newly-filed funds of any month in 2021 so far. Registrations totaled 110 and were spread across 40 open-end mutual funds, 62 ETFs, five closed-end funds, and three interval funds. Among the month’s 40 active ETF filings were two semi-transparent active funds. Christian Brothers Investment Services led new registrations for the month with 13 as it filed for funds across multiple classes as part of its push into the mutual fund market. Rafferty Asset Management saw the second most through a series of eight leveraged and inverse ETFs. International Equity again saw the highest number of new filings at 33, with active funds accounting for the bulk of offerings at 22.