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: May 2020      6/24/2020
  May saw new filings for 34 open-end mutual funds, 25 ETFs, two closed-end funds, and five interval funds. These filings also included two funds designed to be used with SMAs. Gabelli Funds registered a series of nine active, non-transparent ETFs, which included two ESG ETFs. BlackRock filed for the largest number of new funds across the month at 14. These included an ESG target-date series, two standalone international equity ESG funds, and income-focused feeder funds.
New Fund Filings: April 2020      5/28/2020
  April witnessed the registration of 51 new funds, consisting of 23 open-end mutual funds, 21 ETFs, two closed-end funds, and five interval funds. Actively-managed ETFs outnumbered new filings for passive ETFs during the month. There were 15 new active registrations against six index ETF filings. Innovator Capital and MainStay Funds were tied for the highest number of new registrations in April at five each. Innovator Capital is preparing another set of five defined income ETFs while MainStay Funds announced a series of allocation funds investing in ETFs.
New Fund Filings Review: March 2020       4/27/2020
  March saw a substantial boost in fund registrations at 103, split between 23 open-end mutual funds, 35 ETFs, two closed-end funds, and 43 interval funds. Stone Ridge Asset Management saw the largest number of registrations for the month at 43 through a master feeder series of interval funds designed for longevity risk. BlackRock saw the second highest number of new filings at 13, including 8 ESG-oriented ETFs.
New Fund Filings Review: February 2020      3/23/2020
  February featured 43 new registered funds, including 10 open-end mutual funds, 29 ETFs, three interval funds, and one closed-end fund. In addition to notably outpacing new mutual fund filings, monthly ETF registrations for the first time consisted entirely of active funds. TrueMark Investments saw the largest number of new registrations for the month through 12 defined outcome ETFs, followed by a series of nine ETFs from Exchange Traded Concepts.
New Fund Filings Review: January 2020      2/27/2020
  January experienced a total of 31 new registrations for the month, split across 12 ETFs, 18 open-end mutual funds, and one closed-end fund. December had meanwhile seen 58 newly registered funds. Pacific Financial Group registered the highest number of new funds in the month, creating a series of six funds of funds that invest in the products of specific, unaffiliated managers. International Equity accounted for the largest number of new filings through eight active mutual funds, four passive mutual funds, and one ETF.