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: January 2021      2/24/2021
  January witnessed registrations for 27 new funds, spread across eight open-end mutual funds, 17 ETFs, one closed-end fund, and one interval fund. Actively-managed funds counted for the largest portion of ETF filings for the month at 13. Advisors Preferred and First Trust Advisors were tied for the most new monthly filings at three each. All of Advisors Preferred’s filings were in mutual funds while First Trust registered three new active ETFs. Fixed income funds saw the greatest representation among January’s new filings at 9. International and Domestic Equity were tied for second place at 7 registrations each.
New Fund Filings Review: December 2020      1/27/2021
  62 new funds were filed during December, including 25 open-end mutual funds, 34 ETFs, and three closed-end funds. Filings for ETFs were closely split between active (16) and passive (18) for the month.
New Fund Filings Review: November 2020      12/21/2020
  49 new funds were registered over the course of November, including 11 mutual funds, 34 ETFs, two closed-end funds, and two interval funds. Filings for active ETFs continued to outpace new index launches, with 27 of the month’s newly filed ETFs being actively managed.
New Fund Filings Review: October 2020      11/24/2020
  October witnessed 97 new fund registrations, spread across 66 ETFs, 30 open-end mutual funds, and one interval fund. New ETF registrations leaned towards active management this month with 54 active filings and 12 passive ones. Only one of those funds announced intentions to use a non-transparent structure. Pacer Advisors filed the highest number of new funds for the month with a series of 13 defined outcome option hedge active ETFs. TrueMark Investments had the second highest new registrations for the month at eight, also through defined outcome active ETFs. The large number of active option-oriented ETFs led alternative and commodity funds to have the largest number of new filings for the month at 37. Domestic equity funds accounted for the second highest new registrations at 23.
New Fund Filings Review: September 2020      10/27/2020
  September saw new filings for 60 funds, consisting of 11 open-end mutual funds, two closed-end funds, 45 ETFs, and one interval fund. The month witnessed a significant number of active ETF registrations at 33, eight of which eight were non-transparent funds. First Trust Advisors registered the largest number of new funds for the month through a series of seven defined outcome active ETFs and two passive international equity ETFs. US equity funds accounted for the highest number of new registrations in September at 28, followed by Alternative and Commodity funds at 17.