EFTA01300667.pdf

Mutual fund managers with $5 to $25 billion in assets under management Sorted by total mutual fund AUM as of W 2010 (Snam)- Wm mutual NM asan ma itsw 048441Md lbws Mciningser equity - nr rating PleLs ,tll p tar ilicadamme Naar ‚Mim dnu* VW 310 net 8 4 i 2 i 3410 nn 8 4 3 2 1 Manager name nr 3/10 12100 12108 WOJ 12/04 3110 NMI 200$ 2007 2006 assets Stars Stars Mats Sura Star NR nets Stars lun San Stars Sur IM Anko M061Mgmt AM 24512 24.071 10,014 36.355 26.293 77 521 (2 415) 5 317 1006 20,128 0% 99% 0% 0% 0% 0% 4.384 62% 30% 0% 0% 0% 0% Loot* Bayles B 24297 23 823 15 826 20 538 "711 (548) 2049 Y...0 773$ 3 956 1 113 0% 89% 11% C% 0% 0% 23 134 2% M% 0% D% 0% O% lieutegeMenrian 0 21,522 20.276 24.703 49.021 34268 201 (5682) (13.616) moss uw 16.506 55% 6% 13% 21% 0% 5% 2147 38% 7% 0% 5% 3% 47% ING n4órents I 2)210 20601 19837 31 757 30323 (130) (1 862) (t441) t i i3 1 264 14079 4% 31% 20% SM 5% 31% 4 316 9% 0% 39% 21% 0% 30% Trnammica AM I 18.034 03062 12000 17250 13451 66 1,321 655 1.813 2005 12.260 7% 18% 18% 31% 0% 26% 6.363 41% 22% 27% 0% 0% 11% GE Asset m;ml o 18.416 17913 M676 10 963 15937 (M 224 (46) (426) (249) 12 007 1% 56% 43% 0% 0% 0% 5 344 33% 0% 60% 7% 0% 0% Val Eck AM 17.510 15.750 5.600 5.460 1.533 1,500 5,941 4,134 3210 624 17.035 16% 0% 6% 32% 3% 48% 474 0% 0% 0% 0% 0% 100% Virus rwo Pints Mi 17.388 17 620 16036 230e1 22672 p586) (425) .2 831) 4384) *627) 10 360 0% 17% 30% 3% 6% 44% 3 994 5% 74% 6% 3% 2% 10% Gatat AM 16,658 15611 12.160 18,093 15913 297 760 M 1,150 (660) 14.914 26% 25% 5% B% 0% 37% 17 0% 0% 100% 0% 0% 0% mamami Fri t 16,317 15964 13 688 23 949 23 302 (308) (1 057) (3 022) 0338) 441 13 021 5% 28% 45% 7% 10% 4% 2 599 16% 0% 18% 65% Amman Beacon O 15.922 14.732 12.066 29.600 24761 353 (277) 01.400) 3826 6034 13,904 0% 83% 16% 1% 0% 0% 929 0% 62% 12% 26% 0% 0% L aż al A;s er 1.(gmi e 15.456 13 430 5502 6 870 6 276 1.170 3 627 t X* 1276 577 15 361 0% 92% 3% 0% 0% 4% 05 0% 0% 0% 100% 0% 0% miast VcrierSnares AM 15.023 13.946 8.717 13,966 8501 576 2.709 1.286 4.071 4.712 11.505 3% 10% 29% 12% 11% 36% 3.518 0% 0% 0% 0% 0% 100% Farbom e Cap M gml AM 14589 11 210 7 247 6 690 3 839 1,849 1 015 3 516 2 294 t.844 14 333 100% 0% 0% 0% 0% 0% 187 0% 0% 0% 0% 0% 100% Obron Anal AM 13,777 13.060 10.127 15000 10274 (152) (329) (OO) 1,773 733 13,777 0% 87% 2% 10% 0% 1% - - - - - - - So E as: mUngstai Am 13268 12 705 9.234 16670 17.473 (293) (1.104) 56 626 40 13.268 0% 16% 84% 0% 0% 0% RYM, ImesimenIS AM 13148 11.777 8.500 10.127 10747 1.122 2.062 034 (0OS) (1.264) 10708 2% 8% 56% 10% 16% 10% 1.046 0% 0% 0% 32% 0% 68% v.cto7, Captal O 12.749 13 737 13 642 14 757 13 796 (1,337) (1 528) 1 675 56 (303) 7 552 0% 69% 27% 2% 0% 2% 777 am 0% 32% 20% 0% 0% annngilliamer Adr AM 12.643 11.023 0658 4,790 3,153 1,214 4,238 2.876 1459 693 11.049 90% 0% 3% 0% 2% 6% 1.594 35% O% 0% 0% 0% 65% Ca i 12.573 12383 i i 420 15.166 12 774 (78) (710) (764) t688 t.364 3 741 0% 34% 5% 22% 31% 8% 7643 4% 37% 12% 46% 0% 0% Vantageponi AM 11.664 11,366 IMO 131113 12132 41 331 (106) 162 (100) 9.023 0% M% M% 19% 5% 13% 1,616 0% 23% 77% 0% 0% 0% W Issn Mar O 11,604 11 294 8.301 16238 13 335 (60) (39) (203) 816 1946 9.934 0% 15% 66% 7% 10% 2% 414 0% 0% 28% 0% 0% 72% MMMCM MIM FM AM 11,623 10.400 3.080 10.900 1072 608 3.303 22.688) 186 sa20 11.623 53% 30% e% 1% 0% 1% - - - - - - - Ccznea a Steers AM 11.514 12t70 9.461 18.561 20 915 (2) 448 (t529) t148 2 092 11.514 0% 35% 17% 4% 0% 41% MetmpoktartiV MA B 11203 10.023 7.064 7.870 4461 807 1846 (130) 3199 1,288 11 0% 0% 0% 0% 100% 0% 11.102 82% 2% 0% 14% 2% 0% TD Ass*: Mgmt El 10,761 10867 26 183 24 658 13 7 It (106) (17 410) 2 406 10 457 3067 12 0% 0% O% 0% 0% 100% 53 0% 0% MO% 0% 0% 0% Imo Awns AM 10,635 10467 7,949 17680 17.275 (29) (335) 22.432) (578) 1341 9,915 0% 0% 100% 0% 0% 0% 720 0% 0% 0% 0% 0% 100% ineweni Fnancisi 8 10693 10 224 9 255 13.122 12 526 001) (871) (556) (35) 1223) 5637 0% 4% 34% 58% 0% 4% 3.965 0% 0% 51% 47% 0% 1% Site Farm I 10,357 9,960 0175 10900 9.600 162 289 19 506 405 5044 35% 14% 22% 25% 3% 0% 1,506 37% 36% 27% 0% 0% 0% PUC Captal Ady B 10.362 11 454 15 487 17 059 17 101 ((.190) (a 639) (87) (626) (52(0 1 698 0% 0% 76% 24% 0% 0% 2114 20% 38% 41% 0% 0% 1% RS Mestinent Mgmt I 10261 9.069 6.317 11.342 NICO 592 326 (726) (57) (5010) 1790 0% 50% 33% 0% 0% 0% 079 0% 0% 03% O% 0% 17% tlMonakie Font% I 10.064 9 735 8.786 11 257 14 )03 10 1829) 560 230 949 6.320 0% 14% 71% 12% 0% 3% 1 675 0% 0% 100% O% 0% 0% Flat 711* Asset B 9.509 10,125 11.237 12213 10.871 i717) (1.623) 711 736 c22) (721) 1.850 0% 24% 72% 0% 5% 0% 649 44% 0% 8% 0% 48% 0% TCW Vanagernert First Palt AS A dl IrA451 1.1711 8 i 8 6378 8,879 8.579 9652 8.140 9 318 5 766 OM 9.241 9.352 5,869 10 171 9 002 6572 9 425 (774) 2 356 (1600) 483 twą 2,138 (455) 87 (266) 8339) 209 :2) 1122 4 1 374 0% 0% 2% 72% 23% 2=778 67% 10% 23% 76% 14% 0% 0% 2% 0% 0% 6% 1% 5% 6 415 93% 3,046 1532 0% 18% 0% 0% 26% 3% 0% 0% 100% 8% 11% 0% 0% 0% 4% 0% 36% 00008t011e Warg AM 8.662 8.300 7.801 10.106 0,303 (09) (144) (336) 104 (166) 4.056 0% 0% 73% V% 0% 0% 2.663 0% 87% 9% 0% 0% a Amgen Funds AM 8.101 7 845 6 524 9 671 9 435 QM) MB) (612) MO (634) 3 861 50% 12% 28% 10% 0% 1% J189 29% 64% 5% 1% 0% 0% Mgr S Rana B 7.769 7.816 11.411 10.305 0720 (100) (3009) 1.405 1143 (100) 882 0% 21% 61% 18% 0% 0% 965 0% 13% 66% 9% 11% 0% Sentinsi 45110471) I un 7 194 3972 4860 4 514 323 2341 700 at)) (624) 4277 0% 76% 12% 9% 0% 0% 3 400 0% 0% 100% 0% 0% 0% AtO 04940 I 7,728 7.514 4.350 1,580 1.065 211 3.152 2.717 458 171 - - - - - - - - - - - - - - rligAm ark Captal 8 7,605 8 221 8.718 8861 8 253 (705) (1 064) 615 243 (535) 1 666 0% 30% 53% 5% 2% 1% 889 0% 60% 12% 29% 0% 0% Transarnaca Ady I 7,595 7.613 7,925 13.312 127W pow (1,704) (1.424) (Y) 646 4.641 0% 0% 67% 21% 12% 0% 2.027 0% 17% 83% 0% 0% 0% Scout Ifneititlefle e 7,533 6241 4 927 6 003 5 197 515 578 1 019 33 819 6 469 92% 0% 7% 0% 0% 0% 129 0% 0% 0% 100% 0% 0% AStlat Asset Mcml AM 7324 6,466 5.459 0.461 0129 678 (669) 0,332) (1.341) (1.397) 7.260 0% 87% 10% 1% 0% 2% 64 0% 100% 0% 0% 0% 0% Source: Stralegk Insight Simfund / MF ' Insitutkin type: AM • Asset ManagerAndependent B • Bank/Broker dealer I • Insurance: O . Other INTERNAL J.P.Morgan SDNY_GM_00077845 Confidential Treatment Requested by JPMorgan Chase JPM-SDNY-00000972 EFTA_00188313 EFTA01300667  Mutual fund managers with $5 to $25 billion in assets under management (cont'd) Teel mutual fund amen NM sew mensal tuna laws Mernimplar equity •elle maim Memirmater Mcm:14neresse Nur Ming Owner- VT0 3/10 net 6 4 3 2 1 3/10 net 6 4 3 2 1 Manager name amps 3/10 12/01 14011 12101 1244 3/10 WO 2091 2007 2006 meets Mats Stan Sam Mare Sat NR seats Stant Stars Slam Mani Slat NM Bessemer Trust 7.260 6 665 3 307 4 257 3 345 366 2 222 1 440 265 (151) 6 236 0% 17% 8% CA 0% 54% 1 025 0% 36% 64% Cr% 0% 0% Roca & Tang AM 7241 7.739 8854 11.400 11.237 (500) (1.223) (2248) (281) 701 _ _ _ _ _ _ _ — — — — — — — Hussman Decametre MI 7,182 6 627 3.9566 3'63 3 031 370 2 696 1 163 3 617 5 563 0% 0% 100% cm. 0% cr. 1 619 100% 0% 0% 0% 0% 0% Alps AM 7.012 6.512 4.203 7268 4546 66 383 436 1963 206 6,970 0% 37% 37% 25% 0% 0% — — — — — — — Censuring Guns 6.909 6 563 5 924 9 042 7 641 (197) 1603) 339 618 331 5 319 0% 6% 65% 27% 0% OS 1 441 0% 66% 34% 0% 0% 0% Wastkearse ASSN AU 6.713 6./55 3.100 4.550 1,536 110 1.982 786 2.879 1.441 5,429 0% 6% 33% 24% 2% 34% — — — — — — — Aterdeen Asset/grit AM 6.316 5 679 3 740 6D7• 5 250 422 495 (450) 1 375 695 3 591 0% 13% 24% • 61% 2 424 0% 0% 2% 5% 0% 93% Ratty Asset AM 6.273 6229 2.161 1244 1,000 83 3.989 1,362 84 301 5,763 2% 1% 2% 0% 6% 93% 423 0% 4% 0% 0% 36% 60% Aigme 4.90/35 Cap 851 6202 6 433 4 209 11 078 4 053 6213) 1 180 (759) 7684 1 102 4 090 0% 0% 0% CA. 30% 61% 1 556 0% T00% 0% 0% 0% 0% Eagle ASsel Mgmt 5,971 5.766 5.724 9'04 0. 787 66 (3.740) 417 (721) 643 324$ 6% 54% 31% 8% 0% 2% 30 0% 0% 0% 0% 0% 100% must C4018 O 5.964 5 511 7 578 1207' 1060a (1B1) (3 2/4) (618) 593 1296 5 722 0% 75% 13% 9% 0% 4% 243 OS 34% 66% 0% 0% 0% Stitneric a 5.951 5.879 5.767 9.881 10.665 (100) (843) (1.556) (1.435) (676) 3.417 0% 7% 17% 39% 12% 25% 1.685 0% 0% 76% 24% 0% 0% Cry LEI Asset 8 5.892 5 951 75. 8 6 823 5512 (93) (1 660) 741 1 091 656 314 0% 0% 86% 0% 8% 6% 451 0% 33% 67% 0% 0% 0% First Masten 5,883 54377 4.791 6.466 6274 46) (14) (202) (24) (100) 3.120 0% 0% 34% 60% 6% 0% 2502 0% 7% 37% 37% 19% 0% Raver AM &ISO 5 641 4 032 7 612 4 871 (160) (101) 664 1 699 1 525 5 650 0% 0% 88% 12% 0% 0'. 130 0% 100% 0% Co% 0% 0% Pace( MeV, AM 5,606 5,069 3.505 1.646 892 479 875 2.365 560 331 5.634 100% 0% 0% 0% 0% 0% 61 0% 0% 0% 100% 0% 0% CGM Funds 5.502 5 450 6 726 4 706 (146) 1947) 2 760 1 239 466 5 682 35% 0% 66% 0% 0% 0% _ _ _ _ — — Wimmtin Trial 5.565 6.195 5.276 6.337 6501 447) (2.314) 1.636 1.439 605 800 0% 0% 100% 0% 0% 0% 364 0% 63% 37% 0% 0% 0% Hencieson Glooa 5,300 5 128 3 148 6 493 1 178 216 789 (3)1) 2 748 1 361 5 108 0% 55% '4% CA 0% 1% 74 0% 0% 0% CA 100% 0% Touchstone I 5,328 5.284 4.614 7.664 7.1(12 (110) (382) (332) /270) 413 3869 0% 0% 66% 30% 0% 4% 521 0% 0% 47% 28% 21% 4% 'Name( MI 5.171 4714 3076 5 206 5 634 200 450 $0 052) (877) 4 916 37% 32% 17% 8% 0% 6% 257 0% 49% 0% 51% 0% 0% CRS( Actors AM 5.036 4.669 3.307 5.335 4.399 91 351 (172) 611 BM 5036 83% 16% 0% 0% 0% 1% _ _ _ _ _ _ _ Fist PAO< MI 5.012 4 061 2.366 4.384 4 093 721 896 277 571 39D 3 791 11% 5% 7% 1% 4% 73% 1.221 0% 0% 0% CA 0% WO% IM WAR Ades AM 5.009 3.782 500 1.033 2.875 479 5,009 0% 0% 0% 0% 0% 100% - - - - - - - MUTUAL FUND MANAGERS $MALL AND MID 312E U.S Source. Strategic Insight Sitting / MF • Inset/eon type AM = Asset Klanager/kxlependent 8 • BankiBroker dealer: I = Insurance: 0 =Other INTERNAL 2 113.Morgan SDNY_GM_00077846 Confidential Treatment Requested by JPMorgan Chase JPM-SDNY-00000973 EFTA_00188314 EFTA01300668