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Ownership of Mutual Funds, Shareholder Sentiment, and Use of the Internet, 2011

» “Tone at the top” is critical to promoting a risk-conscious culture. Senior management’s support, reinforcement, and continuing implementation of a robust risk management program are essential for setting a risk-conscious tone in an organization. Fund boards reinforce the tone through their focus and engagement on the topic of risk management. » Risk management is a process, not a project. Risk management is not a one-time or periodic assessment of risks; rather, it should be an ongoing part of business operations. Risk management fills a need not met by individual control functions such as compliance, legal,. | ICI RESEARCH PERSPECTIVE 1401 H STREET NW SUITE 1200 WASHINGTON DC 20005 202 326-5800 WWW.ICI.ORG OCTOBER 2011 VOL. 17 NO. 5 WHAT S INSIDE 2 U.S. Households Ownership of Mutual Funds 8 Shareholder Sentiment About the Mutual Fund Industry 19 Shareholder Interaction with Advisers 20 Mutual Fund Owners and Internet Access 26 Appendix Additional Data on Ownership of Mutual Funds 2011 46 Notes 47 References Michael Bogdan Associate Economist Sarah Holden Senior Director of Retirement and Investor Research and Daniel Schrass Associate Economist prepared this report. Suggested citation Bogdan Michael Sarah Holden and Daniel Schrass. 2011. Ownership of Mutual Funds Shareholder Sentiment and Use of the Internet 2011. ICI Research Perspective 17 no. 5 October . Available at www.ici.org pdf per17-05.pdf. Ownership of Mutual Funds Shareholder Sentiment and Use of the Internet 2011 KEY FINDINGS In 2011 45.0 percent of U.S. households owned shares of mutual funds or other U.S.-registered investment companies including exchange-traded funds closed-end funds and unit investment trusts representing an estimated 53.4 million households and 92.3 million investors. Mutual funds were the most common type of investment company owned with 52.3 million U.S. households or 44.1 percent owning mutual funds in 2011. The survey also found that 90.4 million individual investors owned mutual funds in 2011. Most U.S. mutual fund shareholders had moderate household incomes and were in their peak earning and saving years. More than half of U.S. households owning mutual funds had incomes between 25 000 and 99 999 and about two-thirds were headed by individuals between the ages of 35 and 64 in 2011. More than twice as many U.S. households owned mutual funds through tax-deferred accounts-employer-sponsored retirement plans IRAs and variable annuities-as owned mutual funds outside such accounts. Mutual fund owners reported that investment performance was the most influential of the many factors that .