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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

VOYA INVESTMENTS, LLC

CRD 111091

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:1cccb3e6-32ac-c6e5-ef36-aa2f71791105

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 15
On other graphs: 0
Observed: Mar 30, 2012 to Mar 31, 2026
32 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=11.0
Regulatory AUM: $59BItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $59B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 104
Advisory employees: 71
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 107
SEC number: 801-48282
CRD: 111091
Filings on the tape: 32
First filed: Mar 30, 2012
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, AZ

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
ML CLO XV PILGRIM AMERICA (CAYMAN), LTD.	Securitized Asset Fund	$219,617	Mar 31, 2023	21	Mar 30, 2012	dropped	n/a
ML CLO XX PILGRIM AMERICA (CAYMAN), LTD.	Securitized Asset Fund	$170,647	Mar 31, 2023	10	Mar 30, 2012	dropped	n/a
PILGRIM CLO 1999-1, LTD.	Securitized Asset Fund	$10,865	Mar 31, 2023	4	Mar 30, 2012	dropped	n/a
ML CLO XII PILGRIM AMERICA (CAYMAN), LTD.	Securitized Asset Fund	$3,146	Mar 29, 2019	24	Mar 30, 2012	dropped	n/a
NORTHSTAR CBO 1997-1 LTD.	Securitized Asset Fund	$0	Mar 31, 2023	24	Mar 30, 2012	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FALGOUT, HUEY, PAUL	Secretary	Na	yes	01/2004	Mar 30, 2012	Aug 8, 2024
MCKENNA, ERICA, NMN	CHIEF COMPLIANCE OFFICER	Na	yes	08/2022	Aug 23, 2022	Aug 8, 2024
NASH, JONATHAN, DOV	EXECUTIVE VICE PRESIDENT & CHIEF INVESTMENT RISK OFFICER	Na	yes	03/2020	Mar 30, 2020	Aug 8, 2024
POTESTA, TIFFANI, ANNE	HEAD OF DISTRIBUTION & SENIOR MANAGING DIRECTOR	Na	yes	07/2024	Jul 16, 2024	Aug 8, 2024
VIM HOLDINGS LLC	SOLE MEMBER	E	yes	07/2022	Aug 23, 2022	Aug 8, 2024
VOYA FINANCIAL, INC.	Owner	E	yes	09/2000	May 30, 2014	Aug 8, 2024
VOYA FUNDS SERVICES, LLC	SOLE MEMBER	E	yes	12/1994	May 30, 2014	Aug 8, 2024
VOYA HOLDINGS, INC.	Shareholder	E	yes	07/2022	Nov 26, 2014	Aug 8, 2024
VOYA INVESTMENT MANAGEMENT LLC	Member	E	yes	12/2007	May 30, 2014	Aug 8, 2024
WILLINGHAM, CATRINA, NMN	CHIEF FINANCIAL OFFICER	Na	yes	01/2023	Mar 26, 2024	Aug 8, 2024
VOYA CAPITAL, LLC	Member	E	no	11/1999	Nov 26, 2014	Aug 8, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
VOYA INVESTMENT MANAGEMENT CO. LLC	n/a	Asset manager	$275B	N	yes	n/a
VOYA INVESTMENT MANAGEMENT LLC	n/a	Institutional manager	$39B	Y	yes	n/a
VOYA RETIREMENT ADVISORS, LLC	n/a	Other adviser	$37B	N	yes	n/a
VOYA ALTERNATIVE ASSET MANAGEMENT LLC	n/a	Asset manager	$34B	N	yes	n/a
VOYA FINANCIAL ADVISORS, INC.	n/a	Bd affiliated wealth	$3.9B	N	yes	n/a
CZECH ASSET MANAGEMENT, L.P.	n/a	Asset manager	$1.5B	N	yes	n/a
RELIASTAR LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
RELIASTAR LIFE INSURANCE COMPANY OF NEW YORK	n/a	n/a	n/a	N	yes	n/a
VOYA FINANCIAL PARTNERS, LLC	n/a	Former SEC adviser	n/a	N	yes	n/a
VOYA INVESTMENT TRUST CO.	n/a	n/a	n/a	N	yes	n/a
VOYA INVESTMENTS DISTRIBUTOR, LLC	n/a	n/a	n/a	N	yes	n/a
VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$59B	$59B	104	71	0	n/a	n/a
2024	Mar 28, 2025	$55B	$55B	109	71	0	n/a	n/a
2023	Mar 26, 2024	$58B	$58B	121	70	0	n/a	n/a
2022	Mar 31, 2023	$53B	$53B	135	70	0	4	$401,129
2021	Mar 31, 2022	$97B	$97B	113	71	0	4	$401,129
2020	Mar 31, 2021	$91B	$91B	130	130	0	4	$404,963
2019	Mar 30, 2020	$89B	$89B	140	140	0	4	$447,956
2018	Mar 29, 2019	$82B	$82B	135	135	0	5	$465,990
2017	Mar 29, 2018	$95B	$95B	150	150	0	5	$523,261
2016	Mar 30, 2017	$52B	$52B	150	150	n/a	5	$119,329
2015	Mar 18, 2016	$51B	$51B	150	150	n/a	5	$171,777
2014	Mar 27, 2015	$54B	$54B	28	17	n/a	5	$171,777
2013	Mar 28, 2014	$52B	$52B	28	17	n/a	5	$187,000
2012	Mar 28, 2013	$46B	$46B	28	18	n/a	5	$215,000
2011	Mar 30, 2012	$45B	$45B	n/a	n/a	n/a	5	$400,000

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$59B	$55B	7.4%	$53B	3.8%	104	109	0	0

Relationships

Affiliated with (19)

← VOYA FINANCIAL ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ VOYA INVESTMENT MANAGEMENT CO. LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ VOYA ALTERNATIVE ASSET MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ VOYA INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ CZECH ASSET MANAGEMENT, L.P.Registered adviserother investment adviser, common control
factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ VOYA FINANCIAL PARTNERS, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ VOYA RETIREMENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← VOYA INVESTMENT MANAGEMENT CO. LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← VOYA ALTERNATIVE ASSET MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← VOYA INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← POMONA CAPITALRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← CZECH ASSET MANAGEMENT, L.P.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← VOYA INVESTMENT MANAGEMENT (UK) LIMITEDRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← VOYA RETIREMENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← VOYA FINANCIAL PARTNERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← DIRECTED SERVICES LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← VOYA INVESTMENT MANAGEMENT (UK) LIMITEDRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← ING INVESTMENT MANAGEMENT ASIA/PACIFIC (HONG KONG) LTD.Registered adviserother investment adviser, common control
factForm ADV

Controls (10)

← FALGOUT, HUEY, PAULOwnerSECRETARY, ownership code NA, individual
Mar 30, 2012 to Aug 8, 2024factForm ADV
← NASH, JONATHAN, DOVOwnerEXECUTIVE VICE PRESIDENT & CHIEF INVESTMENT RISK OFFICER, ownership code NA, individual
Mar 30, 2020 to Aug 8, 2024factForm ADV
← POTESTA, TIFFANI, ANNEOwnerHEAD OF DISTRIBUTION & SENIOR MANAGING DIRECTOR, ownership code NA, individual
Jul 16, 2024 to Aug 8, 2024factForm ADV
← WILLINGHAM, CATRINA, NMNOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 26, 2024 to Aug 8, 2024factForm ADV
← MCKENNA, ERICA, NMNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 23, 2022 to Aug 8, 2024factForm ADV
← VIM HOLDINGS LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Aug 23, 2022 to Aug 8, 2024factForm ADV
← VOYA FINANCIAL, INC.OwnerOWNER, ownership code E, domestic entity
May 30, 2014 to Aug 8, 2024factForm ADV
← VOYA FUNDS SERVICES, LLCOwnerSOLE MEMBER, ownership code E, domestic entity
May 30, 2014 to Aug 8, 2024factForm ADV
← VOYA HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Nov 26, 2014 to Aug 8, 2024factForm ADV
← VOYA INVESTMENT MANAGEMENT LLCOwnerMEMBER, ownership code E, domestic entity
May 30, 2014 to Aug 8, 2024factForm ADV

Owns (1)

← VOYA CAPITAL, LLCOwnerMEMBER, ownership code E, domestic entity
Nov 26, 2014 to Aug 8, 2024factForm ADV

Advises (5)

→ PILGRIM CLO 1999-1, LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 30, 2012 to Mar 31, 2023factForm ADV
→ ML CLO XV PILGRIM AMERICA (CAYMAN), LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 30, 2012 to Mar 31, 2023factForm ADV
→ NORTHSTAR CBO 1997-1 LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 30, 2012 to Mar 31, 2023factForm ADV
→ ML CLO XX PILGRIM AMERICA (CAYMAN), LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 30, 2012 to Mar 31, 2023factForm ADV
→ ML CLO XII PILGRIM AMERICA (CAYMAN), LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 30, 2012 to Mar 29, 2019factForm ADV

Dated events

Occurred
Jul 16, 2024
Control person joined
Anne Tiffani Potesta (Head Of Distribution & Senior Managing Director) appeared on Schedule A of Voya Investments, Llc
Form ADVobserved 5 days ago
Occurred
Jul 16, 2024
Control person left
John Jacob Tuzza (Head Of Distribution & Senior Managing Director) no longer on Schedule A of Voya Investments, Llc (listed 2024-03-26, absent 2024-07-16)
Form ADVobserved 5 days ago
Occurred
Mar 26, 2024
Control person left
Michael James Fink (Managing Director) no longer on Schedule A of Voya Investments, Llc (listed 2023-03-31, absent 2024-03-26)
Form ADVobserved 5 days ago
Occurred
Mar 26, 2024
Control person joined
Catrina Willingham (Chief Financial Officer) appeared on Schedule A of Voya Investments, Llc
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed
Voya Investments, Llc reported RAUM $53.2B, down 45% from $97.2B (2023-01-25 to 2023-03-31)
Form ADVobserved 5 days ago
$-44.0B
Occurred
Mar 31, 2023
Control person left
Jay Harley Eisner (Chief Financial Officer) no longer on Schedule A of Voya Investments, Llc (listed 2023-01-25, absent 2023-03-31)
Form ADVobserved 5 days ago
Occurred
Jan 25, 2023
Control person left
Dina Santoro (Director, President And Chief Executive Officer) no longer on Schedule A of Voya Investments, Llc (listed 2022-10-25, absent 2023-01-25)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2022
Control person left
Allyn Michael Bell (Director And Chief Executive Officer) no longer on Schedule A of Voya Investments, Llc (listed 2022-08-23, absent 2022-10-25)
Form ADVobserved 5 days ago
Occurred
Aug 23, 2022
Control person left
Suzanne Micheline Faver (Chief Compliance Officer) no longer on Schedule A of Voya Investments, Llc (listed 2022-03-31, absent 2022-08-23)
Form ADVobserved 5 days ago
Occurred
Aug 23, 2022
Control person joined
Nmn Erica Mckenna (Chief Compliance Officer) appeared on Schedule A of Voya Investments, Llc
Form ADVobserved 5 days ago
Occurred
Mar 31, 2022
Control person joined
John Jacob Tuzza (Head Of Distribution & Senior Managing Director) appeared on Schedule A of Voya Investments, Llc
Form ADVobserved 5 days ago
Occurred
Mar 31, 2021
Control person joined
Jay Harley Eisner (Chief Financial Officer) appeared on Schedule A of Voya Investments, Llc
Form ADVobserved 5 days ago
Occurred
Mar 30, 2020
Control person left
David Stanley Vyner (Executive Vice President & Chief Investment Risk Officer) no longer on Schedule A of Voya Investments, Llc (listed 2019-03-29, absent 2020-03-30)
Form ADVobserved 5 days ago
Occurred
Mar 30, 2020
Control person joined
Dov Jonathan Nash (Executive Vice President & Chief Investment Risk Officer) appeared on Schedule A of Voya Investments, Llc
Form ADVobserved 5 days ago
Occurred
Mar 29, 2018
Regulatory AUM changed
Voya Investments, Llc reported RAUM $95.4B, up 84% from $51.9B (2017-03-30 to 2018-03-29)
Form ADVobserved 5 days ago
$43.5B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1cccb3e6-32ac-c6e5-ef36-aa2f71791105
First observed: Mar 30, 2012
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

VOYA INVESTMENTS, LLC

CRD 111091

SCOTTSDALE, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1cccb3e6-32ac-c6e5-ef36-aa2f71791105

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:12 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ML CLO XV PILGRIM AMERICA (CAYMAN), LTD.

Securitized Asset Fund

$219,617

Mar 31, 2023

Mar 30, 2012

dropped

n/a

ML CLO XX PILGRIM AMERICA (CAYMAN), LTD.

Securitized Asset Fund

$170,647

Mar 31, 2023

Mar 30, 2012

dropped

n/a

PILGRIM CLO 1999-1, LTD.

Securitized Asset Fund

$10,865

Mar 31, 2023

Mar 30, 2012

dropped

n/a

ML CLO XII PILGRIM AMERICA (CAYMAN), LTD.

Securitized Asset Fund

$3,146

Mar 29, 2019

Mar 30, 2012

dropped

n/a

NORTHSTAR CBO 1997-1 LTD.

Securitized Asset Fund

Mar 31, 2023

Mar 30, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FALGOUT, HUEY, PAUL

Secretary

yes

01/2004

Mar 30, 2012

Aug 8, 2024

MCKENNA, ERICA, NMN

CHIEF COMPLIANCE OFFICER

yes

08/2022

Aug 23, 2022

Aug 8, 2024

NASH, JONATHAN, DOV

EXECUTIVE VICE PRESIDENT & CHIEF INVESTMENT RISK OFFICER

yes

03/2020

Mar 30, 2020

Aug 8, 2024

POTESTA, TIFFANI, ANNE

HEAD OF DISTRIBUTION & SENIOR MANAGING DIRECTOR

yes

07/2024

Jul 16, 2024

Aug 8, 2024

VIM HOLDINGS LLC

SOLE MEMBER

yes

07/2022

Aug 23, 2022

Aug 8, 2024

VOYA FINANCIAL, INC.

Owner

yes

09/2000

May 30, 2014

Aug 8, 2024

VOYA FUNDS SERVICES, LLC

SOLE MEMBER

yes

12/1994

May 30, 2014

Aug 8, 2024

VOYA HOLDINGS, INC.

Shareholder

yes

07/2022

Nov 26, 2014

Aug 8, 2024

VOYA INVESTMENT MANAGEMENT LLC

Member

yes

12/2007

May 30, 2014

Aug 8, 2024

WILLINGHAM, CATRINA, NMN

CHIEF FINANCIAL OFFICER

yes

01/2023

Mar 26, 2024

Aug 8, 2024

VOYA CAPITAL, LLC

Member

11/1999

Nov 26, 2014

Aug 8, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VOYA INVESTMENT MANAGEMENT CO. LLC

n/a

Asset manager

$275B

yes

n/a

VOYA INVESTMENT MANAGEMENT LLC

n/a

Institutional manager

$39B

yes

n/a

VOYA RETIREMENT ADVISORS, LLC

n/a

Other adviser

$37B

yes

n/a

VOYA ALTERNATIVE ASSET MANAGEMENT LLC

n/a

Asset manager

$34B

yes

n/a

VOYA FINANCIAL ADVISORS, INC.

n/a

Bd affiliated wealth

$3.9B

yes

n/a

CZECH ASSET MANAGEMENT, L.P.

n/a

Asset manager

$1.5B

yes

n/a

RELIASTAR LIFE INSURANCE COMPANY

n/a

yes

n/a

RELIASTAR LIFE INSURANCE COMPANY OF NEW YORK

n/a

yes

n/a

VOYA FINANCIAL PARTNERS, LLC

n/a

Former SEC adviser

n/a

yes

n/a

VOYA INVESTMENT TRUST CO.

n/a

yes

n/a

VOYA INVESTMENTS DISTRIBUTOR, LLC

n/a

yes

n/a

VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$59B

104

n/a

2024

Mar 28, 2025

$55B

109

n/a

2023

Mar 26, 2024

$58B

121

n/a

2022

Mar 31, 2023

$53B

135

$401,129

2021

Mar 31, 2022

$97B

113

$401,129

2020

Mar 31, 2021

$91B

130

$404,963

2019

Mar 30, 2020

$89B

140

$447,956

2018

Mar 29, 2019

$82B

135

$465,990

2017

Mar 29, 2018

$95B

150

$523,261

2016

Mar 30, 2017

$52B

150

n/a

$119,329

2015

Mar 18, 2016

$51B

150

n/a

$171,777

2014

Mar 27, 2015

$54B

n/a

$171,777

2013

Mar 28, 2014

$52B

n/a

$187,000

2012

Mar 28, 2013

$46B

n/a

$215,000

2011

Mar 30, 2012

$45B

n/a

$400,000

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$59B

$55B

7.4%

$53B

3.8%

104

109