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I•• I••••••••• M••••••••• A••••••••• •••• K•••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

I•• I••••••••• M••••••••• A••••••••• •••• K•••• L•••

CRD 136016

H••• K•••

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Search this name across graphsid dfx:ria:245293ad-f32b-d195-3ad6-252ed44fff84

Data as of Nov 15, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Nov 15, 2012
4 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $4.9BItem 5.F on the latest filing (2012-11-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.9B
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

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
B••••• S•••••	Director	Na	yes	10/2012	Nov 15, 2012	Nov 15, 2012
I•• G•••• N•••	Shareholder	E	yes	05/1997	Mar 29, 2012

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
I•• I••••••••• M••••••••• C•• L••	n/a	Asset manager	$275B	N	yes	n/a
I•• I••••••••• L••	n/a	Asset manager	$59B	N	yes

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
2011	Mar 30, 2012	$4.9B	$4.9B	n/a	n/a	n/a	n/a	n/a

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
2011	$4.9B	n/a	n/a	n/a	n/a	117	n/a	n/a	n/a

Relationships

Affiliated with (4)

← VOYA INVESTMENT MANAGEMENT (UK) LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ VOYA INVESTMENT MANAGEMENT CO. LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ GOLDMAN SACHS ADVISORS B.V.Registered adviserother investment adviser, common control
factForm ADV
→ VOYA INVESTMENTS, LLCRegistered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:245293ad-f32b-d195-3ad6-252ed44fff84
First observed: Mar 29, 2012
Last observed: Nov 15, 2012 168 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.