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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

DIRECTED SERVICES LLC

CRD 21675

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:39a39e54-b8f3-2f4c-7b76-889bc01d4df8

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 62
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2017
17 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: $38BItem 5.F on the latest filing (2017-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $38B
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: 160
Advisory employees: 160
Accounts: 62
SEC number: 801-32675
CRD: 21675
Filings on the tape: 17
First filed: Mar 30, 2012
Latest filed: Mar 30, 2017
Organised: Limited Liability Company, Delaware

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
FAVER, MICHELINE SUZANNE	VICE PRESIDENT AND INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER	Na	yes	06/2016	Jun 29, 2016	Mar 30, 2017
MATHEWS, SHAUN PATRICK	EXECUTIVE VICE PRESIDENT	Na	yes	01/2006	Mar 30, 2012	Mar 30, 2017
PENDERGRASS, DAVID SCOTT	SENIOR VICE PRESIDENT, TREASURER	Na	yes	01/2006	Mar 30, 2012	Mar 30, 2017
ROLAND, MICHAEL JOHN	SENIOR VICE PRESIDENT	Na	yes	04/2011	Mar 30, 2012	Mar 30, 2017
TOPE, CHAD JOSEPH	PRESIDENT AND DIRECTOR	Na	yes	01/2011	Mar 30, 2012	Mar 30, 2017
VOYA FINANCIAL, INC.	Owner	E	yes	09/2000	Jun 25, 2014	Mar 30, 2017
VOYA HOLDINGS, INC.	Owner	E	yes	12/2000	Dec 16, 2014	Mar 30, 2017
VOYA RETIREMENT INSURANCE & ANNUITY COMPANY	SOLE MEMBER	E	yes	12/2006	Dec 16, 2014	Mar 30, 2017
DUNKIN, ZACHARY JAMES	VICE PRESIDENT	Na	no	05/2016	Jun 29, 2016	Mar 30, 2017
GORDON, REGINA AVERY	BROKER DEALER CHIEF COMPLIANCE OFFICER	Na	no	03/2013	Mar 28, 2013	Mar 30, 2017
HULTGREN, KRISTIN HENDERSON	CHIEF FINANCIAL OFFICER	Na	no	05/2016	Jun 29, 2016	Mar 30, 2017
NICHOLS, JAMES LUTHER IV	Director	Na	no	11/2014	Dec 16, 2014	Mar 30, 2017

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 INVESTMENTS, LLC	n/a	Asset manager	$59B	N	yes	n/a
VOYA INVESTMENT MANAGEMENT LLC	n/a	Institutional manager	$39B	N	yes	n/a
VOYA RETIREMENT ADVISORS, LLC	n/a	Other adviser	$37B	N	yes	n/a
VOYA FINANCIAL ADVISORS, INC.	n/a	Bd affiliated wealth	$3.9B	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
SECURITY LIFE OF DENVER INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
VOYA AMERICA EQUITIES, INC.	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 INSURANCE AND ANNUITY COMPANY	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	Y	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
2016	Mar 30, 2017	$38B	$38B	160	160	n/a	n/a	n/a
2015	Mar 18, 2016	$37B	$37B	150	150	n/a	n/a	n/a
2014	Mar 27, 2015	$43B	$43B	22	7	n/a	n/a	n/a
2013	Mar 28, 2014	$47B	$47B	22	7	n/a	n/a	n/a
2012	Mar 28, 2013	$42B	$42B	24	7	n/a	n/a	n/a
2011	Mar 30, 2012	$38B	$38B	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
2016	$38B	$37B	4.8%	$47B	-6.5%	160	150	n/a	n/a

Relationships

Affiliated with (9)

← VENERABLE INVESTMENT ADVISERS, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← POMONA CAPITALRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ VOYA INVESTMENT MANAGEMENT CO. LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ VOYA INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ VOYA INVESTMENTS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, 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, broker-dealer, common control
factForm ADV
← VOYA INVESTMENT MANAGEMENT (UK) LIMITEDRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (8)

← ROLAND, MICHAEL JOHNOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← MATHEWS, SHAUN PATRICKOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← TOPE, CHAD JOSEPHOwnerPRESIDENT AND DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← PENDERGRASS, DAVID SCOTTOwnerSENIOR VICE PRESIDENT, TREASURER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← FAVER, MICHELINE SUZANNEOwnerVICE PRESIDENT AND INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 29, 2016 to presentfactForm ADV
← VOYA FINANCIAL, INC.OwnerOWNER, ownership code E, domestic entity
Jun 25, 2014 to presentfactForm ADV
← VOYA HOLDINGS, INC.OwnerOWNER, ownership code E, domestic entity
Dec 16, 2014 to presentfactForm ADV
← VOYA RETIREMENT INSURANCE & ANNUITY COMPANYOwnerSOLE MEMBER, ownership code E, domestic entity
Dec 16, 2014 to presentfactForm ADV

Owns (4)

← GORDON, REGINA AVERYOwnerBROKER DEALER CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← DUNKIN, ZACHARY JAMESOwnerVICE PRESIDENT, ownership code NA, individual
Jun 29, 2016 to presentfactForm ADV
← NICHOLS, JAMES LUTHER IVOwnerDIRECTOR, ownership code NA, individual
Dec 16, 2014 to presentfactForm ADV
← HULTGREN, KRISTIN HENDERSONOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jun 29, 2016 to presentfactForm ADV

Registered with (41)

← WILLIAM LEO LOWEAdvisorregistration: previous registration
Jul 29, 2009 to Jan 18, 2011factForm ADV
← KERRY CAHILLAdvisorregistration: previous registration
Dec 14, 2009 to Dec 31, 2010factForm ADV
← CHARLIE LEONARD GIPPLEAdvisorregistration: previous registration
Sep 21, 2009 to Dec 31, 2010factForm ADV
← Allan OehrleinAdvisorregistration: previous registration
Sep 28, 2009 to Dec 31, 2010factForm ADV
← ANDREW MICHAEL REINDERSAdvisorregistration: previous registration
Sep 2, 2009 to Dec 31, 2010factForm ADV
← GREGORY JOHN BONZAGNIAdvisorregistration: previous registration
Nov 26, 2009 to Dec 15, 2010factForm ADV
← JASON GRANT BUCKAdvisorregistration: previous registration
Nov 24, 2009 to Dec 9, 2010factForm ADV
← AMANDA R. LANSDELLAdvisorregistration: previous registration
May 7, 2010 to Dec 1, 2010factForm ADV
← NEIL LAWRENCE DUNHAMAdvisorregistration: previous registration
Dec 18, 2009 to Dec 1, 2010factForm ADV
← GREGORY LOUIS SCHORPAdvisorregistration: previous registration
Sep 1, 2009 to Dec 1, 2010factForm ADV
← JOHN HENSELERAdvisorregistration: previous registration
Jun 10, 2010 to Dec 1, 2010factForm ADV
← DONALD JOHN BELLEFYAdvisorregistration: previous registration
Nov 30, 2009 to Dec 1, 2010factForm ADV
← Warren KimAdvisorregistration: previous registration
Dec 9, 2009 to Dec 1, 2010factForm ADV
← Matthew ShriberAdvisorregistration: previous registration
May 6, 2010 to Dec 1, 2010factForm ADV
← Timothy James WilliamsAdvisorregistration: previous registration
Aug 3, 2009 to Dec 1, 2010factForm ADV
← CY OCTAVIAN ALEMANAdvisorregistration: previous registration
Sep 1, 2009 to Dec 1, 2010factForm ADV
← MARY MACINTOSH HARRISAdvisorregistration: previous registration
Aug 13, 2009 to Dec 1, 2010factForm ADV
← JOHN ROBERT ORWIGAdvisorregistration: previous registration
Jan 1, 2010 to Dec 1, 2010factForm ADV
← STEVEN JOSEPH DEACONAdvisorregistration: previous registration
Nov 12, 2009 to Dec 1, 2010factForm ADV
← MARK LOUIS GLASSAdvisorregistration: previous registration
Dec 2, 2009 to Dec 1, 2010factForm ADV
← ROBERT GROSCHAdvisorregistration: previous registration
Sep 23, 2009 to Nov 30, 2010factForm ADV
← DAVID ASHLEY IOBSTAdvisorregistration: previous registration
Aug 13, 2009 to Nov 30, 2010factForm ADV
← ERIC WILLIAM RHOADSAdvisorregistration: previous registration
Nov 23, 2009 to Nov 30, 2010factForm ADV
← MICHAEL JEFFREY CONNORAdvisorregistration: previous registration
Sep 22, 2009 to Nov 30, 2010factForm ADV
← DERRICK RICHARD STANCICKAdvisorregistration: previous registration
Nov 23, 2009 to Nov 30, 2010factForm ADV
← ANDREW PAUL WOODAdvisorregistration: previous registration
Sep 24, 2009 to Nov 30, 2010factForm ADV
← PATRICK JOHN CARROLLAdvisorregistration: previous registration
Sep 28, 2009 to Nov 30, 2010factForm ADV
← JOHN MICHAEL HANSONAdvisorregistration: previous registration
Dec 22, 2009 to Sep 20, 2010factForm ADV
← SARAH LYNN KOTHAdvisorregistration: previous registration
Sep 2, 2009 to Sep 1, 2010factForm ADV
← MICHAEL ANTHONY BERRYAdvisorregistration: previous registration
Sep 3, 2009 to Sep 1, 2010factForm ADV
and 11 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39a39e54-b8f3-2f4c-7b76-889bc01d4df8
First observed: Mar 30, 2012
Last observed: Mar 30, 2017 115 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.

DIRECTED SERVICES LLC

CRD 21675

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:39a39e54-b8f3-2f4c-7b76-889bc01d4df8

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:21 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FAVER, MICHELINE SUZANNE

VICE PRESIDENT AND INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER

yes

06/2016

Jun 29, 2016

Mar 30, 2017

MATHEWS, SHAUN PATRICK

EXECUTIVE VICE PRESIDENT

yes

01/2006

Mar 30, 2012

Mar 30, 2017

PENDERGRASS, DAVID SCOTT

SENIOR VICE PRESIDENT, TREASURER

yes

01/2006

Mar 30, 2012

Mar 30, 2017

ROLAND, MICHAEL JOHN

SENIOR VICE PRESIDENT

yes

04/2011

Mar 30, 2012

Mar 30, 2017

TOPE, CHAD JOSEPH

PRESIDENT AND DIRECTOR

yes

01/2011

Mar 30, 2012

Mar 30, 2017

VOYA FINANCIAL, INC.

Owner

yes

09/2000

Jun 25, 2014

Mar 30, 2017

VOYA HOLDINGS, INC.

Owner

yes

12/2000

Dec 16, 2014

Mar 30, 2017

VOYA RETIREMENT INSURANCE & ANNUITY COMPANY

SOLE MEMBER

yes

12/2006

Dec 16, 2014

Mar 30, 2017

DUNKIN, ZACHARY JAMES

VICE PRESIDENT

05/2016

Jun 29, 2016

Mar 30, 2017

GORDON, REGINA AVERY

BROKER DEALER CHIEF COMPLIANCE OFFICER

03/2013

Mar 28, 2013

Mar 30, 2017

HULTGREN, KRISTIN HENDERSON

CHIEF FINANCIAL OFFICER

05/2016

Jun 29, 2016

Mar 30, 2017

NICHOLS, JAMES LUTHER IV

Director

11/2014

Dec 16, 2014

Mar 30, 2017

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 INVESTMENTS, LLC

n/a

Asset manager

$59B

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 FINANCIAL ADVISORS, INC.

n/a

Bd affiliated wealth

$3.9B

yes

n/a

RELIASTAR LIFE INSURANCE COMPANY

n/a

yes

n/a

RELIASTAR LIFE INSURANCE COMPANY OF NEW YORK

n/a

yes

n/a

SECURITY LIFE OF DENVER INSURANCE COMPANY

n/a

yes

n/a

VOYA AMERICA EQUITIES, INC.

n/a

yes

n/a

VOYA FINANCIAL PARTNERS, LLC

n/a

Former SEC adviser

n/a

yes

n/a

VOYA INSURANCE AND ANNUITY COMPANY

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

2016

Mar 30, 2017

$38B

160

n/a

2015

Mar 18, 2016

$37B

150

n/a

2014

Mar 27, 2015

$43B

n/a

2013

Mar 28, 2014

$47B

n/a

2012

Mar 28, 2013

$42B

n/a

2011

Mar 30, 2012

$38B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$38B

$37B

4.8%

$47B

-6.5%

160

150

n/a