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The intelligence graph connecting private capital, companies and real assets. Public records ingested on their own cadence, resolved to one identity by shared identifier, connected by typed relationships with a date and a source on every edge, and read by detectors that say what changed and what it means. Facts, derived metrics, signals, anomalies and inferences are labelled as such.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

VOYA INVESTMENT MANAGEMENT (UK) LIMITED

CRD 159442

LONDON

Full profile on RIA / Wealth Management →Search this name across graphsid dfx:ria:445262cc-fb7c-e2c8-0c25-1cba57031e36

Data as of Oct 23, 2014 (this record's last observation) from sec_form_adv_history, sec_adv_roster, iapd_firm_feed. Page built Sep 18, 2026, 9:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 0
On other graphs: 0
Observed: Nov 15, 2011 to Oct 23, 2014
16 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: $52.8MItem 5.F on the latest filing (2014-10-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $52.8M
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: 3
Advisory employees: 3
Accounts: 1
SEC number: 801-72900
CRD: 159442
Filings on the tape: 16
First filed: Nov 15, 2011
Latest filed: Oct 23, 2014
Organised: Other (specify)

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
BECKER, JEFFREY, TODD	CHIEF EXECUTIVE OFFICER	NA	yes	01/2010	Nov 15, 2011	Oct 23, 2014
ING GROEP N.V.	SHAREHOLDER	C	yes	09/2013	Nov 15, 2011	Oct 23, 2014
LINS, GERALD, THOMAS	GENERAL COUNSEL	NA	yes	02/2004	Nov 15, 2011	Oct 23, 2014
STRUBEN, WILLEM, HENDRIK OLIVIER	DIRECTOR AND HEAD OF SENIOR LOAN GROUP - EUROPE	NA	yes	01/2012	Nov 15, 2011	Oct 23, 2014
VAN DEN BERG, FLORIS, HUGO GODFRIED	DIRECTOR	NA	yes	01/2012	Nov 15, 2011	Oct 23, 2014
VOYA FINANCIAL, INC.	SHAREHOLDER	E	yes	01/2004	May 28, 2014	Oct 23, 2014
VOYA HOLDINGS INC.	SOLE MEMBER	E	yes	01/2001	Oct 23, 2014	Oct 23, 2014
VOYA INVESTMENT MANAGEMENT CO. LLC	SOLE MEMBER	E	yes	07/2011	May 28, 2014	Oct 23, 2014
VOYA INVESTMENT MANAGEMENT LLC	SOLE MEMBER	E	yes	03/2003	May 28, 2014	Oct 23, 2014
WEBER, MARK, DONALD	DIRECTOR	NA	yes	01/2012	Nov 15, 2011	Oct 23, 2014
WUSSOW-HAMMALIAN, DEBORAH, ANN	CHIEF COMPLIANCE OFFICER	NA	yes	06/2013	Jul 30, 2013	Oct 23, 2014

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	Y	yes	n/a
VOYA INVESTMENTS, LLC	n/a	ASSET MANAGER	$59B	N	yes	n/a
VOYA INVESTMENT MANAGEMENT LLC	n/a	INSTITUTIONAL MANAGER	$39B	Y	yes	n/a
DIRECTED SERVICES LLC	n/a	FORMER SEC ADVISER	$38B	N	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
POMONA MANAGEMENT LLC	n/a	ASSET MANAGER	$15B	N	yes	n/a
ING INVESTMENT MANAGEMENT INTERNATIONAL LLC	n/a	FORMER SEC ADVISER	$7.0B	N	yes	n/a
ING INVESTMENT MANAGEMENT ASIA/PACIFIC (HONG KONG) LTD.	n/a	FORMER SEC ADVISER	$4.9B	N	yes	n/a
VOYA FINANCIAL ADVISORS, INC.	n/a	BD AFFILIATED WEALTH	$3.9B	N	yes	n/a
ING INVESTMENT MANAGEMENT ADVISORS B V	n/a	FORMER SEC ADVISER	$2.5B	N	yes	n/a
ING ASSET MANAGEMENT B.V.	n/a	n/a	n/a	N	yes	n/a
ING FUND MANAGEMENT B.V.	n/a	n/a	n/a	N	yes	n/a
ING INVESTMENT MANAGEMENT LUXEMBOURG SA	n/a	n/a	n/a	N	yes	n/a
POMONA AUSTRALIA PTY LTD	n/a	n/a	n/a	N	yes	n/a
POMONA CAPITAL ASIA LIMITED	n/a	n/a	n/a	N	yes	n/a
POMONA EUROPE ADVISERS LIMITED	n/a	n/a	n/a	N	yes	n/a
VOYA ALTERNATIVE ASSET MANAGEMENT IRELAND LIMITED	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 FURMAN SELZ INVESTMENTS III LLC	n/a	n/a	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

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SCOTTSDALE	AZ	United States	n/a	no
NEW YORK	NY	United States	n/a	no

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
2013	Apr 2, 2014	$52.5M	$52.5M	3	3	n/a	n/a	n/a
2012	Mar 28, 2013	$59.2M	$59.2M	3	3	n/a	n/a	n/a
2011	Mar 30, 2012	$44.0M	$44.0M	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
2013	$52.8M	$59.2M	-10.9%	n/a	n/a	3	3	n/a	n/a

Relationships

Affiliated with (18)

← VOYA INVESTMENT MANAGEMENT CO. LLCRegistered adviserother investment adviser, control, common control
factsec_form_adv_history
← VOYA ALTERNATIVE ASSET MANAGEMENT LLCRegistered adviserother investment adviser, control, common control
factsec_form_adv_history
← VOYA INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, control, common control
factsec_form_adv_history
← POMONA CAPITALRegistered adviserother investment adviser, common control
factsec_form_adv_history
← CZECH ASSET MANAGEMENT, L.P.Registered adviserother investment adviser, control, common control
factsec_form_adv_history
← VOYA RETIREMENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factsec_form_adv_history
← VOYA FINANCIAL PARTNERS, LLCRegistered adviserother investment adviser, common control
factsec_form_adv_history
→ VOYA INVESTMENT MANAGEMENT CO. LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factsec_form_adv_history
→ GOLDMAN SACHS ADVISORS B.V.Registered adviserother investment adviser, common control
factsec_form_adv_history
→ VOYA ALTERNATIVE ASSET MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factsec_form_adv_history
→ VOYA INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, control, common control
factsec_form_adv_history
→ VOYA INVESTMENTS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factsec_form_adv_history
→ ING INVESTMENT MANAGEMENT ASIA/PACIFIC (HONG KONG) LTD.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factsec_form_adv_history
→ POMONA CAPITALRegistered adviserother investment adviser, bank, common control
factsec_form_adv_history
→ NN INVESTMENT PARTNERS NORTH AMERICA LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factsec_form_adv_history
→ DIRECTED SERVICES LLCRegistered adviserother investment adviser, broker-dealer, common control
factsec_form_adv_history
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserother investment adviser, broker-dealer, common control
factsec_form_adv_history
→ VOYA RETIREMENT ADVISORS, LLCRegistered adviserother investment adviser, broker-dealer, common control
factsec_form_adv_history

Controls (11)

← WUSSOW-HAMMALIAN, DEBORAH, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 30, 2013 to presentfactsec_form_adv_history
← LINS, GERALD, THOMASOwnerGENERAL COUNSEL, ownership code NA, individual
Nov 15, 2011 to presentfactsec_form_adv_history
← WEBER, MARK, DONALDOwnerDIRECTOR, ownership code NA, individual
Nov 15, 2011 to presentfactsec_form_adv_history
← STRUBEN, WILLEM, HENDRIK OLIVIEROwnerDIRECTOR AND HEAD OF SENIOR LOAN GROUP - EUROPE, ownership code NA, individual
Nov 15, 2011 to presentfactsec_form_adv_history
← VAN DEN BERG, FLORIS, HUGO GODFRIEDOwnerDIRECTOR, ownership code NA, individual
Nov 15, 2011 to presentfactsec_form_adv_history
← BECKER, JEFFREY, TODDOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Nov 15, 2011 to presentfactsec_form_adv_history
← ING GROEP N.V.OwnerSHAREHOLDER, ownership code C, foreign entity
Nov 15, 2011 to presentfactsec_form_adv_history
← VOYA FINANCIAL, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
May 28, 2014 to presentfactsec_form_adv_history
← VOYA HOLDINGS INC.OwnerSOLE MEMBER, ownership code E, domestic entity
Oct 23, 2014 to presentfactsec_form_adv_history
← VOYA INVESTMENT MANAGEMENT CO. LLCOwnerSOLE MEMBER, ownership code E, domestic entity
May 28, 2014 to presentfactsec_form_adv_history
← VOYA INVESTMENT MANAGEMENT LLCOwnerSOLE MEMBER, ownership code E, domestic entity
May 28, 2014 to presentfactsec_form_adv_history

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:445262cc-fb7c-e2c8-0c25-1cba57031e36
First observed: Nov 15, 2011
Last observed: Oct 23, 2014 144 months ago
Sources: sec_form_adv_history, sec_adv_roster, iapd_firm_feed
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 INVESTMENT MANAGEMENT (UK) LIMITED

CRD 159442

LONDON

Data as of Oct 23, 2014 (this record's last observation) from sec_form_adv_history, sec_adv_roster, iapd_firm_feed. Page built Sep 18, 2026, 9:57 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BECKER, JEFFREY, TODD

CHIEF EXECUTIVE OFFICER

yes

01/2010

Nov 15, 2011

Oct 23, 2014

ING GROEP N.V.

SHAREHOLDER

yes

09/2013

Nov 15, 2011

Oct 23, 2014

LINS, GERALD, THOMAS

GENERAL COUNSEL

yes

02/2004

Nov 15, 2011

Oct 23, 2014

STRUBEN, WILLEM, HENDRIK OLIVIER

DIRECTOR AND HEAD OF SENIOR LOAN GROUP - EUROPE

yes

01/2012

Nov 15, 2011

Oct 23, 2014

VAN DEN BERG, FLORIS, HUGO GODFRIED

DIRECTOR

yes

01/2012

Nov 15, 2011

Oct 23, 2014

VOYA FINANCIAL, INC.

SHAREHOLDER

yes

01/2004

May 28, 2014

Oct 23, 2014

VOYA HOLDINGS INC.

SOLE MEMBER

yes

01/2001

Oct 23, 2014

VOYA INVESTMENT MANAGEMENT CO. LLC

SOLE MEMBER

yes

07/2011

May 28, 2014

Oct 23, 2014

VOYA INVESTMENT MANAGEMENT LLC

SOLE MEMBER

yes

03/2003

May 28, 2014

Oct 23, 2014

WEBER, MARK, DONALD

DIRECTOR

yes

01/2012

Nov 15, 2011

Oct 23, 2014

WUSSOW-HAMMALIAN, DEBORAH, ANN

CHIEF COMPLIANCE OFFICER

yes

06/2013

Jul 30, 2013

Oct 23, 2014

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

DIRECTED SERVICES LLC

n/a

FORMER SEC ADVISER

$38B

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

POMONA MANAGEMENT LLC

n/a

ASSET MANAGER

$15B

yes

n/a

ING INVESTMENT MANAGEMENT INTERNATIONAL LLC

n/a

FORMER SEC ADVISER

$7.0B

yes

n/a

ING INVESTMENT MANAGEMENT ASIA/PACIFIC (HONG KONG) LTD.

n/a

FORMER SEC ADVISER

$4.9B

yes

n/a

VOYA FINANCIAL ADVISORS, INC.

n/a

BD AFFILIATED WEALTH

$3.9B

yes

n/a

ING INVESTMENT MANAGEMENT ADVISORS B V

n/a

FORMER SEC ADVISER

$2.5B

yes

n/a

ING ASSET MANAGEMENT B.V.

n/a

yes

n/a

ING FUND MANAGEMENT B.V.

n/a

yes

n/a

ING INVESTMENT MANAGEMENT LUXEMBOURG SA

n/a

yes

n/a

POMONA AUSTRALIA PTY LTD

n/a

yes

n/a

POMONA CAPITAL ASIA LIMITED

n/a

yes

n/a

POMONA EUROPE ADVISERS LIMITED

n/a

yes

n/a

VOYA ALTERNATIVE ASSET MANAGEMENT IRELAND LIMITED

n/a

yes

n/a

VOYA AMERICA EQUITIES, INC.

n/a

yes

n/a

VOYA FURMAN SELZ INVESTMENTS III LLC

n/a

yes

n/a

VOYA INVESTMENT TRUST CO.

n/a

yes

n/a

VOYA INVESTMENTS DISTRIBUTOR, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SCOTTSDALE

United States

n/a

NEW YORK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Apr 2, 2014

$52.5M

n/a

2012

Mar 28, 2013

$59.2M

n/a

2011

Mar 30, 2012

$44.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$52.8M

$59.2M

-10.9%

n/a