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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

VIRTUS RETIREMENT INVESTMENT ADVISERS, LLC

CRD 281314

HARTFORD, CT

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:57f76320-2301-1dd7-fecc-dd99bdcaa64f

Data as of Jan 16, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 1
On other graphs: 0
Observed: Sep 4, 2015 to Jan 16, 2019
8 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-106649
CRD: 281314
Filings on the tape: 8
First filed: Sep 4, 2015
Latest filed: Jan 16, 2019
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
ANGERTHAL, MICHAEL, AARON	EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER	Na	yes	06/2015	Sep 4, 2015	Jan 16, 2019
AYLWARD, GEORGE, ROBERT	PRESIDENT AND CHAIRMAN	Na	yes	06/2015	Sep 4, 2015	Jan 16, 2019
FLYNN, MARK, STEPHEN	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND ASSISTANT SECRETARY	Na	yes	06/2015	Sep 4, 2015	Jan 16, 2019
VIRTUS INVESTMENT PARTNERS, INC.	Shareholder	E	yes	11/2008	Sep 4, 2015	Jan 16, 2019
VIRTUS PARTNERS, INC.	Member	E	yes	06/2015	Sep 4, 2015	Jan 16, 2019
WALTMAN, FRANCIS, GEORGE	EXECUTIVE VICE PRESIDENT	Na	yes	06/2015	Sep 4, 2015	Jan 16, 2019
CARR, KEVIN, JOHN	SENIOR VICE PRESIDENT AND SECRETARY	Na	no	06/2015	Sep 4, 2015	Jan 16, 2019
FUSCO, DAVID, ELLIOT	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	no	06/2015	Sep 4, 2015	Jan 16, 2019

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
VIRTUS INVESTMENT ADVISERS, INC.	n/a	Asset manager	$52B	N	yes	n/a
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC	n/a	Mixed wealth	$39B	N	yes	n/a
SEIX INVESTMENT ADVISORS LLC	n/a	Other adviser	$35B	N	yes	n/a
SUSTAINABLE GROWTH ADVISERS, LP	n/a	Asset manager	$17B	N	yes	n/a
DUFF & PHELPS INVESTMENT MANAGEMENT CO.	n/a	Asset manager	$13B	N	yes	n/a
NEWFLEET ASSET MANAGEMENT, LLC	n/a	Former SEC adviser	$10B	N	yes	n/a
CEREDEX VALUE ADVISORS LLC	n/a	Other adviser	$3.4B	N	yes	n/a
SILVANT CAPITAL MANAGEMENT LLC	n/a	Asset manager	$3.0B	N	yes	n/a
VIRTUS FUND ADVISERS, LLC	n/a	Other adviser	$1.5B	N	yes	n/a
VIRTUS ETF ADVISERS LLC	n/a	Other adviser	$1.4B	N	yes	n/a
RAMPART INVESTMENT MANAGEMENT COMPANY, LLC	n/a	Former SEC adviser	$1.2B	N	yes	n/a
VIRTUS ALTERNATIVE INVESTMENT ADVISERS, INC.	n/a	Asset manager	$1.1B	N	yes	n/a
SEIX CLO MANAGEMENT LLC	n/a	Asset manager	$336M	Y	yes	n/a
ETF DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a
VP DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a
ZWEIG ADVISERS LLC	n/a	Former SEC adviser	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	Offices	Private funds	Fund GAV
2017	Mar 28, 2018	$16.4M	$16.4M	0	n/a	n/a
2016	Mar 30, 2017	$12.6M	$12.6M	n/a	n/a	n/a
2015	Mar 29, 2016	$0	$0	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
2017	n/a	$12.6M	n/a	n/a	n/a	0	0	0	n/a

Relationships

Affiliated with (17)

→ NEWFLEET ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ VIRTUS INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ DUFF & PHELPS INVESTMENT MANAGEMENT CO.Registered adviserother investment adviser, bank, common control
factForm ADV
→ VIRTUS CAPITAL ADVISERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ ZWEIG ADVISERS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ SUSTAINABLE GROWTH ADVISERS, LPRegistered adviserother investment adviser, common control
factForm ADV
→ VIRTUS ALTERNATIVE INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ CEREDEX VALUE ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SILVANT CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ VIRTUS FIXED INCOME ADVISERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ RAMPART INVESTMENT MANAGEMENTRegistered adviserother investment adviser, bank, common control
factForm ADV
→ VIRTUS ADVISERS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ SEIX CLO MANAGEMENT LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← ZWEIG ADVISERS LLCRegistered adviserother investment adviser, common control
factForm ADV
← EUCLID ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
← CLIFFWATER INVESTMENTS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV

Controls (6)

← WALTMAN, FRANCIS, GEORGEOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Sep 4, 2015 to presentfactForm ADV
← AYLWARD, GEORGE, ROBERTOwnerPRESIDENT AND CHAIRMAN, ownership code NA, individual
Sep 4, 2015 to presentfactForm ADV
← ANGERTHAL, MICHAEL, AARONOwnerEXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Sep 4, 2015 to presentfactForm ADV
← FLYNN, MARK, STEPHENOwnerEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND ASSISTANT SECRETARY, ownership code NA, individual
Sep 4, 2015 to presentfactForm ADV
← VIRTUS INVESTMENT PARTNERS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Sep 4, 2015 to presentfactForm ADV
← VIRTUS PARTNERS, INC.OwnerMEMBER, ownership code E, domestic entity
Sep 4, 2015 to presentfactForm ADV

Owns (2)

← FUSCO, DAVID, ELLIOTOwnerVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 4, 2015 to presentfactForm ADV
← CARR, KEVIN, JOHNOwnerSENIOR VICE PRESIDENT AND SECRETARY, ownership code NA, individual
Sep 4, 2015 to presentfactForm ADV

Dated events

Occurred
Sep 4, 2015
First Form ADV filing
Virtus Retirement Investment Advisers, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:57f76320-2301-1dd7-fecc-dd99bdcaa64f
First observed: Sep 4, 2015
Last observed: Jan 16, 2019 93 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.

VIRTUS RETIREMENT INVESTMENT ADVISERS, LLC

CRD 281314

HARTFORD, CT

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:57f76320-2301-1dd7-fecc-dd99bdcaa64f

Data as of Jan 16, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:35 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANGERTHAL, MICHAEL, AARON

EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER

yes

06/2015

Sep 4, 2015

Jan 16, 2019

AYLWARD, GEORGE, ROBERT

PRESIDENT AND CHAIRMAN

yes

06/2015

Sep 4, 2015

Jan 16, 2019

FLYNN, MARK, STEPHEN

EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, AND ASSISTANT SECRETARY

yes

06/2015

Sep 4, 2015

Jan 16, 2019

VIRTUS INVESTMENT PARTNERS, INC.

Shareholder

yes

11/2008

Sep 4, 2015

Jan 16, 2019

VIRTUS PARTNERS, INC.

Member

yes

06/2015

Sep 4, 2015

Jan 16, 2019

WALTMAN, FRANCIS, GEORGE

EXECUTIVE VICE PRESIDENT

yes

06/2015

Sep 4, 2015

Jan 16, 2019

CARR, KEVIN, JOHN

SENIOR VICE PRESIDENT AND SECRETARY

06/2015

Sep 4, 2015

Jan 16, 2019

FUSCO, DAVID, ELLIOT

VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER

06/2015

Sep 4, 2015

Jan 16, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VIRTUS INVESTMENT ADVISERS, INC.

n/a

Asset manager

$52B

yes

n/a

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

n/a

Mixed wealth

$39B

yes

n/a

SEIX INVESTMENT ADVISORS LLC

n/a

Other adviser

$35B

yes

n/a

SUSTAINABLE GROWTH ADVISERS, LP

n/a

Asset manager

$17B

yes

n/a

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

n/a

Asset manager

$13B

yes

n/a

NEWFLEET ASSET MANAGEMENT, LLC

n/a

Former SEC adviser

$10B

yes

n/a

CEREDEX VALUE ADVISORS LLC

n/a

Other adviser

$3.4B

yes

n/a

SILVANT CAPITAL MANAGEMENT LLC

n/a

Asset manager

$3.0B

yes

n/a

VIRTUS FUND ADVISERS, LLC

n/a

Other adviser

$1.5B

yes

n/a

VIRTUS ETF ADVISERS LLC

n/a

Other adviser

$1.4B

yes

n/a

RAMPART INVESTMENT MANAGEMENT COMPANY, LLC

n/a

Former SEC adviser

$1.2B

yes

n/a

VIRTUS ALTERNATIVE INVESTMENT ADVISERS, INC.

n/a

Asset manager

$1.1B

yes

n/a

SEIX CLO MANAGEMENT LLC

n/a

Asset manager

$336M

yes

n/a

ETF DISTRIBUTORS LLC

n/a

yes

n/a

VP DISTRIBUTORS LLC

n/a

yes

n/a

ZWEIG ADVISERS LLC

n/a

Former SEC adviser

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 28, 2018

$16.4M

n/a

2016

Mar 30, 2017

$12.6M

n/a

2015

Mar 29, 2016

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

n/a

$12.6M

n/a