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

ASTON ASSET MANAGEMENT

ASTON ASSET MANAGEMENT, LLC, CRD 154318

CHICAGO, IL

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:6094ff25-dcde-8fdb-850d-56357ae6a0d4

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 29, 2016
7 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: $9.4BItem 5.F on the latest filing (2016-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $9.4B
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: 25
Advisory employees: 9
Accounts: 399
SEC number: 801-71598
CRD: 154318
Filings on the tape: 7
First filed: Mar 30, 2012
Latest filed: Mar 29, 2016
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
AFFILIATED MANAGERS GROUP, INC.	SOLE SHAREHOLDER	E	yes	04/1999	Mar 30, 2012	Mar 29, 2016
AMG FUNDS LLC	MANAGING MEMBER	E	yes	05/2014	Jun 26, 2014	Mar 29, 2016
AMG GLOBAL	SOLE SHAREHOLDER	E	yes	12/2012	Jun 26, 2014	Mar 29, 2016
CERUTTI, JEFFREY, THOMAS	CHIEF EXECUTIVE OFFICER	Na	yes	01/2016	Mar 29, 2016	Mar 29, 2016
DILLENBURG, GERALD, FRANCIS	CHIEF COMPLIANCE OFFICER	Na	yes	04/2010	Mar 30, 2012	Mar 29, 2016
KINNE, KEITHA, LEE	CHIEF OPERATING OFFICER/CIO	Na	yes	01/2016	Mar 29, 2016	Mar 29, 2016
MACCONE, JOSEPH, EDMUND	HEAD OF SALES	Na	yes	01/2016	Mar 29, 2016	Mar 29, 2016
TMF CORP.	MANAGING MEMBER	E	yes	04/1999	Jun 26, 2014	Mar 29, 2016
FINNEGAN, WILLIAM, HENRY	CHIEF MARKETING OFFICER	Na	no	01/2016	Mar 29, 2016	Mar 29, 2016
TOWNSEND, CHRISTOPHER, RANDOLPH	CHIEF FINANCIAL OFFICER	Na	no	01/2016	Mar 29, 2016	Mar 29, 2016

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
AMG FUNDS LLC	n/a	Asset manager	$18B	Y	no	n/a
RIVER ROAD ASSET MANAGEMENT, LLC	n/a	Asset manager	$9.9B	N	yes	n/a
AMG DISTRIBUTORS, INC.	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
Greenwich	Ct	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
2015	Mar 29, 2016	$9.4B	$9.4B	25	9	n/a	n/a	n/a
2014	Mar 31, 2015	$14B	$14B	38	9	n/a	n/a	n/a
2013	Mar 31, 2014	$16B	$16B	39	9	n/a	n/a	n/a
2012	Mar 28, 2013	$12B	$12B	40	10	n/a	n/a	n/a
2011	Mar 30, 2012	$10.0B	$9.7B	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
2015	$9.4B	$14B	-34.9%	$12B	-7.2%	25	38	n/a	n/a

Relationships

Affiliated with (2)

→ RIVER ROAD ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ AMG FUNDS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV

Controls (8)

← AMG FUNDS LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Jun 26, 2014 to presentfactForm ADV
← KINNE, KEITHA, LEEOwnerCHIEF OPERATING OFFICER/CIO, ownership code NA, individual
Mar 29, 2016 to presentfactForm ADV
← CERUTTI, JEFFREY, THOMASOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 29, 2016 to presentfactForm ADV
← MACCONE, JOSEPH, EDMUNDOwnerHEAD OF SALES, ownership code NA, individual
Mar 29, 2016 to presentfactForm ADV
← DILLENBURG, GERALD, FRANCISOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← AFFILIATED MANAGERS GROUP, INC.OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← AMG GLOBALOwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Jun 26, 2014 to presentfactForm ADV
← TMF CORP.OwnerMANAGING MEMBER, ownership code E, domestic entity
Jun 26, 2014 to presentfactForm ADV

Owns (2)

← TOWNSEND, CHRISTOPHER, RANDOLPHOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 29, 2016 to presentfactForm ADV
← FINNEGAN, WILLIAM, HENRYOwnerCHIEF MARKETING OFFICER, ownership code NA, individual
Mar 29, 2016 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6094ff25-dcde-8fdb-850d-56357ae6a0d4
First observed: Mar 30, 2012
Last observed: Mar 29, 2016 127 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.

ASTON ASSET MANAGEMENT

ASTON ASSET MANAGEMENT, LLC, CRD 154318

CHICAGO, IL

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:6094ff25-dcde-8fdb-850d-56357ae6a0d4

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:46 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AFFILIATED MANAGERS GROUP, INC.

SOLE SHAREHOLDER

yes

04/1999

Mar 30, 2012

Mar 29, 2016

AMG FUNDS LLC

MANAGING MEMBER

yes

05/2014

Jun 26, 2014

Mar 29, 2016

AMG GLOBAL

SOLE SHAREHOLDER

yes

12/2012

Jun 26, 2014

Mar 29, 2016

CERUTTI, JEFFREY, THOMAS

CHIEF EXECUTIVE OFFICER

yes

01/2016

Mar 29, 2016

DILLENBURG, GERALD, FRANCIS

CHIEF COMPLIANCE OFFICER

yes

04/2010

Mar 30, 2012

Mar 29, 2016

KINNE, KEITHA, LEE

CHIEF OPERATING OFFICER/CIO

yes

01/2016

Mar 29, 2016

MACCONE, JOSEPH, EDMUND

HEAD OF SALES

yes

01/2016

Mar 29, 2016

TMF CORP.

MANAGING MEMBER

yes

04/1999

Jun 26, 2014

Mar 29, 2016

FINNEGAN, WILLIAM, HENRY

CHIEF MARKETING OFFICER

01/2016

Mar 29, 2016

TOWNSEND, CHRISTOPHER, RANDOLPH

CHIEF FINANCIAL OFFICER

01/2016

Mar 29, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AMG FUNDS LLC

n/a

Asset manager

$18B

n/a

RIVER ROAD ASSET MANAGEMENT, LLC

n/a

Asset manager

$9.9B

yes

n/a

AMG DISTRIBUTORS, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Greenwich

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 29, 2016

$9.4B

n/a

2014

Mar 31, 2015

$14B

n/a

2013

Mar 31, 2014

$16B

n/a

2012

Mar 28, 2013

$12B

n/a

2011

Mar 30, 2012

$10.0B

$9.7B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$9.4B

$14B

-34.9%

$12B

-7.2%

n/a