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CRD 106494
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| ROBERT JASON CHURA | Certified Financial Planner|Chartered Financial Consultant | NEW YORK, NY | SCOTTSDALE, AZ | 18 | 27 | n/a | yes |
| RANDAL BRUCE BARTON | n/a | NEW YORK, NY | Vineyard, UT | 18 | 27 | n/a | yes |
| MICHAEL WAYNE BIESZCZAD | n/a | Southlake, TX | NEW YORK, NY | 18 | 30 | n/a | yes |
| MICHAEL DOUGLAS PERKINS | n/a | NEW YORK, NY | The Colony, TX | 17 | 39 | n/a | yes |
| BRANT WOODROW GRIMES | Chartered Financial Analyst | Las Vegas, NV | NEW YORK, NY | 15 | 25 | 1 | yes |
| BRIAN CARL HOUSTON | n/a | SUGAR LAND, TX | NEW YORK, NY | 15 | 26 | 2 | yes |
| KYLE ANTHONY THOMPSON | n/a | Stamford, CT | NEW YORK, NY | 15 | 16 | n/a | yes |
| RUSSELL THOMAS GREIG | Chartered Financial Analyst | Wayne, PA | NEW YORK, NY | 13 | 17 | 4 | yes |
| JOHN JOSEPH KERSEY | n/a | NEW YORK, NY | WARMINSTER, PA | 13 | 30 | 1 | yes |
| DANIEL R CONTI | n/a | NEW YORK, NY | Mount Pleasant, WI | 10 | 16 | 3 | yes |
| TROY CHARLES MAAG | n/a | NEW YORK, NY | Bayport, MN | 9 | 25 | 1 | yes |
| GREGORY THOMAS BUZZELL | n/a | WELLESLEY, MA | NEW YORK, NY | 9 | 19 | 1 | yes |
| BRITON GREGORY ROTELL | n/a | NEW YORK, NY | ATLANTA, GA | 7 | 17 | 3 | yes |
| GREGORY DAVID GOODSON | Certified Financial Planner|Chartered Financial Analyst | NEW YORK, NY | ATLANTA, GA | 7 | 11 | 1 | yes |
| MICHAEL ANTHONY TRAVAGLINI | n/a | NEW YORK, NY | Reading, MA | 7 | 12 | 1 | yes |
| ARTHUR MICHAELS | n/a | NEW YORK, NY | Denver, CO | Golden, CO | 7 | 12 | n/a | yes |
| DAVID MATTHEW WESKE | n/a | NEW YORK, NY | Slinger, WI | 6 | 19 | 4 | yes |
| Thomas Daniel Duff | n/a | Bellingham, MA | NEW YORK, NY | 5 | 10 | 1 | yes |
| WILLARD MCMULLIN | n/a | NEW YORK, NY | Atlanta, GA | 5 | 12 | n/a | yes |
| Dale Alan Boyer | n/a | Scottsdale, AZ | GLENDALE, AZ | NEW YORK, NY | 4 | 25 | 3 | yes |
| MICHAEL EMERSON YEE | n/a | NEW YORK, NY | San Diego, CA | 4 | 31 | 2 | yes |
| JEFFREY DONALD PARKER | n/a | NEW YORK, NY | Alamo, CA | 4 | 29 | 1 | yes |
| MICHAEL WOODS MEMORY | n/a | Vista, CA | NEW YORK, NY | 4 | 26 | 2 | yes |
| BRANDON WILLIAM MICHAEL | n/a | Minnetonka, MN | NEW YORK, NY | 4 | 26 | 2 | yes |
| Keith Reid | n/a | Atlanta, GA | NEW YORK, NY | 3 | 11 | 1 | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| ING (L) FLEX - SENIOR LOANS | Other Private Fund | $3.1B | Mar 28, 2013 | 228 | Mar 30, 2012 | dropped | n/a |
| ISL LOAN TRUST | Other Private Fund | $472M | Nov 7, 2013 | 1 | Mar 30, 2012 | dropped | n/a |
| VOYA INVESTMENT MANAGEMENT CLO I, LTD. | Securitized Asset Fund | $155M | Oct 7, 2014 | 8 | Mar 30, 2012 | dropped | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| COSTA, VINCENT, JOSEPH | CHIEF INVESTMENT OFFICER OF EQUITIES & SENIOR MANAGING DIRECTOR | Na | yes | 01/2022 | Mar 31, 2022 | Oct 10, 2024 |
| FALGOUT, HUEY, PAUL | HEAD OF IM LEGAL & MANAGING DIRECTOR | Na | yes | 01/2020 | Jan 9, 2020 | Oct 10, 2024 |
| FAVER, MICHELINE, SUZANNE | CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR | Na | yes | 03/2022 | Mar 31, 2022 | Oct 10, 2024 |
| PETERS, MICHAEL, HUBERTUS | CHIEF OPERATING OFFICER & SENIOR MANAGING DIRECTOR | Na | yes | 01/2023 | Jan 25, 2023 | Oct 10, 2024 |
| POTESTA, TIFFANI, ANNE | HEAD OF DISTRIBUTION & SENIOR MANAGING DIRECTOR | Na | yes | 07/2024 | Jul 16, 2024 | Oct 10, 2024 |
| SAHIBZADA, AMIR, NMN | CHIEF RISK OFFICER & MANAGING DIRECTOR | Na | yes | 01/2014 | Mar 31, 2014 | Oct 10, 2024 |
| STEIN, ERIC, ANDREW | HEAD OF INVESTMENTS, CHIEF INVESTMENT OFFICER, FIXED INCOME & SENIOR MANAGING DIRECTOR | Na | yes | 01/2024 | Jan 12, 2024 | Oct 10, 2024 |
| TOMS, MATTHEW, NMN | CHIEF EXECUTIVE OFFICER & SENIOR MANAGING DIRECTOR | Na | yes | 01/2024 | Sep 2, 2016 | Oct 10, 2024 |
| VIM HOLDINGS LLC | Shareholder | E | yes | 07/2022 | Aug 24, 2022 | Oct 10, 2024 |
| VOYA FINANCIAL, INC. | Shareholder | E | yes | 01/2004 | May 19, 2014 | Oct 10, 2024 |
| VOYA HOLDINGS INC. | Shareholder | E | yes | 01/2001 | Oct 7, 2014 | Oct 10, 2024 |
| VOYA INVESTMENT MANAGEMENT LLC | SOLE MEMBER | E | yes | 03/2003 | May 19, 2014 | Oct 10, 2024 |
| WOLFF, MARKUS, NMN | CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR | Na | yes | 01/2023 | Jan 25, 2023 | Oct 10, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| 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 |
| 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 |
| VOYA FINANCIAL ADVISORS, INC. | n/a | Bd affiliated wealth | $3.9B | N | yes | n/a |
| VOYA INVESTMENT MANAGEMENT (UK) LIMITED | n/a | Former SEC adviser | $52.8M | Y | yes | n/a |
| POMONA CAPITAL ASIA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| POMONA EUROPE ADVISERS LTD. | 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 FINANCIAL PARTNERS, LLC | n/a | Former SEC adviser | 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 | Y | yes | n/a |
| VOYA INVESTMENTS DISTRIBUTOR, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Atlanta | Ga | United States | 129 | no |
| Scottsdale | Az | United States | 28 | no |
| SAN FRANCISCO | CA | United States | 11 | no |
| SAN DIEGO | CA | United States | 5 | no |
| Westport | Ct | United States | 5 | no |
| Windsor | Ct | United States | 3 | no |
| Portland | Or | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $275B | $275B | 859 | 317 | 7 | n/a | n/a |
| 2024 | Mar 28, 2025 | $254B | $253B | 880 | 326 | 7 | n/a | n/a |
| 2023 | Mar 29, 2024 | $242B | $241B | 879 | 306 | 7 | n/a | n/a |
| 2022 | Mar 31, 2023 | $237B | $236B | 880 | 304 | 7 | n/a | n/a |
| 2021 | Mar 31, 2022 | $178B | $177B | 760 | 221 | 3 | n/a | n/a |
| 2020 | Mar 30, 2021 | $143B | $143B | 780 | 231 | 3 | n/a | n/a |
| 2019 | Mar 30, 2020 | $126B | $125B | 798 | 215 | 4 | n/a | n/a |
| 2018 | Mar 29, 2019 | $108B | $108B | 788 | 206 | 6 | n/a | n/a |
| 2017 | Mar 30, 2018 | $103B | $102B | 822 | 217 | 6 | n/a | n/a |
| 2016 | Mar 31, 2017 | $92B | $92B | 860 | 234 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $87B | $87B | 896 | 221 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $92B | $92B | 916 | 217 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $89B | $88B | 888 | 230 | n/a | 1 | $155M |
| 2012 | Mar 28, 2013 | $76B | $76B | 896 | 255 | n/a | 3 | $3.7B |
| 2011 | Mar 30, 2012 | $64B | $64B | n/a | n/a | n/a | 3 | $3.3B |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 9 | 7 | 2 | 13.2% | 1 | 3 | 0 | 17 | 22 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $275B | $254B | 8.3% | $237B | 5.1% | 859 | 880 | 7 | 7 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | May 17, 2019 | Aug 19, 2019 | NEW YORK, NY | Team lift out | Other | 4.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC | 2 | Apr 14, 2025 | Mar 10, 2026 | BOSTON, MA | Team lift out | Other | 1.1% |
| ALLIANZ GLOBAL INVESTORS U.S. LLC | 4 | Aug 10, 2022 | Jul 21, 2022 | NEW YORK, NY | Firm absorbed | Other | 80.0% |