DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Aegon Asset Management US
Legal name Aegon USA Investment Management, LLC
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 57 filings
SEC status approved since Nov 1, 2001
RAUM
$89B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$89B
derived; firm RAUM over IAPD count
Employees
217
76 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
19
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$89B as of Mar 27, 2026
Mar 29, 2012$114B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 29, 20120 then
Employees (5.A)217 as of Mar 27, 2026
Mar 28, 2013400 then
Private funds19 as of Mar 27, 2026
Mar 29, 20123 then
RAUM +2.9% over the last fiscal year+0.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $89BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $446MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 72%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 217.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Custody
- $66B, 38 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$62B70%
- Investment companies$14B16%
- Pooled investment vehicles$10B12%
- Pension and profit-sharing plans$1.4B1.6%
- State and municipal entities$490M0.6%
- Charitable organizations$129M0.1%
- Sovereign wealth funds$41.3M0.0%
- Other investment advisers$31.0M0.0%
- Corporations and businesses$24.1M0.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 7reported
- Charitable clients
- 5reported
- Accounts
- 199reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $66B for 38 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.28 institutional_share=0.72 related_bd=true related_bank=true bd_reps=15.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mark Aaron Johnson | Cedar Rapids, Ia | Feb 23, 2017 | 30 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Anne Williams Coupe to Simplicity WealthApr 24, 2024 · Other
Joined, latest
- Anne Williams Coupe from William Blair & Company L.L.C.Apr 19, 2021 · Other
Private funds
28 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Aegon Managed Enhanced Cash, LLCno longer reported | Liquidity Fund | $2.2B | 2 | Mar 29, 2012 |
| Pfl Corporate Account One | Other Private Fund | $1.4B | 48 | Mar 29, 2012 |
| Cedar Funding IV Clo, Ltd | Securitized Asset Fund | $564M | 3 | Mar 2, 2015 |
| Cedar Funding Viii Clo, Ltd | Securitized Asset Fund | $492M | 2 | Oct 31, 2017 |
| Cedar Funding Vi Clo, Ltd | Securitized Asset Fund | $488M | 2 | Mar 28, 2017 |
| Cedar Funding Ix Clo, Ltd | Securitized Asset Fund | $482M | 4 | Mar 28, 2019 |
| Cedar Funding Vii Clo, Ltd | Securitized Asset Fund | $471M | 3 | Mar 28, 2019 |
| Cedar Funding Xii Clo, Ltd | Securitized Asset Fund | $443M | 2 | Nov 20, 2020 |
| Cedar Funding Xvii Clo, Ltd. | Securitized Asset Fund | $412M | 1 | Nov 10, 2023 |
| Cedar Funding Xv Clo, Ltd | Securitized Asset Fund | $399M | 2 | May 9, 2022 |
| Cedar Funding X Clo, Ltd | Securitized Asset Fund | $395M | 2 | Feb 14, 2020 |
| Cedar Funding V Clo, LLC | Securitized Asset Fund | $389M | 2 | Jul 18, 2016 |
| Cedar Funding Xi Clo, Ltd | Securitized Asset Fund | $387M | 2 | Feb 14, 2020 |
| Ta Private Equity Assets, LLCno longer reported | Private Equity Fund | $383M | 1 | Mar 29, 2021 |
| Cedar Funding Xiv Clo, Ltd | Securitized Asset Fund | $376M | 1 | Mar 29, 2022 |
| Malibu Loan Fund, Ltdno longer reported | Securitized Asset Fund | $361M | 1 | Apr 26, 2013 |
| Cedar Funding II Clo, Ltd | Securitized Asset Fund | $340M | 5 | Apr 26, 2013 |
| Ta-Apop II, LLC | Private Equity Fund | $238M | 27 | May 9, 2022 |
| Apop III, LLC | Private Equity Fund | $107M | 29 | Nov 10, 2023 |
| Zero Beta Fund, LLCno longer reported | Hedge Fund | $36.1M | 2 | Mar 29, 2012 |
| Aegon Am Funds, LLC - Aegon Sustainable Fixed Income Fund | Other Private Fund | $27.4M | 3 | Jan 27, 2021 |
| Aegon Am Funds, LLC - Aegon International Sustainable Equity Private Fundno longer reported | Other Private Fund | $26.0M | 1 | Feb 14, 2020 |
| Aegon Market Neutral Income Master Fund, Ltd.no longer reported | Hedge Fund | $11.0M | 1 | Mar 28, 2019 |
| Cedar Funding Ltdno longer reported | Securitized Asset Fund | $7.0M | 1 | Apr 26, 2013 |
| Auim Credit Opportunities Master Fund, Ltdno longer reported | Hedge Fund | $143,683 | 1 | Mar 29, 2018 |
| Aegon Am Funds, LLC - Aegon High Yield Fundno longer reported | Other Private Fund | $22,681 | 2 | Oct 31, 2017 |
| Cedar Funding III Clo, Ltdno longer reported | Securitized Asset Fund | $0 | 20 | Jun 19, 2014 |
| Pfl Corporate Separate Account Threeno longer reported | Other Private Fund | $0 | 0 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Ann Lara Osterhaus · Elected Managercontrolsince 03/2021 · owns less than 5%
- C Christopher Thompson · Chief Executive Officer And Elected Managercontrolsince 06/2019 · owns less than 5%
- Ann Lara Osterhaus · Elected Managercontrolsince 03/2021 · owns F of Aegon USA Asset Management Holding, LLC
- C Christopher Thompson · Elected Managercontrolsince 06/2019 · owns F of Aegon USA Asset Management Holding, LLC
- James Marshall Stephen Jones · Aam Cio, Fixed Income, Equity And Multi-Assetsince 04/2022 · owns less than 5%
- Alina Sayre · Chief Compliance Officersince 11/2023 · owns less than 5%
Entity owners
- Aegon USA Asset Management Holding, LLC · Memberdirect · owns 75% or more
- Aegon International B.V. · Ownerindirect · owns 75% or more of Transamerica Corporation
- Aegon Ltd. · Ownerindirect · owns 75% or more of Aegon International B.V. · public reporting company
- Ausa Holding, LLC · Ownerindirect · owns 75% or more of Aegon USA Asset Management Holding, LLC
- Transamerica Corporation · Ownerindirect · owns 75% or more of Ausa Holding, LLC
Related persons
Schedule D 7.A
- Aegon Asset Management Hungary B.V.insurancen
- Aegon Asset Management Pan-Europe Bvinvestment advisern
- Aegon Asset Management Uk Plcinvestment advisernRAUM $53B
- Aegon Espana S.A.U. De Seguros Y Reasegurosreal estaten
- Aegon Industrial Fund Management Co., Ltdinvestment advisern
- Aegon Investment Management B.V.investment advisern
- Aegon Real Assets USinvestment adviserinvestment companypooled vehicle sponsornRAUM $394M
- Ironwood Rereal estaten
- La Banque Postale Asset Management S.A.investment advisern
- Liica Re II, Inc.real estaten
- River Ridge Insurance Companyreal estaten
- Tlic Oakbrook Reinsurance Inc.real estaten
- Tlic Watertree Reinsurance, Inc.real estaten
- Transamerica Asset Management, Inc.investment adviserbankpooled vehicle sponsornRAUM $66B
- Transamerica Capital, Inc.broker-dealerreal estaten
- Transamerica Casualty Insurance Companyreal estaten
- Transamerica Financial Life Insurance Companyreal estaten
- Transamerica International Re (Bermuda) Ltd.real estaten
- Transamerica Investors Securities Corporationbroker-dealern
- Transamerica Life (Bermuda) Ltdreal estaten
- Transamerica Life Insurance Companyreal estaten
- Transamerica Life International (Bermuda) Ltdreal estaten
- Transamerica Retirement Advisors, LLCinvestment adviserLP sponsornRAUM $19B
- Transamerica Trust Companyn
Advisers that list Aegon Asset Management US as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cedar Rapids, Ia · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL22 employees
- Baltimore, MD9 employees
What changed
consecutive filings, newest first
- Advisory employees · 80 to 76Sep 15, 2025 to Mar 27, 2026
- BD registered reps · 14 to 15Sep 15, 2025 to Mar 27, 2026
- Pooled vehicle clients · 40 to 36Sep 15, 2025 to Mar 27, 2026
- Assets in custody · $66B to $66BSep 15, 2025 to Mar 27, 2026
- Employees · 239 to 217Sep 15, 2025 to Mar 27, 2026
- Discretionary RAUM · $91B to $88BSep 15, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $363M to $365MSep 15, 2025 to Mar 27, 2026
- Pension RAUM · $1.6B to $1.4BSep 15, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $14B to $10BSep 15, 2025 to Mar 27, 2026
- RAUM · $91B to $89BSep 15, 2025 to Mar 27, 2026
- Accounts · 202 to 199Mar 28, 2025 to Sep 15, 2025
- Pension plan clients · 8 to 7Mar 28, 2025 to Sep 15, 2025
- Pooled vehicle clients · 32 to 40Mar 28, 2025 to Sep 15, 2025
- Assets in custody · $61B to $66BMar 28, 2025 to Sep 15, 2025
- Private funds · 17 to 19Mar 28, 2025 to Sep 15, 2025
- Discretionary RAUM · $86B to $91BMar 28, 2025 to Sep 15, 2025
- Non-discretionary RAUM · $106M to $363MMar 28, 2025 to Sep 15, 2025
- Pension RAUM · $1.7B to $1.6BMar 28, 2025 to Sep 15, 2025
- Pooled vehicle RAUM · $12B to $14BMar 28, 2025 to Sep 15, 2025
- RAUM · $86B to $91BMar 28, 2025 to Sep 15, 2025
- Accounts · 213 to 202Mar 26, 2024 to Mar 28, 2025
- Advisory employees · 83 to 80Mar 26, 2024 to Mar 28, 2025
- Pension plan clients · 10 to 8Mar 26, 2024 to Mar 28, 2025
- Pooled vehicle clients · 37 to 32Mar 26, 2024 to Mar 28, 2025
- Assets in custody · $61B to $61BMar 26, 2024 to Mar 28, 2025
- Employees · 258 to 239Mar 26, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $88B to $86BMar 26, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $162M to $106MMar 26, 2024 to Mar 28, 2025
- Pension RAUM · $2.2B to $1.7BMar 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $13B to $12BMar 26, 2024 to Mar 28, 2025
- RAUM · $89B to $86BMar 26, 2024 to Mar 28, 2025
- Accounts · 210 to 213Nov 10, 2023 to Mar 26, 2024
- Advisory employees · 86 to 83Nov 10, 2023 to Mar 26, 2024
- BD registered reps · 16 to 14Nov 10, 2023 to Mar 26, 2024
- Pension plan clients · 8 to 10Nov 10, 2023 to Mar 26, 2024
- Pooled vehicle clients · 34 to 37Nov 10, 2023 to Mar 26, 2024
- Assets in custody · $62B to $61BNov 10, 2023 to Mar 26, 2024
- Employees · 289 to 258Nov 10, 2023 to Mar 26, 2024
- State-registered IARs · 2 to 1Nov 10, 2023 to Mar 26, 2024
Signals
18 dated events
- Anne Williams Coupe left Aegon Asset Management Us for Simplicity Wealth (registered 2025-04-28)Apr 24, 2024 · Advisor changed firm · fact
- James Thomas Scherer (Chief Legal Officer, Executive Vice President And Elected Manager) no longer on Schedule A of Aegon Asset Management Us (listed 2023-11-10, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- Alina Sayre (Chief Compliance Officer) appeared on Schedule A of Aegon Asset Management UsNov 10, 2023 · Control person joined · fact
- Anthony James Mautino (Chief Compliance Officer) no longer on Schedule A of Aegon Asset Management Us (listed 2023-03-29, absent 2023-11-10)Nov 10, 2023 · Control person left · inference
- Daniel Russell Morrison (Chief Investment Officer And Executive Vice President) no longer on Schedule A of Aegon Asset Management Us (listed 2022-03-29, absent 2022-05-09)May 9, 2022 · Control person left · inference
- Ann Lara Osterhaus (Elected Manager) appeared on Schedule A of Aegon Asset Management UsMar 29, 2021 · Control person joined · fact
- Marie Stephanie Phelps (Chief Financial Officer, Executive Vice President And Elected Manager) no longer on Schedule A of Aegon Asset Management Us (listed 2020-11-20, absent 2021-01-27)Jan 27, 2021 · Control person left · inference
- Daniel Russell Morrison (Chief Investment Officer) appeared on Schedule A of Aegon Asset Management UsJul 31, 2020 · Control person joined · fact
- William Kirk Buese (Chief Investment Officer, Executive Vice President And Elected Manager) no longer on Schedule A of Aegon Asset Management Us (listed 2020-03-30, absent 2020-07-31)Jul 31, 2020 · Control person left · inference
- Jay Richard Wirth (Executive Vice President, Secretary And General Counsel) no longer on Schedule A of Aegon Asset Management Us (listed 2019-10-07, absent 2020-02-14)Feb 14, 2020 · Control person left · inference
- Darlene Greene (Executive Vice President And Head Of Human Resources Us) no longer on Schedule A of Aegon Asset Management Us (listed 2019-10-07, absent 2020-02-14)Feb 14, 2020 · Control person left · inference
- Christoph Gabler (Aam Executive Committee Member) no longer on Schedule A of Aegon Asset Management Us (listed 2019-10-07, absent 2020-02-14)Feb 14, 2020 · Control person left · inference
- Scott Cote (Aam Executive Committee Member) no longer on Schedule A of Aegon Asset Management Us (listed 2019-10-07, absent 2020-02-14)Feb 14, 2020 · Control person left · inference
- K James Schaeffer (Executive Vice President, Deputy Chief Investment Officer And Co-Head Of Public Fixed Income) no longer on Schedule A of Aegon Asset Management Us (listed 2019-10-07, absent 2020-02-14)Feb 14, 2020 · Control person left · inference
- Alan Douglas Weih (Executive Vice President And Co-Head Of Public Fixed Income) no longer on Schedule A of Aegon Asset Management Us (listed 2019-10-07, absent 2020-02-14)Feb 14, 2020 · Control person left · inference
- James Thomas Scherer (Chief Legal Officer, Executive Vice President And Elected Manager) appeared on Schedule A of Aegon Asset Management UsFeb 14, 2020 · Control person joined · fact
- Douglas Gary Black (President) no longer on Schedule A of Aegon Asset Management Us (listed 2019-04-25, absent 2019-06-26)Jun 26, 2019 · Control person left · inference
- C Christopher Thompson (Head Of Distribution) appeared on Schedule A of Aegon Asset Management UsApr 25, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Aegon Asset Management Us · Independent Sponsorsshared crd · capital_provider
- Aegon Asset Management US · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/AEGONAMreportedpublic record, Form ADV, Sep 17, 2026
- Website
- AEGONAM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 319-355-5408reportedpublic record, Form ADV, Mar 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $89Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026