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.

Former SEC-registered adviser

Voya Investment Management (Uk) Limited

Former SEC-registered adviserLondon, CRD 159442SEC 801-72900IAPD
Latest filing Oct 23, 2014
First filing on the tape Nov 15, 2011 · 16 filings
RAUM
$52.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$52.5M as of Apr 2, 2014
Mar 30, 2012$44.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 2, 2014
Mar 28, 20130 then
Employees (5.A)3 as of Apr 2, 2014
Mar 28, 20133 then
Private funds: no history
RAUM -11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 23, 2014; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$52.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-11%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, publicationsreportedItem 5.G
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Todd Jeffrey Becker · Chief Executive Officercontrol
        since 01/2010 · owns less than 5%
      • Thomas Gerald Lins · General Counselcontrol
        since 02/2004 · owns less than 5%
      • Hendrik Olivier Willem Struben · Director And Head Of Senior Loan Group - Europecontrol
        since 01/2012 · owns less than 5%
      • Hugo Godfried Floris Van Den Berg · Directorcontrol
        since 01/2012 · owns less than 5%
      • Donald Mark Weber · Directorcontrol
        since 01/2012 · owns less than 5%
      • Ann Deborah Wussow-Hammalian · Chief Compliance Officercontrol
        since 06/2013 · owns less than 5%
      Entity owners
      • Voya Investment Management Co. LLC · Sole Member
        direct · owns 75% or more
      • Ing Groep N.V. · Shareholder
        indirect · owns 25% to 50% of Voya Financial, Inc. · public reporting company
      • Voya Financial, Inc. · Shareholder
        indirect · owns 75% or more of Lion Connecticut Holdings Inc. · public reporting company
      • Voya Holdings Inc. · Sole Member
        indirect · owns 75% or more of Voya Investment Management LLC
      • Voya Investment Management LLC · Sole Member
        indirect · owns 75% or more of Ing Investment Management Co. LLC
      Related persons
      Schedule D 7.A
      Advisers that list Voya Investment Management (Uk) Limited as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      • Scottsdale, AZ
      What changed
      consecutive filings, newest first
      • Business name · ING INVESTMENT MANAGEMENT (UK) LIMITED to VOYA INVESTMENT MANAGEMENT (UK) LIMITED
        May 28, 2014 to May 30, 2014
      • Legal name · ING INVESTMENT MANAGEMENT (UK) LIMITED to VOYA INVESTMENT MANAGEMENT (UK) LIMITED
        May 28, 2014 to May 30, 2014
      • Discretionary RAUM · $52.5M to $52.8M
        Apr 2, 2014 to May 28, 2014
      • RAUM · $52.5M to $52.8M
        Apr 2, 2014 to May 28, 2014
      • Discretionary RAUM · $96.3M to $52.5M
        Nov 4, 2013 to Apr 2, 2014
      • RAUM · $96.3M to $52.5M
        Nov 4, 2013 to Apr 2, 2014
      • Discretionary RAUM · $59.2M to $96.3M
        Mar 28, 2013 to May 1, 2013
      • RAUM · $59.2M to $96.3M
        Mar 28, 2013 to May 1, 2013
      • Advisory employees · unset to 3.0
        Mar 30, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 3.0
        Mar 30, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $44.0M to $59.2M
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $44.0M to $59.2M
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $60.0M to $44.0M
        Jan 31, 2012 to Mar 30, 2012
      • RAUM · $60.0M to $44.0M
        Jan 31, 2012 to Mar 30, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026