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
Aviva Investors Americas
Legal name Aviva Investors Americas LLC
Latest filing Nov 19, 2024
First filing on the tape Apr 27, 2012 · 47 filings
SEC status approved since May 7, 2012
RAUM
$59.1M
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
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$19B as of Mar 28, 2024
Mar 28, 2013$1.5B then
HNW client RAUM$0 as of Mar 28, 2024
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 28, 20130 then
Employees (5.A)26 as of Mar 28, 2024
Mar 28, 20136 then
Private funds1 as of Mar 30, 2023
Mar 28, 20141 then
RAUM -99% over the last fiscal year-87% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Nov 19, 2024; 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
- $59.1MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +195%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$59.1M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- Bryan Charles Tennant to Astor Investment Management LLCJul 15, 2022 · Other
- Alexander Nathan Knapp to Thomas J. Herzfeld Advisors, Inc.May 17, 2018 · Other
- Joseph Mcdermott to Amp Wealth ManagementMay 3, 2018 · Other
Joined, latest
- Bryan Charles Tennant from First Trust Advisors LPFeb 19, 2019 · Other
- Alexander Nathan Knapp from Ballentine PartnersJan 9, 2017 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Aviva Investors Fund LLCno longer reported | Other Private Fund | $46.4M | 13 | Mar 31, 2019 |
| Aviva Investors Real Estate Capital Global Co-Investment Fund, L.P.no longer reported | Real Estate Fund | $42.0M | 5 | Mar 31, 2017 |
| Aviva Investors Real Estate Capital Partners I-A, L.P. | Real Estate Fund | $493,200 | 0 | Feb 9, 2012 |
| Aviva Investors Funds Spc Ltd.no longer reported | Hedge Fund | $0 | 0 | Jul 18, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Jiaying Li · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- Paul Rasbach · Managing Director, North America Strategic Deliverycontrolsince 07/2023 · owns less than 5%
- James Warren Matthew Kingdon · Chief Financial Officersince 10/2021 · owns less than 5%
Entity owners
- Aviva Investors North America Holdings Inc. · Ownerdirect · owns 75% or more
- Aviva Group Holdings, Ltd. · Shareholderindirect · owns 75% or more of Aviva Plc
- Aviva Investors Holdings, Ltd. · Shareholderindirect · owns 75% or more of Aviva Investors North America Holdings, Inc.
- Aviva Plc · Shareholderindirect · owns 75% or more of Aviva Group Holdings, Ltd. · public reporting company
Related persons
Schedule D 7.A
- Aviva Investors Canada Inc.investment advisernRAUM $9.2B
- Aviva Investors Global Services Ltdinvestment advisern
- Aviva Investors Luxembourg S.A.pooled vehicle sponsorn
Advisers that list Aviva Investors Americas as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 20 to 1Mar 28, 2024 to Nov 19, 2024
- Advisory employees · 20 to 0Mar 28, 2024 to Nov 19, 2024
- Advisory activities · 3 to 1Mar 28, 2024 to Nov 19, 2024
- Charity clients · unset to 0.0Mar 28, 2024 to Nov 19, 2024
- Pension plan clients · unset to 0.0Mar 28, 2024 to Nov 19, 2024
- Pooled vehicle clients · 6 to 0Mar 28, 2024 to Nov 19, 2024
- Employees · 26 to 3Mar 28, 2024 to Nov 19, 2024
- Other offices · 1 to 0Mar 28, 2024 to Nov 19, 2024
- Discretionary RAUM · $19B to $59.1MMar 28, 2024 to Nov 19, 2024
- Non-discretionary RAUM · $13.0M to $0Mar 28, 2024 to Nov 19, 2024
- Pension RAUM · unset to 0.0Mar 28, 2024 to Nov 19, 2024
- Pooled vehicle RAUM · $9.3B to $0Mar 28, 2024 to Nov 19, 2024
- RAUM · $19B to $59.1MMar 28, 2024 to Nov 19, 2024
- Accounts · 23 to 20Jan 25, 2024 to Mar 28, 2024
- Advisory employees · 23 to 20Jan 25, 2024 to Mar 28, 2024
- Pooled vehicle clients · 10 to 6Jan 25, 2024 to Mar 28, 2024
- Employees · 30 to 26Jan 25, 2024 to Mar 28, 2024
- Private funds · 1 to unsetJan 25, 2024 to Mar 28, 2024
- Discretionary RAUM · $6.3B to $19BJan 25, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $12.8M to $13.0MJan 25, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $5.5B to $9.3BJan 25, 2024 to Mar 28, 2024
- RAUM · $6.3B to $19BJan 25, 2024 to Mar 28, 2024
- Related broker-dealer · true to falseJan 25, 2024 to Mar 28, 2024
- Accounts · 18 to 23Jun 9, 2022 to Mar 30, 2023
- Advisory employees · 22 to 23Jun 9, 2022 to Mar 30, 2023
- Advisory activities · 4 to 3Jun 9, 2022 to Mar 30, 2023
- BD registered reps · 3 to 0Jun 9, 2022 to Mar 30, 2023
- Pension plan clients · 1.0 to unsetJun 9, 2022 to Mar 30, 2023
- Pooled vehicle clients · 12 to 10Jun 9, 2022 to Mar 30, 2023
- Employees · 7,748 to 30Jun 9, 2022 to Mar 30, 2023
- Other offices · 2 to 1Jun 9, 2022 to Mar 30, 2023
- Discretionary RAUM · $11B to $6.3BJun 9, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $0 to $12.8MJun 9, 2022 to Mar 30, 2023
- Pension RAUM · 121327081.0 to unsetJun 9, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $9.0B to $5.5BJun 9, 2022 to Mar 30, 2023
- RAUM · $11B to $6.3BJun 9, 2022 to Mar 30, 2023
- Accounts · 39 to 18Dec 15, 2021 to Mar 30, 2022
- Advisory employees · 23 to 22Dec 15, 2021 to Mar 30, 2022
- BD registered reps · 1 to 3Dec 15, 2021 to Mar 30, 2022
- Pension plan clients · 8 to 1Dec 15, 2021 to Mar 30, 2022
Signals
18 dated events
- Aviva Investors Americas no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $59.1M)Feb 3, 2025 · Left the SEC roster · derived
- Aviva Investors Americas reported RAUM $59.1M, down 100% from $18.6B (2024-03-28 to 2024-11-19)Nov 19, 2024 · RAUM change · derived
- N. Brent Finck (Investment Officer) no longer on Schedule A of Aviva Investors Americas (listed 2024-03-28, absent 2024-11-19)Nov 19, 2024 · Control person left · inference
- James Ian Mcpheron (Head Of Legal - Americas) no longer on Schedule A of Aviva Investors Americas (listed 2024-03-28, absent 2024-11-19)Nov 19, 2024 · Control person left · inference
- Aviva Investors Americas reported RAUM $18.6B, up 195% from $6.3B (2024-01-25 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Jiaying Li (Chief Compliance Officer) appeared on Schedule A of Aviva Investors AmericasJan 25, 2024 · Control person joined · fact
- Paul Rasbach (Managing Director, North America Strategic Delivery) appeared on Schedule A of Aviva Investors AmericasJan 25, 2024 · Control person joined · fact
- Michelle Marwaha (Chief Compliance Officer) no longer on Schedule A of Aviva Investors Americas (listed 2023-03-30, absent 2023-05-05)May 5, 2023 · Control person left · inference
- Aviva Investors Americas reported RAUM $6.3B, down 40% from $10.5B (2022-06-09 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Michelle Marwaha (Chief Compliance Officer) appeared on Schedule A of Aviva Investors AmericasMar 30, 2023 · Control person joined · fact
- Bryan Charles Tennant left Aviva Investors Americas for Astor Investment Management Llc (registered 2022-08-05)Jul 15, 2022 · Advisor changed firm · fact
- Aviva Investors Americas reported RAUM $10.5B, down 61% from $26.7B (2021-12-15 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Kirk Joshua Lohmeier (Investment Officer) no longer on Schedule A of Aviva Investors Americas (listed 2021-11-03, absent 2021-12-15)Dec 15, 2021 · Control person left · inference
- Aviva Investors Americas reported RAUM $26.7B, up 54% from $17.3B (2020-12-22 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Aviva Investors Americas reported RAUM $16.6B, up 50% from $11.1B (2019-12-12 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Aviva Investors Americas reported RAUM $11.1B, up 43% from $7.7B (2019-08-15 to 2019-12-12)Dec 12, 2019 · RAUM change · derived
- Stanley Sean Brumble (Chief Administrative Officer) no longer on Schedule A of Aviva Investors Americas (listed 2019-08-15, absent 2019-12-12)Dec 12, 2019 · Control person left · inference
- Aviva Investors Americas reported RAUM $7.7B, down 25% from $10.4B (2018-04-30 to 2019-03-31)Mar 31, 2019 · RAUM change · derived
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
Across the graphs
Aviva Investors Americas is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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