AGNC INVESTMENT MANAGEMENT, LLC
Adviser information for AGNC INVESTMENT MANAGEMENT, LLC last updated from Form ADV on December 5th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 26 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 0 | $0 |
| Total | 0 | $0 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | UPON REGISTRATION APPLICANT INTENDS TO PROVIDE ADVISORY SERVICES TO A REGISTERED INVESTMENT COMPANY. |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-129303 |
|---|---|
| SEC ERA File Number | 801-129303 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 329048 |
| Legal Entity Identifier | None |
Principal Office
7373 WISCONSIN AVENUE22ND FL.
BETHESDA
MD
United States
Monday - Friday, 8:00 AM - 5:00PM
Tel: 301-968-9315, Fax: None
Chief Compliance Officer
KENNETH POLLACK
EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY
7373 WISCONSIN AVENUE
22ND FL.
BETHESDA
MD
United States
Tel:
301-968-9315
K**************@*******M
(Full email address available in API data)
Regulatory Contact
KASEY REISMAN
SENIOR VICE PRESIDENT AND ASSISTANT SECRETARY
7373 WISCONSIN AVENUE
22ND FL.
BETHESDA
MD
United States
Tel:
301-968-9315
Industry Affiliates
| AGNC INVESTMENT CORP. | Commodity pool operator or commodity trading advisor |
| BETHESDA SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AGNC MORTGAGE MANAGEMENT, LLC | Domestic Entity | – | SOLE MEMBER | 10/2023 | > 75% |
| FEDERICO, PETER, JAMES | Individual | – | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 10/2023 | < 5% |
| BELL, BERNICE, EVELYN | Individual | – | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 10/2023 | < 5% |
| POLLACK, KENNETH, LEE | Individual | – | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CCO AND SECRETARY | 10/2023 | < 5% |
| AGNC INVESTMENT CORP. | Domestic Entity | AGNC MORTGAGE MANAGEMENT, LLC | SOLE MEMBER | 07/2016 | > 75% |