NAVY FEDERAL INVESTMENT SERVICES, LLC
Adviser information for NAVY FEDERAL INVESTMENT SERVICES, LLC last updated from Form ADV on March 27th, 2024. 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 | Virginia, United States |
Employees
| Total Number of Employees | 151 |
|---|---|
| Investment Advisory/Research | 110 |
| Registered Broker-Dealer Representatives | 120 |
| Registered State Investment Advisers | 73 |
| Licensed Agents of an Insurance Company | 111 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 6,072 | $1.5B |
| Total | 6,072 | $1.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 5,892 | $1.2B |
| HNW Individuals | 180 | $296.5M |
| 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 |
| No. of Financial Planning Clients | 6000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerRegistered representative of a broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 1.5B |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-68067 |
|---|---|
| SEC ERA File Number | 801-68067 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 138459 |
| Legal Entity Identifier | None |
Principal Office
1007 ELECTRIC AVEVIENNA
VA
United States
Monday - Friday, 8:00 AM TO 5:00 PM EST
Tel: 703-206-1517, Fax: 703-206-1517
Websites
Chief Compliance Officer
MARISSA S BACINO
CHIEF COMPLIANCE OFFICER
1007 ELECTRIC AVE
VIENNA
VA
United States
Tel:
703-206-1517
Fax:
703-206-1510
M*************@**************G
(Full email address available in API data)
Regulatory Contact
DIANE YOUNG
COO
1007 ELECTRIC AVE
VIENNA
VA
United States
Tel:
877-221-8108
Fax:
703-206-1510
D**********@**************G
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NAVY FEDERAL FINANCIAL GROUP | Domestic Entity | – | OWNER | 09/2005 | > 75% |
| NAVY FEDERAL CREDIT UNION | Domestic Entity | NAVY FEDERAL FINANCIAL GROUP | OWNER | 09/2005 | > 75% |
| MATHU, MATHU KIMANI | Individual | – | AVP NFFG OPERATIONS / PRINCIPAL OPERATIONS OFFICER | 10/2018 | < 5% |
| BACINO, MARISSA SHAWN | Individual | – | CHIEF COMPLIANCE OFFICER / VP COMPLIANCE, LEGAL & RISK | 10/2019 | < 5% |
| YOUNG, DIANE | Individual | – | CHIEF OPERATING OFFICER | 08/2020 | < 5% |
| ROSSON, TIMOTHY D | Individual | – | FINOP / PRINCIPAL FINANACIAL OFFICER | 02/2022 | < 5% |