AVIVA INVESTORS AMERICAS
AVIVA INVESTORS AMERICAS LLC Legal Name
Adviser information for AVIVA INVESTORS AMERICAS last updated from Form ADV on March 28th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 26 |
|---|---|
| Investment Advisory/Research | 20 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 19 | $18.6B |
| Non-Discretionary | 1 | $13.0M |
| Total | 20 | $18.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $59.1M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 6 | $9.3B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $29.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 12 | $9.2B |
| 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 | 90 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-76637 |
|---|---|
| SEC ERA File Number | 801-76637 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 163989 |
| Legal Entity Identifier | 54930016JCCSDQVZBE19 |
Principal Office
225 WEST WACKER DRIVESUITE 2250
CHICAGO
IL
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 312-873-5800, Fax: None
Chief Compliance Officer
JIAYING LI
CHIEF COMPLIANCE OFFICER - AVIVA INVESTORS CANADA INC.
225 WEST WACKER DRIVE
SUITE 2250
CHICAGO
IL
United States
Tel:
312-873-5800
O**********@*****************M
(Full email address available in API data)
Regulatory Contact
IAN MCPHERON
HEAD OF LEGAL-AMERICAS
225 WEST WACKER DRIVE
SUITE 2250
CHICAGO
IL
United States
Tel:
312-873-5821
I***********@*****************M
(Full email address available in API data)
Industry Affiliates
| AVIVA INVESTORS CANADA INC. | Other investment adviser, including financial planners |
| AVIVA INVESTORS GLOBAL SERVICES LTD | Other investment adviser, including financial planners |
| AVIVA INVESTORS LUXEMBOURG | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AVIVA INVESTORS NORTH AMERICA HOLDINGS INC. | Domestic Entity | – | OWNER | 08/2012 | > 75% |
| AVIVA INVESTORS HOLDINGS, LTD. | Foreign Entity | AVIVA INVESTORS NORTH AMERICA HOLDINGS, INC. | SHAREHOLDER | 04/2012 | > 75% |
| FINCK, BRENT, N. | Individual | – | INVESTMENT OFFICER | 10/2021 | < 5% |
| AVIVA GROUP HOLDINGS, LTD. | Foreign Entity | AVIVA PLC | SHAREHOLDER | 04/2012 | > 75% |
| AVIVA PLC | Foreign Entity | AVIVA GROUP HOLDINGS, LTD. | SHAREHOLDER | 04/2012 | > 75% |
| MCPHERON, IAN, JAMES | Individual | – | HEAD OF LEGAL - AMERICAS | 11/2019 | < 5% |
| Kingdon, Matthew, James Warren | Individual | – | CHIEF FINANCIAL OFFICER | 10/2021 | < 5% |
| LI, JIAYING | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2024 | < 5% |
| RASBACH, PAUL | Individual | – | MANAGING DIRECTOR, NORTH AMERICA STRATEGIC DELIVERY | 07/2023 | < 5% |