VOYA INVESTMENT MANAGEMENT CO. LLC
Adviser information for VOYA INVESTMENT MANAGEMENT CO. LLC last updated from Form ADV on March 29th, 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 | 879 |
|---|---|
| Investment Advisory/Research | 306 |
| Registered Broker-Dealer Representatives | 209 |
| Registered State Investment Advisers | 90 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 6 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 96,376 | $241.2B |
| Non-Discretionary | 1 | $614.9M |
| Total | 96,377 | $241.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 95,147 | $2.1B |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 115 | $34.7B |
| Investment companies | 137 | $66.3B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $1.6B |
| Pension and profit sharing plans | 5 | $332.1M |
| Charitable organizations | 7 | $356.6M |
| State or municipal gov entities | 33 | $16.0B |
| Other investment advisers | 17 | $83.1B |
| Insurance companies | 44 | $35.5B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $1.9B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 8 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 2.1B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| AMERIPRISE | AMERIPRISE |
| CAMBRIDGE | CAMBRIDGE |
| LPL | LPL |
| CHARLES SCHWAB | CHARLES SCHWAB |
| FOLIO DYNAMICS - UMA | FOLIO DYNAMICS |
| PERSHING/LOCKWOOD | PERSHING/LOCKWOOD |
| MERRILL LYNCH | MERRILL LYNCH |
| MERRILL LYNCH - UMA | MERRILL LYNCH |
| MORGAN STANLEY - UMA REIT/CL100 | MORGAN STANLEY |
| MORGAN STANLEY - UMA | MORGAN STANLEY |
| PMC/ENVESTNET | PMC/ENVESTNET |
| PMC/ENVESTNET - UMA | PMC/ENVESTNET |
| RAYMOND JAMES | RAYMOND JAMES |
| UBS | UBS |
| WELLS FARGO - UMA (MULTI STRAT) | WELLS FARGO |
| WELLS FARGO | WELLS FARGO |
| WELLS FARGO - UMA (SINGLE STRAT) | WELLS FARGO |
| FIDELITY | FIDELITY |
| RBC WEALTH MANAGEMENT | RBC WEALTH MANAGEMENT |
Identifiers
| SEC RIA File Number | 801-9046 |
|---|---|
| SEC ERA File Number | 801-9046 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106494 |
| Legal Entity Identifier | L1XJE5NM4QE6WXSI2J24 |
Principal Office
230 PARK AVENUENEW YORK
NY
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 212-309-8200, Fax: 212-808-6134
Chief Compliance Officer
MICHELINE FAVER
MANAGING DIRECTOR
7337 E DOUBLETREE RANCH ROAD
SCOTTSDALE
AZ
United States
Tel:
480-477-2177
Fax:
480-477-2725
M**************@*******M
(Full email address available in API data)
Regulatory Contact
HUEY FALGOUT
MANAGING DIRECTOR AND HEAD OF IM LEGAL
7337 E. DOUBLETREE RANC ROAD
SCOTTSDALE
AZ
United States
Tel:
480-477-2666
H***********@*******M
(Full email address available in API data)
Industry Affiliates
| POMONA CAPITAL | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| POMONA CAPITAL ASIA LIMITED | Other investment adviser, including financial planners |
| POMONA EUROPE ADVISERS LTD. | Other investment adviser, including financial planners |
| VOYA ALTERNATIVE ASSET MANAGEMENT IRELAND LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| VOYA ALTERNATIVE ASSET MANAGEMENT LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| VOYA FINANCIAL ADVISORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| VOYA FINANCIAL PARTNERS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| VOYA FURMAN SELZ INVESTMENTS III LLC | Other investment adviser, including financial planners |
| VOYA INVESTMENT MANAGEMENT (UK) LIMITED | Other investment adviser, including financial planners |
| VOYA INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| VOYA INVESTMENT TRUST CO. | Banking or thrift institutionTrust company |
| VOYA INVESTMENTS DISTRIBUTOR, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| VOYA INVESTMENTS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| VOYA RETIREMENT ADVISORS, LLC | Other investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| VOYA INVESTMENT MANAGEMENT LLC | Domestic Entity | – | SOLE MEMBER | 03/2003 | > 75% |
| VOYA HOLDINGS INC. | Domestic Entity | VIM HOLDINGS LLC | SHAREHOLDER | 01/2001 | > 75% |
| VOYA FINANCIAL, INC. | Domestic Entity | VOYA HOLDINGS INC. | SHAREHOLDER | 01/2004 | > 75% |
| SAHIBZADA, AMIR | Individual | – | CHIEF RISK OFFICER & MANAGING DIRECTOR | 01/2014 | < 5% |
| TOMS, MATTHEW, NMN | Individual | – | CHIEF EXECUTIVE OFFICER & SENIOR MANAGING DIRECTOR | 01/2024 | < 5% |
| Fink, James, Michael | Individual | – | CHIEF ADMINISTRATIVE OFFICER & MANAGING DIRECTOR | 09/2017 | < 5% |
| FALGOUT, HUEY, PAUL | Individual | – | HEAD OF IM LEGAL & MANAGING DIRECTOR | 01/2020 | < 5% |
| TUZZA, JACOB, JOHN | Individual | – | HEAD OF DISTRIBUTION & SENIOR MANAGING DIRECTOR | 01/2022 | < 5% |
| FAVER, MICHELINE, SUZANNE | Individual | – | CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR | 03/2022 | < 5% |
| COSTA, VINCENT, JOSEPH | Individual | – | CHIEF INVESTMENT OFFICER OF EQUITIES & SENIOR MANAGING DIRECTOR | 01/2022 | < 5% |
| VIM HOLDINGS LLC | Domestic Entity | VOYA INVESTMENT MANAGEMENT LLC | SHAREHOLDER | 07/2022 | > 75% |
| PETERS, MICHAEL, HUBERTUS | Individual | – | CHIEF OPERATING OFFICER & SENIOR MANAGING DIRECTOR | 01/2023 | < 5% |
| WOLFF, MARKUS, NMN | Individual | – | CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR | 01/2023 | < 5% |
| Stein, Eric, A | Individual | – | HEAD OF INVESTMENTS, CHIEF INVESTMENT OFFICER, FIXED INCOME & SENIOR MANAGING DIRECTOR | 01/2024 | < 5% |