Aviva Investors North America, Inc. (Chicago)


Aviva Investors North America, Inc. is a large advisory firm based in Chicago. It manages $241.7 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdiction of Illinois.

Aviva Investors North America provides portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Aviva Investors North America: assets under management

The assets under management (AUM) of Aviva Investors North America, Inc. is $241.7 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -99% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $241.7 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $241.7 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Aviva Investors North America, Inc. for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Aviva Investors North America, Inc.

Mark Volney Heitz has been acting as President since 1 Jun 1998. Patrick J O'brien joined the executive team most recently as the President, Chief Executive Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Mark Volney Heitz Director 1 Jun 1998 Other 4370907
Thomas Charles Godlasky Director and chairman of the board 1 Jun 1998 Other 2739637
Kevin John Wagoner Vice president-finance and controller 1 Jun 1998 Other 4371262
Timothy Scott Reimer Senior vice president-investment strategy and treasurer 1 Jun 1998 Other 1886048
Aviva Usa Corporation Owner 1 Jun 1998 75% - 100% 42-1458424
Darla Maree Brendemuehl Vice president - investment accounting 1 Jun 1998 Other 5513019
Gregory D. Boal Director and president 1 Jun 2003 Other 2186985
Brenda Jean Cushing Senior vice president 1 Feb 2004 Other 4763699
Ross Allen Junge Senior vice president-senior portfolio manager - investments 1 Oct 2005 Other 4933806
Joyce Barbara Pingel Vice president-information technology 1 Jan 2006 Other 4648192
David L. Ross Senior vice president-asset liability and risk management 1 Aug 2007 Other 5513008
Joseph William Wittrock Senior vice president, head of research 1 Oct 2007 Other 5456314
Matthew Gerald Haney Chief legal officer and chief compliance officer 1 Oct 2008 Other 4371264
Doren A Jacobs Chief information officer 1 Nov 2008 Other 3216370
Charles Gean Preseau Chief financial officer 1 Jul 2009 Other 5148733
Richard J Field Director and chief executive 1 Feb 2010 Other 5774380
Patrick J O'brien Chief executive officer and director 1 Sep 2010 Other 5083794
Ross Allen Junge Chief investment officer-fixed income north america and director 1 Feb 2011 Other 4933806
Carole Philippe Chief legal officer 1 Feb 2011 Other 5656490
Robert Ross Maclean Chief compliance officer 1 Feb 2011 Other 5836775
Andra Cynthia Ozols Head of legal and chief compliance officer 1 May 2011 Other 3070864
Joseph William Wittrock Director 1 May 2011 Other 5456314
Andra Cynthia Purkalitis Head of legal and chief compliance officer 1 May 2011 Other 3070864
Joseph William Wittrock President and director 1 Jun 2013 Other 5456314
Ross Allen Junge Senior vice president - head of fixed income 1 Jun 2013 Other 4933806
Brenda Jean Cushing Director 1 Jun 2013 Other 4763699
William Jeffrey Heng Director 1 Jun 2013 Other 6219781
Edward C Poulsen Chief compliance officer and chief legal officer 1 Jun 2013 Other 6219813
Patrick J O'brien President, chief executive officer 1 Oct 2013 Other 5083794
Andra Cynthia Purkalitis Chief legal officer, secretary 1 Oct 2013 Other 3070864
Charles Gean Preseau Chief financial officer 1 Oct 2013 Other 5148733
Lyda Iturralde Chief compliance officer 1 Oct 2013 Other 5816012
Aviva Investors North America Holdings Inc. Owner 1 Oct 2013 75% - 100% 27-1873255

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Aviva Insurance Ltd. Shareholder 1 Nov 2006 75% - 100% foreign
Ltd. Aviva International Holdings Shareholder 1 Nov 2006 75% - 100% foreign
Aviva International Insurance Ltd. Shareholder 1 Nov 2006 75% - 100% foreign
Ltd. Aviva Group Holdings Shareholder 1 Nov 2006 75% - 100% foreign
Aviva Plc Shareholder 1 Nov 2006 75% - 100% foreign
Ltd Aviva Investors Holdings Shareholder 1 Oct 2013 75% - 100% foreign entity

Based in Chicago

The principal office where Aviva Investors North America, Inc. performs its advisory services is located at 225 W. Wacker Drive, Chicago, IL 60606, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-873-5800 or by fax 312-276-4464. The normal business hours are 8:00am -5:00pm on Monday - Friday. You can find more information about the New York firm at www.avivainvestors.com.