Aviva Investors Americas LLC (Chicago)

Name: Aviva Investors Americas LLC
Address: 225 West Wacker Drive, Chicago, IL, 60606
Telephone: 312-873-5800

Aviva Investors Americas LLC is a large advisory firm based in Chicago. It manages $7.74 billion of regulatory assets for 32 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of Illinois and New York.

Aviva Investors Americas provides portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. 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 Americas: assets under management

The assets under management (AUM) of Aviva Investors Americas LLC is $7.74 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 475% since the beginning of its operation, and $6.98 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $7.74 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $241.95 million each.

Investments

The firm invests in investment grade corporate bonds the most. They account for 65% of the total AUM. The second-largest asset type is non-investment grade corporate bonds, which make up 15% of the firm’s portfolio. Investments in sovereign bonds form 13% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Aviva Investors Americas LLC 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.

What kind of clients Aviva Investors Americas serves?

The firm provides services to insurance companies, investment companies, and pooled investment vehicles. The largest group of clients of Aviva Investors Americas is pooled investment vehicles with 15 clients and $6.36 billion of assets under management. Among the 10 most similar advisory firms, Aviva Investors Americas has the 4th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $7.54 billion for 29 clients. 75% of the firm’s clients are foreign persons or businesses.

Aviva Investors Americas also advises several private funds. Namely, one hedge fund, one real estate fund, and one other private fund. The minimum investment commitment required of non-related persons ranges from $500,000 to $5,000,000.

Careers at Aviva Investors Americas LLC

The company employs 56 people that are either part- or full-time employees. 30 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

James Philip Shields joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Aviva Investors North America Holdings Inc.	Owner	1 Apr 2012	75% - 100%	27-1873255
Patrick J O'brien	President, chief executive officer and manager	1 Apr 2012	Other	5083794
Andra Cynthia Ozols	Senior vice president, chief legal & chief compliance officer; manager	1 Apr 2012	Other	3070864
Andra Cynthia Purkalitis	Chief legal & chief compliance officer	1 Apr 2012	Other	3070864
Charles Gean Preseau	Chief financial officer and treasurer	1 Aug 2012	Other	5148733
Lyda Iturralde	Chief compliance officer	1 Aug 2013	Other	5816012
Todd Jay Youngberg	Global head of credit, managing member	1 Mar 2014	Other	6364124
Andra Cynthia Purkalitis	Chief executive officer, managing member	1 Jun 2014	Other	3070864
Robert Arthur Ranges	Head of americas business development, managing member	1 Jun 2014	Other	2252195
Douglas Bruce Macdonald	Managing member	1 Jun 2014	Other	6363462
Sean Stanley Brumble	Chief operating officer	1 Aug 2015	Other	2701582
Joseph Daniel Mcdermott	Chief compliance officer	1 Sep 2015	Other	4146135
Edward Eliphalet Potter	Chief executive officer, managing member	1 Oct 2015	Other	1542054
Joshua Kirk Lohmeier	Investment officer	1 Apr 2016	Other	3089967
Michael David Craston	Chief executive officer	1 Apr 2016	Other	4650401
Sean Stanley Brumble	Chief administrative officer	1 Mar 2018	Other	2701582
James Philip Shields	Chief compliance officer	1 Apr 2018	Other	2927398

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Ltd. Aviva Investors Holdings	Shareholder	1 Apr 2012	75% - 100%	foreign entity
Ltd. Aviva Group Holdings	Shareholder	1 Apr 2012	75% - 100%	foreign entity
Aviva Plc	Shareholder	1 Apr 2012	75% - 100%	foreign entity

Based in Chicago

The principal office where Aviva Investors Americas LLC performs its advisory services is located at 225 West Wacker Drive, Chicago, IL 60606, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. 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 312-873-5899. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at avivainvestorsamericas.com.