NFJ INVESTMENT GROUP, LLC
Latest filing: Sep 04, 2024 (56 days ago)
AUM
$4,233,802,767
-2% change vs. 1 year ago
-22% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
12
0% change vs. 1 year ago
20% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
DALLAS, TX
2100 ROSS AVENUE, SUITE 700, DALLAS, TX, UNITED STATES, 75201
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $4.2 |
| Non-Discretionary | $0.0 |
| Total | $4.2 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $3.5 |
| Institutional | $0.7 |
| Total | $4.2 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| UBS FINANCIAL SERVICES INC. | WEEHAWKEN-NJ-USA | $0.6 |
| MORGAN STANLEY SMITH BARNEY LLC | CINCINNATI-OH-USA | $0.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.7 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.7 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 98% | $0.7 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.7 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| VIRTUS INVESTMENT ADVISERS, INC. | $47.8 | 106982 | |
| KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC | $41.2 | 104599 | |
| VIRTUS FIXED INCOME ADVISERS, LLC | $32.8 | 146029 | |
| SUSTAINABLE GROWTH ADVISERS, LP | $23.9 | 127447 | |
| DUFF & PHELPS INVESTMENT MANAGEMENT CO. | $12.3 | 107296 | |
| VIRTUS FUND ADVISERS, LLC | $8.0 | 107346 | |
| CEREDEX VALUE ADVISORS LLC | $6.2 | 146023 | |
| ALPHASIMPLEX GROUP, LLC | $4.5 | 128356 | |
| WESTCHESTER CAPITAL MANAGEMENT, LLC | $4.0 | 155686 | |
| VIRTUS ALTERNATIVE INVESTMENT ADVISERS, INC. | $3.1 | 143732 | |
| SILVANT CAPITAL MANAGEMENT LLC | $2.2 | 146025 | |
| VIRTUS ETF ADVISERS LLC | $1.5 | 168955 | |
| SEIX CLO MANAGEMENT LLC | $0.7 | 285354 | |
| WESTCHESTER CAPITAL PARTNERS, LLC | $0.0 | 135955 | |
| VIRTUS GLOBAL PARTNERS | $0.0 | - | |
| VP DISTRIBUTORS LLC | $0.0 | broker-dealer | 3036 |
| VIRTUS INTERNATIONAL FUND MANAGEMENT LIMITED | $0.0 | - | |
| VIRTUS INTERNATIONAL MANAGEMENT LLP | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
8 active
| Name | Title |
|---|---|
| AYLWARD, GEORGE, ROBERT | PRESIDENT AND CHIEF EXECUTIVE OFFICER |
| ANGERTHAL, MICHAEL, AARON | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER |
| ALMANZA, PATTI, SUE | CHIEF COMPLIANCE OFFICER |
| MOWREY, JOHN, REID | EXECUTIVE MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER |
| SMIRL, RICHARD, WILLIAM | EXECUTIVE VICE PRESIDENT |
| PURKALITIS, ANDRA, CYNTHIA | EXECUTIVE VICE PRESIDENT AND CHIEF LEGAL OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
2 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| KRYSTA HILL | DALLAS | TX | S66|2013-05-23 | ||||||
| KRISTIAN MARCA | DALLAS | TX | S63|2011-04-23|S65|2010-02-20 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $4.2 | $0.0 | 0% | 12 | 0 | 0% |
| 2024-04-02 | $4.2 | $0.0 | 0% | 12 | 0 | 0% |
| 2023-04-04 | $4.3 | -$0.1 | -2% | 12 | 0 | 0% |
| 2022-04-01 | $5.9 | -$1.7 | -28% | 12 | 0 | 0% |
| 2021-04-05 | $5.4 | -$1.2 | -22% | 10 | 2 | 20% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| TX, AK-03/10/2021, AL-03/10/2021, AR-03/10/2021, AZ-03/10/2021, CA-03/10/2021, CO-03/10/2021, CT-11/06/2020, DC-03/10/2021, DE-03/10/2021, FL-03/10/2021, GA-03/10/2021, HI-03/10/2021, IA-03/10/2021, ID-03/10/2021, IL-04/06/2021, IN-03/10/2021, KS-03/10/2021, KY-03/10/2021, LA-03/10/2021, MA-03/10/2021, MD-03/10/2021, ME-03/10/2021, MI-03/10/2021, MN-03/10/2021, MO-03/10/2021, MS-03/10/2021, MT-03/10/2021, NC-03/10/2021, ND-03/10/2021, NE-03/10/2021, NH-03/10/2021, NJ-03/18/2021, NM-03/10/2021, NV-03/10/2021, NY-03/10/2021, OH-03/10/2021, OK-03/10/2021, OR-03/10/2021, PA-03/10/2021, PR-03/10/2021, RI-03/10/2021, SC-03/10/2021, SD-03/10/2021, TN-03/10/2021, TX-03/10/2021, UT-03/10/2021, VA-03/10/2021, VI-03/10/2021, VT-03/10/2021, WA-03/10/2021, WI-03/10/2021, WV-03/10/2021, WY-03/10/2021 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV