Aviva Investors North America, Inc. (Chicago)

Name: Aviva Investors North America, Inc.
Address: 225 W. Wacker Drive, Chicago, IL, 60606
Telephone: 312-873-5800

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. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. 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.