VOYA FINANCIAL ADVISORS, INC.

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Voya Financial Advisors is based out of Des Moines. Voya Financial Advisors is a large advisory firm with 74955 clients and discretionary assets under management (AUM) of $3,225,585,560 (Form ADV from 2019-09-16). Their last reported 13F filing for Q3 2019 included $1,855,402,000 in managed 13F securities and a top 10 holdings concentration of 35.29%. Voya Financial Advisors's largest holding is Vanguard Total Bond Market Indx Fund ETF with shares held of 1,182,956. Voya Financial Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 21 13F filings The firm last filed a Form D notice of exempt offering of securities on 2019-03-20. The notice included securities offered of Other

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67

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Download 13F Summary to Excel Create Email Alert

09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $1.855 Billion
  • Prior Market Value $1.87 Billion
  • New Purchases31 stocks
  • Additional Purchases322 stocks
  • Sold out of35 stocks
  • Reduced holdings in234 stocks
  • Top 10 Holdings % 35.29 %
  • Turnover % [1]:10.82%
  • Turnover Alt % [2]: 8.95 %
  • Time Held Top20:9.40 quarters
  • Time Held Top10:7.90 quarters
  • Time Held All:11.08 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 4.27%
Performance Last 4 Quarters: 11.35%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR/A (Subscription required)
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR/A (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
Voya Financial, Inc

View Last Form Adv Compilation Report on Record

VOYA FINANCIAL ADVISORS, INC.
699 WALNUT STREET SUITE 1000
DES MOINES IA    50309
Country: United States

Business Phone: 1-800-356-2906
Fax: 612-492-0416
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: MN
Number of employees: 1696
Other Business Activities: broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Commissions
Amount of client funds and securities:
Total Number of Clients: 74955
Amount of client funds and securities by related persons: 34,850,600
Total Number of clients from related persons: 483
Disclosures: 11.C (2),11.C (4),11.C (5),11.D (1),11.D (2),11.D (4),11.E (2),11.G
Data above was derived from SEC filings.

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Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2019-03-20 D/A INVESTING Other INDEFINITE 3,728,276 INDEFINITE
2018-03-08 D/A INVESTING Other INDEFINITE 3,276,111 INDEFINITE
2017-02-13 D/A INVESTING Other INDEFINITE 3,665,030 INDEFINITE
2016-02-24 D/A INVESTING Other INDEFINITE 3,758,458 INDEFINITE
2015-01-27 D/A INVESTING Other INDEFINITE 3,265,719 INDEFINITE
2014-01-17 D/A INVESTING Other INDEFINITE 2,618,601 INDEFINITE
2013-01-11 D/A INVESTING Other INDEFINITE 1,576,893 INDEFINITE
2012-01-13 D/A INVESTING Other INDEFINITE 1,565,120 INDEFINITE
2011-03-16 D/A INVESTING Other INDEFINITE 1,736,204 INDEFINITE
2010-01-13 D/A INVESTING Other INDEFINITE 1,508,568 INDEFINITE
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
ANGELA KAHRMANN subscription required
    EXECUTIVE OFFICER DIRECTOR
ASHLEY DURYEA subscription required
    EXECUTIVE OFFICER DIRECTOR
BARBARA J. KESTERSON subscription required
    EXECUTIVE OFFICER DIRECTOR
CAROL STERN subscription required
    EXECUTIVE OFFICER DIRECTOR
CHRIS TROVATO subscription required
    EXECUTIVE OFFICER DIRECTOR
DANIEL PAUL BURKOTT subscription required
    EXECUTIVE OFFICER
DENNIS JOHN MILES subscription required
    EXECUTIVE OFFICER
ED POLLIS subscription required
    DIRECTOR
KARL LINDBERG subscription required
    EXECUTIVE OFFICER DIRECTOR
KAY ANN KEMP subscription required
    EXECUTIVE OFFICER
KRISTIN HENDERSON HULTGREN subscription required
    EXECUTIVE OFFICER
LYNNE R. FORD subscription required
    DIRECTOR
MARK MARR subscription required
    EXECUTIVE OFFICER DIRECTOR
RICHARD HENRY LINTON subscription required
    EXECUTIVE OFFICER DIRECTOR
RICHARD LINTON, JR. subscription required
    DIRECTOR
SAM A. GHAZALEH subscription required
    EXECUTIVE OFFICER DIRECTOR
THOMAS HALLORAN subscription required
    EXECUTIVE OFFICER DIRECTOR
TOM HALLORAN subscription required
    EXECUTIVE OFFICER DIRECTOR
VALERIE BROWN subscription required
    EXECUTIVE OFFICER DIRECTOR
WILLIAM WILCOX subscription required
    EXECUTIVE OFFICER DIRECTOR

VOYA FINANCIAL ADVISORS, INC.

ownership team - last updated 2019-09-16
Name Title Start Date Direct/Indirect % Ownership
VOYA HOLDINGS INC. 100% SHAREHOLDER 12/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
DIRECTED SERVICES LLC OWNER indirect 2000-12-01
ING GHENT ASSET MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01
VOYA INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2001-01-01
ING INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2001-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01
ING INVESTMENT MANAGEMENT (UK) LIMITED SOLE MEMBER indirect 2001-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01
VOYA INVESTMENTS, LLC MEMBER indirect 2001-02-01
BANCNORTH INVESTMENT GROUP, INC. SOLE SHAREHOLDER indirect 2002-12-01
RELIASTAR INVESTMENT RESEARCH INC SHAREHOLDER direct 2002-12-01
VOYA FINANCIAL PARTNERS, LLC PARENT indirect 2003-03-01
ING LIFE INSURANCE AND ANNUITY COMPANY SHAREHOLDER direct 2003-03-01
VOYA RETIREMENT ADVISORS, LLC PARENT indirect 2008-07-01
ING INVESTMENT ADVISORS, LLC SOLE MEMBER indirect 2008-07-01
VOYA FINANCIAL ADVISORS, INC. 100% SHAREHOLDER direct 2012-12-01
AETNA INVESTMENT SERVICES, LLC PARENT indirect 2000-12-01 2002-03-27
AETNA LIFE INSURANCE & ANNUITY CO SHAREHOLDER indirect 2000-12-01 2002-04-01
AETNA INVESTMENT SERVICES, LLC PARENT indirect 2000-12-01 2003-04-03
ING INVESTMENT MANAGEMENT LLC MEMBER direct 2001-01-01 2003-05-01
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2002-12-01 2003-05-02
ING LIFE INSURANCE AND ANNUITY COMPANY SHAREHOLDER indirect 2000-12-01 2004-02-20
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 1999-11-01 2005-04-05
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER indirect 2000-12-01 2005-10-03
DIRECTED SERVICES, INC. SOLE SHAREHOLDER direct 2002-12-01 2006-10-31
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 2002-12-01 2007-03-28
CITISTREET ADVISORS LLC PARENT indirect 2003-03-01 2008-08-01
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 2006-12-01 2009-12-17
FINANCIAL NETWORK INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 2000-12-01 2010-01-07
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER direct 2002-12-01 2010-01-11
ING INVESTMENT MANAGEMENT CO. SOLE MEMBER indirect 2001-01-01 2011-03-31
ING ALTERNATIVE ASSET MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2013-10-02
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 2001-02-01 2014-01-15
POMONA MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-03-17
DIRECTED SERVICES LLC SOLE SHAREHOLDER indirect 2000-12-01 2014-03-28
ING INVESTMENTS, LLC MEMBER indirect 2001-02-01 2014-03-28
ING INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
ING INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-03-31
ING INVESTMENT MANAGEMENT (UK) LIMITED SOLE MEMBER indirect 2001-01-01 2014-04-02
ING INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-05-19
DIRECTED SERVICES LLC SHAREHOLDER indirect 2000-12-01 2014-06-25
ING FINANCIAL ADVISERS, LLC PARENT indirect 2003-03-01 2014-08-29
ING INVESTMENT ADVISORS, LLC PARENT indirect 2008-07-01 2014-08-29
ING FINANCIAL PARTNERS, INC 100% SHAREHOLDER direct 2002-12-01 2014-09-04
HULTGREN, KRISTIN HENDERSON CHIEF FINANCIAL OFFICER 03/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING FINANCIAL PARTNERS, INC CHIEF FINANCIAL OFFICER direct 2010-03-01
ING INVESTMENT ADVISORS, LLC CFO / FINOP direct 2009-04-01
DIRECTED SERVICES LLC CHIEF FINANCIAL OFFICER direct 2016-05-01
VOYA FINANCIAL PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
HALLORAN, THOMAS WILLIAM PRESIDENT AND DIRECTOR 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING FINANCIAL PARTNERS, INC PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2013-11-01
VOYA FINANCIAL ADVISORS, INC. PRESIDENT AND DIRECTOR direct 2013-11-01
BURKOTT, DANIEL PAUL CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WOODBURY FINANCIAL SERVICES, INC. AML COMPLIANCE OFFICER direct 2013-07-01
VOYA FINANCIAL ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-07-01
MILES, DENNIS JOHN VP, PARTICIPANT SERVICE AND SALES SOLUTIONS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA FINANCIAL ADVISORS, INC. VP, PARTICIPANT SERVICE AND SALES SOLUTIONS direct 2017-05-01
KEMP, KAY ANN VICE PRESIDENT, FIELD OPERATIONS 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA FINANCIAL ADVISORS, INC. VICE PRESIDENT, FIELD OPERATIONS direct 2016-05-01
VOYA FINANCIAL, INC. SHAREHOLDER VOYA HOLDINGS, INC 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VESTAX SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01
BANCNORTH INVESTMENT GROUP, INC. SOLE SHAREHOLDER indirect 2000-09-01
DIRECTED SERVICES LLC OWNER indirect 2000-09-01
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2000-12-01
RELIASTAR INVESTMENT RESEARCH INC SHAREHOLDER indirect 2002-12-01
VOYA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
ING INVESTMENT MANAGEMENT (UK) LIMITED SHAREHOLDER indirect 2004-01-01
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2004-01-01
ING GHENT ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA FINANCIAL ADVISORS, INC. SHAREHOLDER indirect 2014-04-01
VOYA RETIREMENT ADVISORS, LLC SHAREHOLDER indirect 2014-04-01
VOYA FINANCIAL PARTNERS, LLC SHAREHOLDER indirect 2014-04-01
DIRECTED SERVICES, INC. SOLE SHAREHOLDER indirect 1997-10-01 2002-05-31
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1998-01-01 2002-12-20
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2000-12-01 2003-02-10
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-02-25
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-02-25
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-05-02
AELTUS INVESTMENT MANAGEMENT INC PARENT OF LCH direct 2000-12-01 2004-01-20
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2002-12-01 2004-07-22
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER indirect 2000-12-01 2005-10-03
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2005-11-17
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 1991-03-01 2006-06-21
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2007-03-30
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2009-12-17
FINANCIAL NETWORK INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 2000-12-01 2010-01-07
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2010-01-11
ING FINANCIAL ADVISERS, LLC PARENT indirect 2000-12-01 2012-04-03
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2002-12-01 2013-06-12
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2003-08-01 2013-11-07
ING INVESTMENT MANAGEMENT CO. LLC SOLE MEMBER indirect 2003-08-01 2013-11-07
ING ALTERNATIVE ASSET MANAGEMENT LLC SOLE MEMBER indirect 2004-06-01 2013-11-07
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2006-01-01 2013-11-07
ING FINANCIAL ADVISERS, LLC SHAREHOLDER indirect 2000-12-01 2014-03-17
DIRECTED SERVICES LLC SOLE SHAREHOLDER indirect 2002-12-01 2014-03-28
ING FINANCIAL PARTNERS, INC SOLE SHAREHOLDER indirect 2002-12-01 2014-03-31
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-03-31
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2008-06-01 2014-04-08
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-05-28
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-05-28
DIRECTED SERVICES LLC SHAREHOLDER indirect 2014-04-01 2014-06-25
ING INVESTMENT MANAGEMENT CO. SHAREHOLDER indirect 2004-01-01 2014-07-30
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2014-04-01 2014-08-29
VOYA FINANCIAL ADVISORS, INC. SHAREHOLDER indirect 2014-04-01 2014-09-04
ING FINANCIAL ADVISERS, LLC SHAREHOLDER indirect 2014-04-01 2014-09-30

VOYA FINANCIAL ADVISORS, INC.

ownership team - last updated 2019-05-17
Name Title Start Date Direct/Indirect % Ownership
VOYA HOLDINGS INC. 100% SHAREHOLDER 12/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
DIRECTED SERVICES LLC OWNER indirect 2000-12-01
ING GHENT ASSET MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01
VOYA INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2001-01-01
ING INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2001-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01
ING INVESTMENT MANAGEMENT (UK) LIMITED SOLE MEMBER indirect 2001-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01
VOYA INVESTMENTS, LLC MEMBER indirect 2001-02-01
BANCNORTH INVESTMENT GROUP, INC. SOLE SHAREHOLDER indirect 2002-12-01
RELIASTAR INVESTMENT RESEARCH INC SHAREHOLDER direct 2002-12-01
VOYA FINANCIAL PARTNERS, LLC PARENT indirect 2003-03-01
ING LIFE INSURANCE AND ANNUITY COMPANY SHAREHOLDER direct 2003-03-01
VOYA RETIREMENT ADVISORS, LLC PARENT indirect 2008-07-01
ING INVESTMENT ADVISORS, LLC SOLE MEMBER indirect 2008-07-01
VOYA FINANCIAL ADVISORS, INC. 100% SHAREHOLDER direct 2012-12-01
AETNA INVESTMENT SERVICES, LLC PARENT indirect 2000-12-01 2002-03-27
AETNA LIFE INSURANCE & ANNUITY CO SHAREHOLDER indirect 2000-12-01 2002-04-01
AETNA INVESTMENT SERVICES, LLC PARENT indirect 2000-12-01 2003-04-03
ING INVESTMENT MANAGEMENT LLC MEMBER direct 2001-01-01 2003-05-01
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2002-12-01 2003-05-02
ING LIFE INSURANCE AND ANNUITY COMPANY SHAREHOLDER indirect 2000-12-01 2004-02-20
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 1999-11-01 2005-04-05
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER indirect 2000-12-01 2005-10-03
DIRECTED SERVICES, INC. SOLE SHAREHOLDER direct 2002-12-01 2006-10-31
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 2002-12-01 2007-03-28
CITISTREET ADVISORS LLC PARENT indirect 2003-03-01 2008-08-01
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 2006-12-01 2009-12-17
FINANCIAL NETWORK INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 2000-12-01 2010-01-07
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER direct 2002-12-01 2010-01-11
ING INVESTMENT MANAGEMENT CO. SOLE MEMBER indirect 2001-01-01 2011-03-31
ING ALTERNATIVE ASSET MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2013-10-02
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 2001-02-01 2014-01-15
POMONA MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-03-17
DIRECTED SERVICES LLC SOLE SHAREHOLDER indirect 2000-12-01 2014-03-28
ING INVESTMENTS, LLC MEMBER indirect 2001-02-01 2014-03-28
ING INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
ING INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-03-31
ING INVESTMENT MANAGEMENT (UK) LIMITED SOLE MEMBER indirect 2001-01-01 2014-04-02
ING INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-05-19
DIRECTED SERVICES LLC SHAREHOLDER indirect 2000-12-01 2014-06-25
ING FINANCIAL ADVISERS, LLC PARENT indirect 2003-03-01 2014-08-29
ING INVESTMENT ADVISORS, LLC PARENT indirect 2008-07-01 2014-08-29
ING FINANCIAL PARTNERS, INC 100% SHAREHOLDER direct 2002-12-01 2014-09-04
HULTGREN, KRISTIN HENDERSON CHIEF FINANCIAL OFFICER 03/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING FINANCIAL PARTNERS, INC CHIEF FINANCIAL OFFICER direct 2010-03-01
ING INVESTMENT ADVISORS, LLC CFO / FINOP direct 2009-04-01
DIRECTED SERVICES LLC CHIEF FINANCIAL OFFICER direct 2016-05-01
VOYA FINANCIAL PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
HALLORAN, THOMAS WILLIAM PRESIDENT AND DIRECTOR 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING FINANCIAL PARTNERS, INC PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2013-11-01
VOYA FINANCIAL ADVISORS, INC. PRESIDENT AND DIRECTOR direct 2013-11-01
BURKOTT, DANIEL PAUL CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WOODBURY FINANCIAL SERVICES, INC. AML COMPLIANCE OFFICER direct 2013-07-01
VOYA FINANCIAL ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-07-01
MILES, DENNIS JOHN VP, PARTICIPANT SERVICE AND SALES SOLUTIONS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA FINANCIAL ADVISORS, INC. VP, PARTICIPANT SERVICE AND SALES SOLUTIONS direct 2017-05-01
KEMP, KAY ANN VICE PRESIDENT, FIELD OPERATIONS 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA FINANCIAL ADVISORS, INC. VICE PRESIDENT, FIELD OPERATIONS direct 2016-05-01
VOYA FINANCIAL, INC. SHAREHOLDER VOYA HOLDINGS, INC 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VESTAX SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01
BANCNORTH INVESTMENT GROUP, INC. SOLE SHAREHOLDER indirect 2000-09-01
DIRECTED SERVICES LLC OWNER indirect 2000-09-01
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2000-12-01
RELIASTAR INVESTMENT RESEARCH INC SHAREHOLDER indirect 2002-12-01
VOYA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
ING INVESTMENT MANAGEMENT (UK) LIMITED SHAREHOLDER indirect 2004-01-01
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2004-01-01
ING GHENT ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA FINANCIAL ADVISORS, INC. SHAREHOLDER indirect 2014-04-01
VOYA RETIREMENT ADVISORS, LLC SHAREHOLDER indirect 2014-04-01
VOYA FINANCIAL PARTNERS, LLC SHAREHOLDER indirect 2014-04-01
DIRECTED SERVICES, INC. SOLE SHAREHOLDER indirect 1997-10-01 2002-05-31
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1998-01-01 2002-12-20
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2000-12-01 2003-02-10
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-02-25
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-02-25
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-05-02
AELTUS INVESTMENT MANAGEMENT INC PARENT OF LCH direct 2000-12-01 2004-01-20
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2002-12-01 2004-07-22
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER indirect 2000-12-01 2005-10-03
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2005-11-17
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 1991-03-01 2006-06-21
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2007-03-30
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2009-12-17
FINANCIAL NETWORK INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 2000-12-01 2010-01-07
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2010-01-11
ING FINANCIAL ADVISERS, LLC PARENT indirect 2000-12-01 2012-04-03
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2002-12-01 2013-06-12
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2003-08-01 2013-11-07
ING INVESTMENT MANAGEMENT CO. LLC SOLE MEMBER indirect 2003-08-01 2013-11-07
ING ALTERNATIVE ASSET MANAGEMENT LLC SOLE MEMBER indirect 2004-06-01 2013-11-07
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2006-01-01 2013-11-07
ING FINANCIAL ADVISERS, LLC SHAREHOLDER indirect 2000-12-01 2014-03-17
DIRECTED SERVICES LLC SOLE SHAREHOLDER indirect 2002-12-01 2014-03-28
ING FINANCIAL PARTNERS, INC SOLE SHAREHOLDER indirect 2002-12-01 2014-03-31
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-03-31
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2008-06-01 2014-04-08
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-05-28
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-05-28
DIRECTED SERVICES LLC SHAREHOLDER indirect 2014-04-01 2014-06-25
ING INVESTMENT MANAGEMENT CO. SHAREHOLDER indirect 2004-01-01 2014-07-30
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2014-04-01 2014-08-29
VOYA FINANCIAL ADVISORS, INC. SHAREHOLDER indirect 2014-04-01 2014-09-04
ING FINANCIAL ADVISERS, LLC SHAREHOLDER indirect 2014-04-01 2014-09-30

VOYA FINANCIAL ADVISORS, INC.

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
VOYA HOLDINGS INC. 100% SHAREHOLDER 12/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
DIRECTED SERVICES LLC OWNER indirect 2000-12-01
ING GHENT ASSET MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01
VOYA INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2001-01-01
ING INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2001-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01
ING INVESTMENT MANAGEMENT (UK) LIMITED SOLE MEMBER indirect 2001-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01
VOYA INVESTMENTS, LLC MEMBER indirect 2001-02-01
BANCNORTH INVESTMENT GROUP, INC. SOLE SHAREHOLDER indirect 2002-12-01
RELIASTAR INVESTMENT RESEARCH INC SHAREHOLDER direct 2002-12-01
VOYA FINANCIAL PARTNERS, LLC PARENT indirect 2003-03-01
ING LIFE INSURANCE AND ANNUITY COMPANY SHAREHOLDER direct 2003-03-01
VOYA RETIREMENT ADVISORS, LLC PARENT indirect 2008-07-01
ING INVESTMENT ADVISORS, LLC SOLE MEMBER indirect 2008-07-01
VOYA FINANCIAL ADVISORS, INC. 100% SHAREHOLDER direct 2012-12-01
AETNA INVESTMENT SERVICES, LLC PARENT indirect 2000-12-01 2002-03-27
AETNA LIFE INSURANCE & ANNUITY CO SHAREHOLDER indirect 2000-12-01 2002-04-01
AETNA INVESTMENT SERVICES, LLC PARENT indirect 2000-12-01 2003-04-03
ING INVESTMENT MANAGEMENT LLC MEMBER direct 2001-01-01 2003-05-01
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2002-12-01 2003-05-02
ING LIFE INSURANCE AND ANNUITY COMPANY SHAREHOLDER indirect 2000-12-01 2004-02-20
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 1999-11-01 2005-04-05
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER indirect 2000-12-01 2005-10-03
DIRECTED SERVICES, INC. SOLE SHAREHOLDER direct 2002-12-01 2006-10-31
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 2002-12-01 2007-03-28
CITISTREET ADVISORS LLC PARENT indirect 2003-03-01 2008-08-01
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 2006-12-01 2009-12-17
FINANCIAL NETWORK INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 2000-12-01 2010-01-07
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER direct 2002-12-01 2010-01-11
ING INVESTMENT MANAGEMENT CO. SOLE MEMBER indirect 2001-01-01 2011-03-31
ING ALTERNATIVE ASSET MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2013-10-02
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 2001-02-01 2014-01-15
POMONA MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-03-17
DIRECTED SERVICES LLC SOLE SHAREHOLDER indirect 2000-12-01 2014-03-28
ING INVESTMENTS, LLC MEMBER indirect 2001-02-01 2014-03-28
ING INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
ING INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-03-31
ING INVESTMENT MANAGEMENT (UK) LIMITED SOLE MEMBER indirect 2001-01-01 2014-04-02
ING INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-05-19
DIRECTED SERVICES LLC SHAREHOLDER indirect 2000-12-01 2014-06-25
ING FINANCIAL ADVISERS, LLC PARENT indirect 2003-03-01 2014-08-29
ING INVESTMENT ADVISORS, LLC PARENT indirect 2008-07-01 2014-08-29
ING FINANCIAL PARTNERS, INC 100% SHAREHOLDER direct 2002-12-01 2014-09-04
HULTGREN, KRISTIN HENDERSON CHIEF FINANCIAL OFFICER 03/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING FINANCIAL PARTNERS, INC CHIEF FINANCIAL OFFICER direct 2010-03-01
ING INVESTMENT ADVISORS, LLC CFO / FINOP direct 2009-04-01
DIRECTED SERVICES LLC CHIEF FINANCIAL OFFICER direct 2016-05-01
VOYA FINANCIAL PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
HALLORAN, THOMAS WILLIAM PRESIDENT AND DIRECTOR 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING FINANCIAL PARTNERS, INC PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2013-11-01
VOYA FINANCIAL ADVISORS, INC. PRESIDENT AND DIRECTOR direct 2013-11-01
BURKOTT, DANIEL PAUL CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WOODBURY FINANCIAL SERVICES, INC. AML COMPLIANCE OFFICER direct 2013-07-01
VOYA FINANCIAL ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-07-01
MILES, DENNIS JOHN VP, PARTICIPANT SERVICE AND SALES SOLUTIONS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA FINANCIAL ADVISORS, INC. VP, PARTICIPANT SERVICE AND SALES SOLUTIONS direct 2017-05-01
KEMP, KAY ANN VICE PRESIDENT, FIELD OPERATIONS 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA FINANCIAL ADVISORS, INC. VICE PRESIDENT, FIELD OPERATIONS direct 2016-05-01
VOYA FINANCIAL, INC. SHAREHOLDER VOYA HOLDINGS, INC 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VESTAX SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01
BANCNORTH INVESTMENT GROUP, INC. SOLE SHAREHOLDER indirect 2000-09-01
DIRECTED SERVICES LLC OWNER indirect 2000-09-01
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2000-12-01
RELIASTAR INVESTMENT RESEARCH INC SHAREHOLDER indirect 2002-12-01
VOYA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
ING INVESTMENT MANAGEMENT (UK) LIMITED SHAREHOLDER indirect 2004-01-01
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2004-01-01
ING GHENT ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA FINANCIAL ADVISORS, INC. SHAREHOLDER indirect 2014-04-01
VOYA RETIREMENT ADVISORS, LLC SHAREHOLDER indirect 2014-04-01
VOYA FINANCIAL PARTNERS, LLC SHAREHOLDER indirect 2014-04-01
DIRECTED SERVICES, INC. SOLE SHAREHOLDER indirect 1997-10-01 2002-05-31
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1998-01-01 2002-12-20
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2000-12-01 2003-02-10
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-02-25
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-02-25
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-05-02
AELTUS INVESTMENT MANAGEMENT INC PARENT OF LCH direct 2000-12-01 2004-01-20
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2002-12-01 2004-07-22
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER indirect 2000-12-01 2005-10-03
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2005-11-17
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 1991-03-01 2006-06-21
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2007-03-30
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2009-12-17
FINANCIAL NETWORK INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 2000-12-01 2010-01-07
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2010-01-11
ING FINANCIAL ADVISERS, LLC PARENT indirect 2000-12-01 2012-04-03
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2002-12-01 2013-06-12
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2003-08-01 2013-11-07
ING INVESTMENT MANAGEMENT CO. LLC SOLE MEMBER indirect 2003-08-01 2013-11-07
ING ALTERNATIVE ASSET MANAGEMENT LLC SOLE MEMBER indirect 2004-06-01 2013-11-07
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2006-01-01 2013-11-07
ING FINANCIAL ADVISERS, LLC SHAREHOLDER indirect 2000-12-01 2014-03-17
DIRECTED SERVICES LLC SOLE SHAREHOLDER indirect 2002-12-01 2014-03-28
ING FINANCIAL PARTNERS, INC SOLE SHAREHOLDER indirect 2002-12-01 2014-03-31
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-03-31
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2008-06-01 2014-04-08
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-05-28
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-05-28
DIRECTED SERVICES LLC SHAREHOLDER indirect 2014-04-01 2014-06-25
ING INVESTMENT MANAGEMENT CO. SHAREHOLDER indirect 2004-01-01 2014-07-30
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2014-04-01 2014-08-29
VOYA FINANCIAL ADVISORS, INC. SHAREHOLDER indirect 2014-04-01 2014-09-04
ING FINANCIAL ADVISERS, LLC SHAREHOLDER indirect 2014-04-01 2014-09-30

VOYA FINANCIAL ADVISORS, INC.

ownership team - last updated 2018-10-26
Name Title Start Date Direct/Indirect % Ownership
VOYA HOLDINGS INC. 100% SHAREHOLDER 12/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
DIRECTED SERVICES LLC OWNER indirect 2000-12-01
ING GHENT ASSET MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01
VOYA INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2001-01-01
ING INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2001-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01
ING INVESTMENT MANAGEMENT (UK) LIMITED SOLE MEMBER indirect 2001-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01
VOYA INVESTMENTS, LLC MEMBER indirect 2001-02-01
BANCNORTH INVESTMENT GROUP, INC. SOLE SHAREHOLDER indirect 2002-12-01
RELIASTAR INVESTMENT RESEARCH INC SHAREHOLDER direct 2002-12-01
VOYA FINANCIAL PARTNERS, LLC PARENT indirect 2003-03-01
ING LIFE INSURANCE AND ANNUITY COMPANY SHAREHOLDER direct 2003-03-01
VOYA RETIREMENT ADVISORS, LLC PARENT indirect 2008-07-01
ING INVESTMENT ADVISORS, LLC SOLE MEMBER indirect 2008-07-01
VOYA FINANCIAL ADVISORS, INC. 100% SHAREHOLDER direct 2012-12-01
AETNA INVESTMENT SERVICES, LLC PARENT indirect 2000-12-01 2002-03-27
AETNA LIFE INSURANCE & ANNUITY CO SHAREHOLDER indirect 2000-12-01 2002-04-01
AETNA INVESTMENT SERVICES, LLC PARENT indirect 2000-12-01 2003-04-03
ING INVESTMENT MANAGEMENT LLC MEMBER direct 2001-01-01 2003-05-01
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2002-12-01 2003-05-02
ING LIFE INSURANCE AND ANNUITY COMPANY SHAREHOLDER indirect 2000-12-01 2004-02-20
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 1999-11-01 2005-04-05
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER indirect 2000-12-01 2005-10-03
DIRECTED SERVICES, INC. SOLE SHAREHOLDER direct 2002-12-01 2006-10-31
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 2002-12-01 2007-03-28
CITISTREET ADVISORS LLC PARENT indirect 2003-03-01 2008-08-01
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 2006-12-01 2009-12-17
FINANCIAL NETWORK INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 2000-12-01 2010-01-07
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER direct 2002-12-01 2010-01-11
ING INVESTMENT MANAGEMENT CO. SOLE MEMBER indirect 2001-01-01 2011-03-31
ING ALTERNATIVE ASSET MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2013-10-02
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 2001-02-01 2014-01-15
POMONA MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-03-17
DIRECTED SERVICES LLC SOLE SHAREHOLDER indirect 2000-12-01 2014-03-28
ING INVESTMENTS, LLC MEMBER indirect 2001-02-01 2014-03-28
ING INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
ING INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-03-31
ING INVESTMENT MANAGEMENT (UK) LIMITED SOLE MEMBER indirect 2001-01-01 2014-04-02
ING INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-05-19
DIRECTED SERVICES LLC SHAREHOLDER indirect 2000-12-01 2014-06-25
ING FINANCIAL ADVISERS, LLC PARENT indirect 2003-03-01 2014-08-29
ING INVESTMENT ADVISORS, LLC PARENT indirect 2008-07-01 2014-08-29
ING FINANCIAL PARTNERS, INC 100% SHAREHOLDER direct 2002-12-01 2014-09-04
HULTGREN, KRISTIN HENDERSON CHIEF FINANCIAL OFFICER 03/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING FINANCIAL PARTNERS, INC CHIEF FINANCIAL OFFICER direct 2010-03-01
ING INVESTMENT ADVISORS, LLC CFO / FINOP direct 2009-04-01
DIRECTED SERVICES LLC CHIEF FINANCIAL OFFICER direct 2016-05-01
VOYA FINANCIAL PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
HALLORAN, THOMAS WILLIAM PRESIDENT AND DIRECTOR 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING FINANCIAL PARTNERS, INC PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2013-11-01
VOYA FINANCIAL ADVISORS, INC. PRESIDENT AND DIRECTOR direct 2013-11-01
BURKOTT, DANIEL PAUL CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WOODBURY FINANCIAL SERVICES, INC. AML COMPLIANCE OFFICER direct 2013-07-01
VOYA FINANCIAL ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-07-01
MILES, DENNIS JOHN VP, PARTICIPANT SERVICE AND SALES SOLUTIONS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA FINANCIAL ADVISORS, INC. VP, PARTICIPANT SERVICE AND SALES SOLUTIONS direct 2017-05-01
KEMP, KAY ANN VICE PRESIDENT, FIELD OPERATIONS 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA FINANCIAL ADVISORS, INC. VICE PRESIDENT, FIELD OPERATIONS direct 2016-05-01
VOYA FINANCIAL, INC. SHAREHOLDER VOYA HOLDINGS, INC 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VESTAX SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01
BANCNORTH INVESTMENT GROUP, INC. SOLE SHAREHOLDER indirect 2000-09-01
DIRECTED SERVICES LLC OWNER indirect 2000-09-01
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2000-12-01
RELIASTAR INVESTMENT RESEARCH INC SHAREHOLDER indirect 2002-12-01
VOYA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
ING INVESTMENT MANAGEMENT (UK) LIMITED SHAREHOLDER indirect 2004-01-01
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2004-01-01
ING GHENT ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA FINANCIAL ADVISORS, INC. SHAREHOLDER indirect 2014-04-01
VOYA RETIREMENT ADVISORS, LLC SHAREHOLDER indirect 2014-04-01
VOYA FINANCIAL PARTNERS, LLC SHAREHOLDER indirect 2014-04-01
DIRECTED SERVICES, INC. SOLE SHAREHOLDER indirect 1997-10-01 2002-05-31
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1998-01-01 2002-12-20
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2000-12-01 2003-02-10
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-02-25
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-02-25
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-05-02
AELTUS INVESTMENT MANAGEMENT INC PARENT OF LCH direct 2000-12-01 2004-01-20
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2002-12-01 2004-07-22
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER indirect 2000-12-01 2005-10-03
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2005-11-17
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 1991-03-01 2006-06-21
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2007-03-30
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2009-12-17
FINANCIAL NETWORK INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 2000-12-01 2010-01-07
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2010-01-11
ING FINANCIAL ADVISERS, LLC PARENT indirect 2000-12-01 2012-04-03
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2002-12-01 2013-06-12
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2003-08-01 2013-11-07
ING INVESTMENT MANAGEMENT CO. LLC SOLE MEMBER indirect 2003-08-01 2013-11-07
ING ALTERNATIVE ASSET MANAGEMENT LLC SOLE MEMBER indirect 2004-06-01 2013-11-07
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2006-01-01 2013-11-07
ING FINANCIAL ADVISERS, LLC SHAREHOLDER indirect 2000-12-01 2014-03-17
DIRECTED SERVICES LLC SOLE SHAREHOLDER indirect 2002-12-01 2014-03-28
ING FINANCIAL PARTNERS, INC SOLE SHAREHOLDER indirect 2002-12-01 2014-03-31
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-03-31
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2008-06-01 2014-04-08
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-05-28
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-05-28
DIRECTED SERVICES LLC SHAREHOLDER indirect 2014-04-01 2014-06-25
ING INVESTMENT MANAGEMENT CO. SHAREHOLDER indirect 2004-01-01 2014-07-30
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2014-04-01 2014-08-29
VOYA FINANCIAL ADVISORS, INC. SHAREHOLDER indirect 2014-04-01 2014-09-04
ING FINANCIAL ADVISERS, LLC SHAREHOLDER indirect 2014-04-01 2014-09-30

VOYA FINANCIAL ADVISORS, INC.

ownership team - last updated 2018-06-28
Name Title Start Date Direct/Indirect % Ownership
VOYA HOLDINGS INC. 100% SHAREHOLDER 12/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
DIRECTED SERVICES LLC OWNER indirect 2000-12-01
ING GHENT ASSET MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01
VOYA INVESTMENT MANAGEMENT LLC SOLE MEMBER direct 2001-01-01
ING INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2001-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01
ING INVESTMENT MANAGEMENT (UK) LIMITED SOLE MEMBER indirect 2001-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01
VOYA INVESTMENTS, LLC MEMBER indirect 2001-02-01
BANCNORTH INVESTMENT GROUP, INC. SOLE SHAREHOLDER indirect 2002-12-01
RELIASTAR INVESTMENT RESEARCH INC SHAREHOLDER direct 2002-12-01
VOYA FINANCIAL PARTNERS, LLC PARENT indirect 2003-03-01
ING LIFE INSURANCE AND ANNUITY COMPANY SHAREHOLDER direct 2003-03-01
VOYA RETIREMENT ADVISORS, LLC PARENT indirect 2008-07-01
ING INVESTMENT ADVISORS, LLC SOLE MEMBER indirect 2008-07-01
VOYA FINANCIAL ADVISORS, INC. 100% SHAREHOLDER direct 2012-12-01
AETNA INVESTMENT SERVICES, LLC PARENT indirect 2000-12-01 2002-03-27
AETNA LIFE INSURANCE & ANNUITY CO SHAREHOLDER indirect 2000-12-01 2002-04-01
AETNA INVESTMENT SERVICES, LLC PARENT indirect 2000-12-01 2003-04-03
ING INVESTMENT MANAGEMENT LLC MEMBER direct 2001-01-01 2003-05-01
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2002-12-01 2003-05-02
ING LIFE INSURANCE AND ANNUITY COMPANY SHAREHOLDER indirect 2000-12-01 2004-02-20
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 1999-11-01 2005-04-05
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER indirect 2000-12-01 2005-10-03
DIRECTED SERVICES, INC. SOLE SHAREHOLDER direct 2002-12-01 2006-10-31
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 2002-12-01 2007-03-28
CITISTREET ADVISORS LLC PARENT indirect 2003-03-01 2008-08-01
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 2006-12-01 2009-12-17
FINANCIAL NETWORK INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 2000-12-01 2010-01-07
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER direct 2002-12-01 2010-01-11
ING INVESTMENT MANAGEMENT CO. SOLE MEMBER indirect 2001-01-01 2011-03-31
ING ALTERNATIVE ASSET MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2013-10-02
ING INVESTMENTS, LLC SOLE SHAREHOLDER indirect 2001-02-01 2014-01-15
POMONA MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-03-17
DIRECTED SERVICES LLC SOLE SHAREHOLDER indirect 2000-12-01 2014-03-28
ING INVESTMENTS, LLC MEMBER indirect 2001-02-01 2014-03-28
ING INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2001-01-01 2014-03-31
ING INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-03-31
ING INVESTMENT MANAGEMENT (UK) LIMITED SOLE MEMBER indirect 2001-01-01 2014-04-02
ING INVESTMENT MANAGEMENT LLC SOLE MEMBER indirect 2001-01-01 2014-05-19
DIRECTED SERVICES LLC SHAREHOLDER indirect 2000-12-01 2014-06-25
ING FINANCIAL ADVISERS, LLC PARENT indirect 2003-03-01 2014-08-29
ING INVESTMENT ADVISORS, LLC PARENT indirect 2008-07-01 2014-08-29
ING FINANCIAL PARTNERS, INC 100% SHAREHOLDER direct 2002-12-01 2014-09-04
HULTGREN, KRISTIN HENDERSON CHIEF FINANCIAL OFFICER 03/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING FINANCIAL PARTNERS, INC CHIEF FINANCIAL OFFICER direct 2010-03-01
ING INVESTMENT ADVISORS, LLC CFO / FINOP direct 2009-04-01
DIRECTED SERVICES LLC CHIEF FINANCIAL OFFICER direct 2016-05-01
VOYA FINANCIAL PARTNERS, LLC CHIEF FINANCIAL OFFICER direct 2008-04-01
HALLORAN, THOMAS WILLIAM PRESIDENT AND DIRECTOR 11/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING FINANCIAL PARTNERS, INC PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR direct 2013-11-01
VOYA FINANCIAL ADVISORS, INC. PRESIDENT AND DIRECTOR direct 2013-11-01
BURKOTT, DANIEL PAUL CHIEF COMPLIANCE OFFICER 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WOODBURY FINANCIAL SERVICES, INC. AML COMPLIANCE OFFICER direct 2013-07-01
VOYA FINANCIAL ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-07-01
MILES, DENNIS JOHN VP, PARTICIPANT SERVICE AND SALES SOLUTIONS 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA FINANCIAL ADVISORS, INC. VP, PARTICIPANT SERVICE AND SALES SOLUTIONS direct 2017-05-01
KEMP, KAY ANN VICE PRESIDENT, FIELD OPERATIONS 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
VOYA FINANCIAL ADVISORS, INC. VICE PRESIDENT, FIELD OPERATIONS direct 2016-05-01
VOYA FINANCIAL, INC. SHAREHOLDER VOYA HOLDINGS, INC 04/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
VESTAX SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01
BANCNORTH INVESTMENT GROUP, INC. SOLE SHAREHOLDER indirect 2000-09-01
DIRECTED SERVICES LLC OWNER indirect 2000-09-01
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2000-12-01
RELIASTAR INVESTMENT RESEARCH INC SHAREHOLDER indirect 2002-12-01
VOYA INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
ING INVESTMENT MANAGEMENT (UK) LIMITED SHAREHOLDER indirect 2004-01-01
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA INVESTMENT MANAGEMENT CO. LLC SHAREHOLDER indirect 2004-01-01
ING GHENT ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
FURMAN SELZ CAPITAL MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01
VOYA FINANCIAL ADVISORS, INC. SHAREHOLDER indirect 2014-04-01
VOYA RETIREMENT ADVISORS, LLC SHAREHOLDER indirect 2014-04-01
VOYA FINANCIAL PARTNERS, LLC SHAREHOLDER indirect 2014-04-01
DIRECTED SERVICES, INC. SOLE SHAREHOLDER indirect 1997-10-01 2002-05-31
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 1998-01-01 2002-12-20
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2000-12-01 2003-02-10
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-02-25
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-02-25
BANCWEST INVESTMENT SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2003-05-02
AELTUS INVESTMENT MANAGEMENT INC PARENT OF LCH direct 2000-12-01 2004-01-20
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2002-12-01 2004-07-22
FINANCIAL NETWORK INVESTMENT CORPORATION SHAREHOLDER indirect 2000-12-01 2005-10-03
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2005-11-17
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 1991-03-01 2006-06-21
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2007-03-30
MULTI-FINANCIAL SECURITIES CORPORATION SOLE SHAREHOLDER indirect 1999-12-01 2009-12-17
FINANCIAL NETWORK INVESTMENT CORPORATION SOLE SHAREHOLDER indirect 2000-12-01 2010-01-07
PRIMEVEST FINANCIAL SERVICES, INC. SOLE SHAREHOLDER indirect 2000-09-01 2010-01-11
ING FINANCIAL ADVISERS, LLC PARENT indirect 2000-12-01 2012-04-03
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2002-12-01 2013-06-12
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2003-08-01 2013-11-07
ING INVESTMENT MANAGEMENT CO. LLC SOLE MEMBER indirect 2003-08-01 2013-11-07
ING ALTERNATIVE ASSET MANAGEMENT LLC SOLE MEMBER indirect 2004-06-01 2013-11-07
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2006-01-01 2013-11-07
ING FINANCIAL ADVISERS, LLC SHAREHOLDER indirect 2000-12-01 2014-03-17
DIRECTED SERVICES LLC SOLE SHAREHOLDER indirect 2002-12-01 2014-03-28
ING FINANCIAL PARTNERS, INC SOLE SHAREHOLDER indirect 2002-12-01 2014-03-31
POMONA MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-03-31
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2008-06-01 2014-04-08
ING ALTERNATIVE ASSET MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-05-28
ING INVESTMENT MANAGEMENT LLC SHAREHOLDER indirect 2004-01-01 2014-05-28
DIRECTED SERVICES LLC SHAREHOLDER indirect 2014-04-01 2014-06-25
ING INVESTMENT MANAGEMENT CO. SHAREHOLDER indirect 2004-01-01 2014-07-30
ING INVESTMENT ADVISORS, LLC SHAREHOLDER indirect 2014-04-01 2014-08-29
VOYA FINANCIAL ADVISORS, INC. SHAREHOLDER indirect 2014-04-01 2014-09-04
ING FINANCIAL ADVISERS, LLC SHAREHOLDER indirect 2014-04-01 2014-09-30

WhaleScore history for VOYA FINANCIAL ADVISORS, INC.

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