Aeltus Investment Management Inc (New York)


Aeltus Investment Management Inc is a large advisory firm based in New York. It manages $64.48 billion of regulatory assets for 24,017 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Aeltus Investment Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, 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.

Aeltus Investment Management: assets under management

The assets under management (AUM) of Aeltus Investment Management Inc is $64.48 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 19% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $64.48 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.68 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Aeltus Investment Management Inc for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Aeltus Investment Management Inc

James Scott Fox has been acting as President since 1 Apr 1994. Jeffrey Todd Becker joined the executive team most recently as the Cfo.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Brian Ken Kawakami Chief compliance officer 1 Aug 1993 Other 1441148
James Scott Fox Coo/cfo/director 1 Apr 1994 Other 2024359
Inc. (Ars) Aetna Retirement Services Parent of arh 1 Mar 1996 75% - 100% 06-1445221
Thomas Joseph Mcinerney Director 1 Aug 1997 Other 2400561
Catherine Hale Smith Director 1 Feb 1998 Other 3047297
Michael Joseph Gioffre Counsel 1 Jun 1998 Other 1863705
Inc. (Aiahc) Aetna Investment Adviser Holding Co. Parent of aeltus investment management, inc. 1 Dec 1998 75% - 100% 06-1527985
Aetna Life Ins. And Annuity Company (Aliac) Parent of aiahc 1 Jul 1999 75% - 100% 71-0294708
Inc. (Arh) Aetna Retirement Holdings Parent of aliac 1 Jul 1999 75% - 100% 06-1450896
Lion Connecticut Holdings Inc. (Lch) Parent of ars 1 Dec 2000 75% - 100% 06-0843808
Inc. (Iaih) Ing America Insurance Holdings Parent of lch 1 Dec 2000 75% - 100% 02-0333654
Ing Insurance International B.V. (Iiibv) Parent of iaih 1 Dec 2000 75% - 100% foreign
Ing Verzekeringen N.V. (Ivnv) Parent of iiibv 1 Dec 2000 75% - 100% foreign
Ing Groep N.V. Parent of ivnv 1 Dec 2000 75% - 100% foreign
John G Turner Director 1 Apr 2001 Other 2426956
Mark Alan Tullis Director 1 Apr 2001 Other 1862764
Jeffrey Todd Becker Cfo 1 Jul 2001 Other 4447439
Thomas Joseph Balachowski Director 1 May 2002 Other 4376459
William Edmond Bartol Chief compliance officer 1 Jun 2002 Other 1261472
L. Charles (Duke) Meythaler Executive vice president 1 Oct 2002 Other 859160
Robert William Crispin Director, cio 1 Oct 2002 Other 1642909
Michael Joseph Gioffre Chief compliance officer 1 Oct 2002 Other 1863705
Gerald Thomas Lins General counsel 1 Oct 2002 Other 4068642
Ing Investment Management Llc (Iim Llc) Parent of applicant 1 Mar 2003 75% - 100% 58-2361003
Ing Investment Management Llc (Iim) Parent of applicant 1 Mar 2003 75% - 100% 58-2361003
Ing Investment Management Llc Parent of applicant 1 Mar 2003 75% - 100% 58-2361003
James Scott Fox Vice chairman 1 Feb 2004 Other 2024359
Jeffrey Todd Becker Cfo 1 Feb 2004 Other 4447439
Michael Joseph Gioffre Chief compliance officer 1 Feb 2004 Other 1863705
Robert William Crispin Chairman 1 Feb 2004 Other 1642909
Gerald Thomas Lins General counsel 1 Feb 2004 Other 4068642
Iii Fredric Armstrong Nelson Vice chairman 1 Feb 2004 Other 4619723
Paul Damien Gyra Executive vice president 1 Feb 2004 Other 4335490
Gregory G Mcgreevey Executive vice president 1 Feb 2004 Other 2990466
Mark Donald Weber Executive vice president 1 Feb 2004 Other 4335492

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Ing Verzekeringen Management Llc Shareholder 1 Jan 1991 75% - 100% foreign
Ing Groep N.V. Sole shareholder 1 Jan 1991 75% - 100% 98-0220475
Lion Connecticut Holdings Inc. Sole member 1 Jan 2001 75% - 100% 02-0488491
Ing Americas Insurance Holdings Inc. Shareholder 1 Jan 2004 75% - 100% 52-1222820
Ing Insurance International Bv Shareholder 1 Jan 2004 75% - 100% 98-0159264

Based in New York

The principal office where Aeltus Investment Management Inc performs its advisory services is located at 230 Park Avenue, New York, NY 10169, which is also the mailing address of the firm. An additional office of the firm is in Richardson, TX. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 212-309-8200 or by fax 212-808-6134. The normal business hours are 8:30 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.aeltus.com.

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