AEGON USA INVESTMENT MANAGEMENT, LLC of CEDAR RAPIDS, IA is an SEC-registered investment adviser (CRD 114537). Regulatory assets under management: $88.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: Pooled vehicles, Charities, Investment cos, Other.
Showing 25 of 60 people.
| Name | Role | Location |
|---|---|---|
| Christopher C Thompson | CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER; ELECTED MANAGER | — |
| Lara Ann Osterhaus | ELECTED MANAGER | — |
| Stephen James Marshall Jones | AAM CIO, FIXED INCOME, EQUITY AND MULTI-ASSET | — |
| Alina Sayre | CHIEF COMPLIANCE OFFICER | — |
| Scott Christopher Shine | ELECTED MANAGER | — |
| GOODMAN ERIC BYCK | DIRECTOR, PRESIDENT & CIO; ELECTED MANAGER; ELECTED MANAGER, EXECUTIVE VICE PRESIDENT (+3 more) | — |
| FOX DANIEL P | EXECUTIVE VP-RISK MANAGEMENT | — |
| CARNEY DAVID M | MANAGER, EXECUTIVE VICE PRESIDENT, TREASURER/CFO; MANAGER, SENIOR VICE PRESIDENT/CFO; SENIOR VICE PRESIDENT/CFO | — |
| HOUK PAUL JOHN | ACTING CHIEF COMPLIANCE OFFICER, SECRETARY & GENERAL COUNSEL; SECRETARY & GENERAL COUNSEL | — |
| BUESE KIRK WILLIAM | CHIEF INVESTMENT OFFICER, EXECUTIVE VICE PRESIDENT AND ELECTED MANAGER; ELECTED MANAGER; EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER (+5 more) | — |
| COLLECCHIA FRANK EDWARD | EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT - PORTFOLIO MANAGEMENT; MANAGER, EXECUTIVE VICE PRESIDENT - PORTFOLIO MANAGEMENT | — |
| COLE JESSICA LEIGH | CHIEF COMPLIANCE OFFICER | — |
| BLANKENSHIP DAVID LYNN | ELECTED MANAGER; ELECTED MANAGER, EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER; ELECTED MANAGER, EXECUTIVE VICE PRESIDENT-HEAD OF FIXED INCOME AND DISTRIBUTION (+3 more) | — |
| SWANK THOMAS ANTHONY | ELECTED MANAGER; ELECTED MANAGER, PRESIDENT | — |
| BLACK GARY DOUGLAS | ELECTED MANAGER; PRESIDENT; PRESIDENT AND INTERIM HEAD OF DISTRIBUTION | — |
| WALZ RICHARD JOHN | CHIEF COMPLIANCE OFFICER | — |
| FOX DANIEL PAUL | EXECUTIVE VICE PRESIDENT-RISK MANAGEMENT; EXECUTIVE VP-RISK MANAGEMENT | — |
| MAUTINO JAMES ANTHONY | CHIEF COMPLIANCE OFFICER | — |
| RUSSELL SARAH ANNE CECIL | GLOBAL CHIEF EXECUTIVE OFFICER AAM | — |
| DAVIS JAMES ARTHUR | ELECTED MANAGER | — |
| ZINKULA MARK J | EXECUTIVE VP-PUBLIC FIXED INCOME | — |
| CARNEY DAVID MICHAEL | ELECTED MANAGER; ELECTED MANAGER, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER; ELECTED MANAGER, EXECUTIVE VICE PRESIDENT, TREASURER/CFO (+1 more) | — |
| BRAVERMAN JOSHUA ETHAN | EXECUTIVE VICE PRESIDENT; SENIOR VICE PRESIDENT-HEAD OF DERIVATIVE TRADING | — |
| COLEMAN JOEL LAWRENCE | ELECTED MANAGER; ELECTED MANAGER, EXECUTIVE VICE PRESIDENT-HEAD OF PORTFOLIO MANAGEMENT; MANAGER, EXECUTIVE VICE PRESIDENT-HEAD OF PORTFOLIO MANAGEMENT | — |
| BEMAN BRADLEY JAY | CHIEF INVESTMENT OFFICER, EXECUTIVE VICE PRESIDENT; ELECTED MANAGER; ELECTED MANAGER, CHIEF INVESTMENT OFFICER AND EXECUTIVE VICE PRESIDENT (+1 more) | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-08-27 | regulatory | THE ORDER PERTAINS TO EVENTS DURING THE PERIOD BETWEEN JULY 2011 AND JUNE 2015 AND RELATES TO AMONG OTHER THINGS, ERRORS IN AEGON AM US' PAST OPERATION AND IMPLEMENTATION OF ASSET ALLOCATION MODELS AND VOLATILITY OVERLAYS UTILIZED BY AEGON AM US WHEN IT WAS A SUB-ADVISER TO CERTAIN TRANSAMERICA-SPON… | Final | $21.0M |
Securitized Asset Fund: 15 · Other Private Fund: 1 · Private Equity Fund: 3
Showing 15 of 19 funds by gross asset value.
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| PFL CORPORATE ACCOUNT ONE | Other Private Fund | Iowa | 39 | $1.3B | $1.0M |
| CEDAR FUNDING IV CLO, LTD | Securitized Asset Fund | Cayman Islands | 2 | $558.2M | $1.0M |
| CEDAR FUNDING VIII CLO, LTD | Securitized Asset Fund | Cayman Islands | 2 | $481.1M | $1.0M |
| CEDAR FUNDING VI CLO, LTD | Securitized Asset Fund | Cayman Islands | 4 | $479.7M | $1.0M |
| CEDAR FUNDING XII CLO, LTD | Securitized Asset Fund | Cayman Islands | 2 | $427.2M | $1.0M |
| CEDAR FUNDING IX CLO, LTD | Securitized Asset Fund | Cayman Islands | 4 | $415.6M | $1.0M |
| CEDAR FUNDING XIX CLO, LTD | Securitized Asset Fund | Cayman Islands | 1 | $399.8M | $1.0M |
| CEDAR FUNDING XVIII CLO, LTD | Securitized Asset Fund | Jersey | 1 | $397.9M | $1.0M |
| CEDAR FUNDING XVII CLO, LTD | Securitized Asset Fund | Jersey | 1 | $396.1M | $1.0M |
| CEDAR FUNDING X CLO, LTD | Securitized Asset Fund | Cayman Islands | 4 | $392.1M | $1.0M |
| CEDAR FUNDING XV CLO, LTD | Securitized Asset Fund | Cayman Islands | 3 | $391.7M | $1.0M |
| CEDAR FUNDING XIV CLO, LTD | Securitized Asset Fund | Cayman Islands | 3 | $391.1M | $1.0M |
| CEDAR FUNDING II CLO, LTD | Securitized Asset Fund | Cayman Islands | 3 | $339.8M | $1.0M |
| CEDAR FUNDING XI CLO, LTD | Securitized Asset Fund | Cayman Islands | 2 | $304.0M | $1.0M |
| CEDAR FUNDING VII CLO, LTD | Securitized Asset Fund | Cayman Islands | 5 | $288.7M | $1.0M |