{"url":"https://nivawealth.com/firms/aegon-usa-investment-management-114537","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/114537","regulatoryAum":88799180145,"crd":"114537","secFileNumber":"801-60667","legalName":"Aegon USA Investment Management, LLC","displayName":"Aegon USA Investment Management","website":null,"linkedinUrl":"http://WWW.LINKEDIN.COM/COMPANY/AEGONAM","founded":null,"organization":"Iowa limited liability company","fiscalYearEnd":"December","headquarters":{"street":"6300 C Street SW","city":"Cedar Rapids","state":"IA","stateName":"Iowa","country":"United States","postalCode":"52499-5338"},"tradeNames":["Aegon Am","Aegon Am US","Aegon Asset Management","Aegon Asset Management North America","Aegon Asset Management US"],"registration":{"secApproved":"1 November 2001","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":217,"advisory":76,"brokerDealerReps":15,"insuranceAgents":0,"promoters":4},"aum":{"discretionary":88434617307,"discretionaryAccounts":195,"nonDiscretionary":364562838,"nonDiscretionaryAccounts":4,"wrapProgram":null,"nonUsClientsPct":31,"nonAumClients":1},"clientTypes":[{"label":"Investment companies","clients":15,"regulatoryAum":14043961050},{"label":"Pooled investment vehicles","clients":36,"regulatoryAum":10373855987},{"label":"Pension and profit-sharing plans","clients":7,"regulatoryAum":1373010931},{"label":"Charitable organizations","clients":5,"regulatoryAum":129150704},{"label":"State or municipal government entities","clients":null,"regulatoryAum":490081932},{"label":"Other investment advisers","clients":null,"regulatoryAum":31016610},{"label":"Insurance companies","clients":12,"regulatoryAum":61894260905},{"label":"Sovereign wealth funds and foreign official institutions","clients":null,"regulatoryAum":41314023},{"label":"Corporations and other businesses","clients":null,"regulatoryAum":24142210},{"label":"Other","clients":5,"regulatoryAum":398385793}],"fees":[],"feeNotes":[],"custodians":[{"name":"Citibank National Association","shortName":"Citibank National Association","location":"Tampa, FL","smaAssets":38862453657},{"name":"J.P. Morgan Chase Bank, National Association","shortName":"J.P. Morgan","location":"Brooklyn, NY","smaAssets":21348432533}],"custodyNote":"Aegon USA Investment Management has custody of $65.74B for 38 clients.","otherCustodians":[],"leadership":[{"name":"Christopher Thompson","title":"Chief Executive Officer and Elected Manager","crd":"1842220"},{"name":"Alina Sayre","title":"Chief Compliance Officer","crd":"4713184"},{"name":"Stephen Jones","title":"Aam CIO, Fixed Income, Equity and Multi-Asset","crd":"6841737"},{"name":"Lara Osterhaus","title":"Elected Manager","crd":"7345681"},{"name":"Scott Shine","title":"Elected Manager","crd":"4893686"}],"ownership":[{"label":"Aegon USA Asset Management Holding, LLC","detail":"Member in the 75% or more ownership band and a control person, since October 2009."},{"label":"Aegon International B.V.","detail":"Indirect owner: a owner of Transamerica Corporation in the 75% or more band and a control person, since December 2007.","parent":"Transamerica Corporation"},{"label":"Aegon LTD.","detail":"Indirect owner: a owner of Aegon International B.V. in the 75% or more band and a control person, since December 2007.","parent":"Aegon International B.V."},{"label":"Transamerica Corporation","detail":"Indirect owner: a owner of Ausa Holding, LLC in the 75% or more band and a control person, since December 2004.","parent":"Ausa Holding, LLC"},{"label":"Ausa Holding, LLC","detail":"Indirect owner: a owner of Aegon USA Asset Management Holding, LLC in the 75% or more band and a control person, since October 2009.","parent":"Aegon USA Asset Management Holding, LLC"},{"label":"Christopher Thompson","detail":"Indirect owner: elected manager of Aegon USA Asset Management Holding, LLC and a control person, since June 2019.","parent":"Aegon USA Asset Management Holding, LLC"},{"label":"Lara Osterhaus","detail":"Indirect owner: elected manager of Aegon USA Asset Management Holding, LLC and a control person, since March 2021.","parent":"Aegon USA Asset Management Holding, LLC"},{"label":"Scott Shine","detail":"Indirect owner: elected manager of Aegon USA Asset Management Holding, LLC and a control person, since March 2025.","parent":"Aegon USA Asset Management Holding, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"222 W. Adams Street","city":"Chicago"}]},{"state":"Iowa","offices":1,"addresses":[{"street":"6300 C Street SW","city":"Cedar Rapids","headquarters":true}]},{"state":"Maryland","offices":1,"addresses":[{"street":"1201 Wills Street","city":"Baltimore"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"319-355-5408","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":6},{"label":"U.S. state and local bonds","percent":1},{"label":"Sovereign bonds","percent":2},{"label":"Investment grade corporate bonds","percent":52},{"label":"Non-investment grade corporate bonds","percent":9},{"label":"Derivatives","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":6},{"label":"Other","percent":19,"detail":"Abs, CMBS, RMBS Agency, RMBS Non-Agency, Hedge Funds and Private Equity"}],"privateFunds":19},"sources":{"adv1FilingDate":"27 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/114537/PDF/114537.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Aegon USA Investment Management have?","answer":"Aegon USA Investment Management has 80 clients and manages $88.8 billion for them, as of March 2026. They include 36 pooled investment vehicles, 15 investment companies and 12 insurance companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Aegon USA Investment Management offer?","answer":"Aegon USA Investment Management provides portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Aegon USA Investment Management use?","answer":"Aegon USA Investment Management’s separately managed account assets are held at Citibank National Association (Tampa, FL), with $38,862,453,657 and J.P. Morgan Chase Bank, National Association (Brooklyn, NY), with $21,348,432,533. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Aegon USA Investment Management have?","answer":"Aegon USA Investment Management has 1 investment adviser representatives registered with state securities authorities, out of 217 employees, and 76 perform investment advisory functions. 15 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Aegon USA Investment Management invest in?","answer":"At the end of its last fiscal year, Aegon USA Investment Management’s separately managed accounts held 52% investment grade corporate bonds, 19% abs, cmbs, rmbs agency, rmbs non-agency, hedge funds and private equity, 9% high-yield corporate bonds, 6% U.S. government and agency bonds, 6% cash and equivalents, 2% sovereign bonds, 1% exchange-traded equities, 1% non-exchange-traded equities, 1% state and local bonds, 1% derivatives, 1% registered funds (mutual funds, ETFs, BDCs) and 1% pooled vehicles (private funds and similar). It advises 19 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Aegon USA Investment Management?","answer":"Aegon USA Investment Management is owned through a chain of holding companies by Aegon LTD. Its direct owner is Aegon USA Asset Management Holding, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Aegon USA Investment Management get paid?","answer":"Aegon USA Investment Management is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":{"url":"https://nivawealth.com/firms/aegon-usa-investment-management-114537/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-17","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1454937/000145493726000009/0001454937-26-000009-index.html","totalValue":139692195,"positionCount":42,"top10Share":0.8730180522970521,"top10":[{"issuer":"VANGUARD INDEX FDS","titleOfClass":"TOTAL STK MKT","cusip":"922908769","value":101729547,"shares":274915,"shareType":"SH","priorValue":89836745,"priorShares":280031},{"issuer":"WW INTL INC","titleOfClass":"COM NEW","cusip":"98262P200","value":3677238,"shares":230115,"shareType":"SH","priorValue":2798178,"priorShares":203652},{"issuer":"WELLS FARGO & CO","titleOfClass":"PERP PFD CNV 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Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}