NFJ INVESTMENT GROUP, LLC

RIASEC RegisteredEst. 2020

Total AUM

$3B

Discretionary

$3B

100% of AUM

Avg account

$6.4M

Accounts

468

Employees

9

Advisory reps

8

Firm details

Headquarters: DALLAS, Texas
CRD number: 310902
Registered since: November 6, 2020
Website: www.nfjinv.com
Custodians: UBS FINANCIAL SERVICES INC.
Fee structure: Percentage of AUM
Client types: Investment Companies90.08%
Other8.56%
Corporations / Businesses0.73%
State / Municipal Government0.64%
Services: Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

NFJ Investment Group, LLC is an SEC-registered investment adviser (registered in 2020) organized as an LLC that manages portfolios primarily on a fee-as-a-percentage-of-AUM basis. The firm serves an institutional client base and offers portfolio management across a range of account types, including separately managed accounts for individuals and small businesses, investment companies, pooled investment vehicles, and institutional/business mandates. The firm reports being an active ESG investor and has multiple industry roles beyond advisory work, including affiliations as a broker-dealer, a CPO/CTA, and as sponsor/GP or managing member of pooled vehicles.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities98%
Cash & Cash Equivalents2%

Owners & executives

3 of 5

JOHN MOWREY
Chief Investment OfficerCRD 7337026
MATTHEW CARNEY
Vice President, Chief Compliance OfficerCRD 6689375
GEORGE AYLWARD
President and Chief Executive OfficerCRD 4932163

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Contacts

3 of 3

KRYSTA HILL
Director, Product SpecialistCRD 5273526
KRISTIAN MARCA
Director, Portfolio ManagerCRD 5745546
ANDRA PURKALITIS
Executive Vice PresidentCRD 3070864

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 1

Active vs passive

$109K in ETFs

Passive

100%

$109K

Active

0%

$0

ETF	Provider	Style	Category	Value	Shares	% of portfolio
ISHARES RUSSELL 1000 VALUE ETF (IWD)	BlackRock	Passive	Large Value	$109K	511	100.00%

Primary office

DALLAS, TX

DALLAS

Location

DALLAS, TX

Headquartered in DALLAS, TX, anchoring the Dallas-Fort Worth, TX-OK metro in the South.

Metro area: Dallas-Fort Worth, TX-OK
Region: South
County: DALLAS
Address: 2100 Ross Ave
Time zone: CT (UTC-6)
Office locations

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