GENWORTH FINANCIAL INVESTMENT MANAGEMENT, LLC

CRD #130138 SEC #801-62888 STAMFORD, CT 203-708-3471

SEC Registered

Total AUM

$3.1B

Discretionary

$3.1B

Employees

Clients

Accounts

Firm Details

Organization Type: Limited Liability Company
State of Formation: Virginia
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Jan 30, 2007
Branch Offices: --

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
APOSTLE, JOHN, GEORGE	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA
BLAIR, CAROL, KUNA	I	VICE PRESIDENT AND CHIEF RISK OFFICER	NA
BLAIR, CAROL, KUNA	I	VICE PRESIDENT, CHIEF RISK OFFICER	NA
BLAIR, CAROL, KUNA	I	VICE PRESIDENT, CHIEF RISK OFFICER	NA
BUDDLE, JAMES, JOSEPH	I	MANAGER	NA	Control
BUDDLE, JAMES, JOSEPH	I	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	NA	Control
BUDDLE, JAMES, JOSEPH	I	MANAGER, VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	NA	Control
BUDDLE, JAMES, JOSEPH	I	MANAGER	NA	Control
BUDDLE, JAMES, JOSEPH	I	MANAGER	NA	Control
BUDDLE, JAMES, JOSEPH	I	MANAGER, VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	NA	Control
BURRELL, COLIN, A.	I	VICE PRESIDENT AND ASSISTANT SECRETARY	NA
DAWSON, CURT	I	ASSISTANT VICE PRESIDENT	NA
DEMOTTO, STEVE	I	ASSISTANT VICE PRESIDENT	NA
DUFFY, THOMAS, EDWARD	I	SENIOR VICE PRESIDENT	NA
ENDRES, JOHN, RICHARD	I	ASSISTANT VICE PRESIDENT	NA
ENDRES, JOHN, RICHARD	I	VICE PRESIDENT	NA
ENDRES, JOHN, RICHARD	I	VICE PRESIDENT	NA
ENDRES, JOHN, RICHARD	I	VICE PRESIDENT	NA
FISCHER, SHANNON, M.	I	SENIOR VICE PRESIDENT AND CHIEF RISK OFFICER	NA
FISCHER, SHANNON, M.	I	SENIOR VICE PRESIDENT AND CHIEF RISK OFFICER	NA
GILBERT, RONALD	I	VICE PRESIDENT	NA
GILBERT, RONALD	I	VICE PRESIDENT, OPERATIONS	NA
GILBERT, RONALD	I	VICE PRESIDENT	NA
GILBERT, RONALD	I	VICE PRESIDENT	NA
GILBERT, RONALD	I	VICE PRESIDENT, OPERATIONS	NA
GRIFFIN, MARK, WILLIAM	I	MANAGER AND PRESIDENT	NA	Control
GRIFFIN, MARK, WILLIAM	I	SENIOR VICE PRESIDENT	NA
GRIFFIN, MARK, WILLIAM	I	MANAGER AND PRESIDENT	NA	Control
HART, JOHN	I	ASSISTANT VICE PRESIDENT	NA
HAYNES, BRIAN, W.	I	SENIOR VICE PRESIDENT & CHIEF RISK OFFICER	NA
HEIDEL, CINDY, JO	I	ASSISTANT VICE PRESIDENT	NA
HELMINTOLLER, KEVIN	I	SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER	NA
HERSCH, STEVEN	I	ASSISTANT VICE PRESIDENT	NA
HERSCH, STEVEN	I	VICE PRESIDENT	NA	Control
HERSCH, STEVEN	I	VICE PRESIDENT	NA	Control
HERSCH, STEVEN	I	VICE PRESIDENT	NA	Control
HOUSE, MICHAEL	I	ASSISTANT VICE PRESIDENT	NA
JOELSON, RONALD, PETER	I	MANAGER AND PRESIDENT	NA	Control
JOELSON, RONALD, PETER	I	MANAGER AND PRESIDENT	NA	Control
JOELSON, RONALD, PETER	I	MANAGER AND PRESIDENT	NA	Control
KENNEDY, JAMES, D	I	SR VICE PRESIDENT, CHIEF FINANCIAL OFFICER	NA
KENNEDY, JAMES, D	I	SR VICE PRESIDENT, CHIEF FINANCIAL OFFICER	NA
KENNEDY, JAMES, D	I	SR VICE PRESIDENT, CHIEF FINANCIAL OFFICER	NA
LINDQUIST, SCOTT, ROBERT	I	VICE PRESIDENT	NA
LINDQUIST, SCOTT, ROBERT	I	VICE PRESIDENT, CONTROLLER	NA
LINDQUIST, SCOTT, ROBERT	I	VICE PRESIDENT, CONTROLLER	NA
LINDQUIST, SCOTT, ROBERT	I	VICE PRESIDENT	NA
LINDQUIST, SCOTT, ROBERT	I	VICE PRESIDENT	NA
LINDQUIST, SCOTT, ROBERT	I	VICE PRESIDENT, CONTROLLER	NA
LINEBERRY, GRANT	I	VICE PRESIDENT	NA
MARSICO, SAMUEL, D.	I	SENIOR VICE PRESIDENT	NA
MCKENNEY, RICHARD, PAUL	I	SENIOR VICE PRESIDENT	NA
MCNUTT, ROBERT, W.	I	ASSISTANT TREASURER	NA
MCNUTT, ROBERT, W.	I	ASSITANT TREASURER	NA
MERRILL, PATRICIA	I	VICE PRESIDENT AND ASSISTANT SECRETARY	NA
MERRILL, PATRICIA	I	VICE PRESIDENT, SECRETARY	NA
MERRILL, PATRICIA	I	CHIEF COMPLIANCE OFFICER	NA
MERRILL, PATRICIA	I	SR VICE PRESIDENT AND SECRETARY	NA
MERRILL, PATRICIA	I	VICE PRESIDENT AND ASSISTANT SECRETARY	NA
MERRILL, PATRICIA	I	VICE PRESIDENT AND ASSISTANT SECRETARY	NA
MERRILL, PATRICIA	I	VICE PRESIDENT, SECRETARY	NA
MERRILL, PATRICIA	I	SR VICE PRESIDENT AND SECRETARY	NA
MOOERS, MORIAN	I	ASSISTANT VICE PRESIDENT	NA
MYERS, THERESA, ANNE	I	ASSISTANT SECRETARY	NA
OLSON, WENDY, LEE	I	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	NA
OLSON, WENDY, LEE	I	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	NA
PRIZZIA, GARY, THOMAS	I	TREASURER	NA
RITTER, VANESSA, MELANIE	I	ASSISTANT VICE PRESIDENT	NA
ROHAN, ALEXANDER, VINCENT	I	ASSISTANT VICE PRESIDENT	NA
ROHAN, ALEXANDER, VINCENT	I	ASSISTANT VICE PRESIDENT	NA
SCHUTZ, PAMELA, S.	I	MANAGER & PRESIDENT	NA	Control
SELL, SCOTT, VAUGHN	I	ASSISTANT VICE PRESIDENT	NA
SHAH, SHAILESH	I	VICE PRESIDENT	NA
SHEEHAN, DANIEL, J	I	VICE PRESIDENT	NA
SHEEHAN, DANIEL, J	I	VICE PRESIDENT	NA
SHEEHAN, DANIEL, J	I	VICE PRESIDENT	NA
TEDERS, ANNETTE, MARIE	I	ASSISTANT VICE PRESIDENT	NA
TEDERS, ANNETTE, MARIE	I	ASSISTANT VICE PRESIDENT	NA
TORRES, VIDAL, J	I	VICE PRESIDENT, ASST. SECRETARY	NA
TORRES, VIDAL, J	I	VICE PRESIDENT, ASSISTANT SECRETARY	NA
TORRES, VIDAL, J	I	VICE PRESIDENT, ASSISTANT SECRETARY	NA
TRAINOR, DONNA, MARIE	I	ASSISTANT VICE PRESIDENT	NA
WIENER, EMILIA, FONSECA	I	VICE PRESIDENT	NA
WIENER, EMILIA, FONSECA	I	VICE PRESIDENT	NA
ZIELINSKI, JOHN, ADAM	I	VICE PRESIDENT AND CONTROLLER	NA
GENWORTH NORTH AMERICA CORPORATION	DE	OWNER	E	Control
GENWORTH NORTH AMERICA CORPORATION	DE	OWNER	E	Control
GENWORTH NORTH AMERICA CORPORATION	DE	OWNER	E	Control
GNA CORPORATION	DE	SHAREHOLDER COMMON	E	Control
GNA CORPORATION	DE	OWNER	E	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
GENWORTH FINANCIAL, INC	DE	GNA CORPORATION	E	Control
GENWORTH FINANCIAL, INC	DE	GENWORTH NORTH AMERICA CORPORATION	E	Control
GENWORTH FINANCIAL, INC	DE	GENWORTH NORTH AMERICA CORPORATION	E	Control
GENWORTH FINANCIAL, INC	DE	GNA CORPORATION	E	Control
GENWORTH FINANCIAL, INC	DE	GNA CORPORATION	E	Control
GENWORTH FINANCIAL, INC	DE	GENWORTH NORTH AMERICA CORPORATION	E	Control

Registrations

Federal

Jan 30, 2007 REGISTERED

Address

3001 SUMMER STREET
2ND FLOOR
STAMFORD, CT 6905
USA

Phone: 203-708-3471