NAVY FEDERAL ASSET MANAGEMENT, LLC
CRD #144244 SEC #801-68067 VIENNA, VA 877-221-8108
SEC Registered
Total AUM
$158.7M
Discretionary
$0
Employees
152
Clients
--
Accounts
1,117
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Virginia
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 29, 2016
- 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 |
|---|---|---|---|---|
| DEMPSEY, MARK, FERRIS | I | CHIEF COMPLIANCE OFFICER / AVP COMPLIANCE | NA | Control |
| DEMPSEY, MARK, FERRIS | I | CHIEF COMPLIANCE OFFICER / AVP COMPLIANCE | NA | Control |
| ESTEP, MARK, S | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ESTEP, MARK, S | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ESTEP, MARK, S | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ESTEP, MARK, S | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ESTEP, MARK, S | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GOUND, TRAVIS, L | I | PRINCIPAL | NA | Control |
| GOUND, TRAVIS, L | I | PRINCIPAL | NA | Control |
| GOUND, TRAVIS, L | I | PRINCIPAL | NA | Control |
| GOUND, TRAVIS, L | I | PRINCIPAL | NA | Control |
| GOUND, TRAVIS, L | I | PRINCIPAL | NA | Control |
| GOUND, TRAVIS, L | I | PRINCIPAL | NA | Control |
| GOUND, TRAVIS, L | I | PRINCIPAL | NA | Control |
| GOUND, TRAVIS, L | I | CHIEF COMPLIANCE OFFICER; PRINCIPAL | NA | Control |
| GOUND, TRAVIS, L | I | PRINCIPAL | NA | Control |
| GOUND, TRAVIS, L | I | CHIEF COMPLIANCE OFFICER; PRINCIPAL | NA | Control |
| Gunn, Xiaoning, Han | I | FINOP | NA | Control |
| KING, PAUL, STEPHEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KING, PAUL, STEPHEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KIRK, CYNTHIA, A | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| KIRK, CYNTHIA, A | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| KIRK, CYNTHIA, A | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| KIRK, CYNTHIA, A | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KIRK, CYNTHIA, A | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| KIRK, CYNTHIA, A | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| KIRK, CYNTHIA, A | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| KIRK, CYNTHIA, A | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| KIRK, CYNTHIA, A | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| KIRK, CYNTHIA, A | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| KIRK, CYNTHIA, A | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| KIRK, CYNTHIA, A | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| KIRK, CYNTHIA, A | I | FINANCIAL OPERATIONS PRINCIPAL | NA | Control |
| MAYO, CAITLIN, MOYNIHAN | I | FINOP | NA | Control |
| MAYO, CAITLIN, MOYNIHAN | I | FINOP | NA | Control |
| MAYO, CAITLIN, MOYNIHAN | I | FINOP | NA | Control |
| MAYO, CAITLIN, MOYNIHAN | I | FINOP | NA | Control |
| MAYO, CAITLIN, MOYNIHAN | I | FINOP | NA | Control |
| MAYO, CAITLIN, MOYNIHAN | I | FINOP | NA | Control |
| MAYO, CAITLIN, MOYNIHAN | I | FINOP | NA | Control |
| MAYO, CAITLIN, MOYNIHAN | I | FINOP | NA | Control |
| MILLER, PATRICK, LENNING | I | PRINCIPAL | NA | Control |
| MILLER, PATRICK, LENNING | I | PRINCIPAL | NA | Control |
| MILLER, PATRICK, LENNING | I | PRINCIPAL | NA | Control |
| PRICE, PATRICIA, ANNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PRICE, PATRICIA, ANNE | I | CHIEF COMPLIANCE OFFICER | NA | |
| PRICE, PATRICIA, ANNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PRICE, PATRICIA, ANNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PRICE, PATRICIA, ANNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOOD, PATRICIA, PARTRIDGE | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WOOD, PATRICIA, PARTRIDGE | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WOOD, PATRICIA, PARTRIDGE | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WOOD, PATRICIA, PARTRIDGE | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WOOD, PATRICIA, PARTRIDGE | I | CHIEF OPERATING OFFICER | NA | Control |
| WOOD, PATRICIA, PARTRIDGE | I | CHIEF OPERATING OFFICER | NA | Control |
| WOOD, PATRICIA, PARTRIDGE | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WOOD, PATRICIA, PARTRIDGE | I | CHIEF OPERATING OFFICER | NA | Control |
| YEE, THOMAS, HOP | I | PRESIDENT | NA | Control |
| YEE, THOMAS, HOP | I | PRESIDENT | NA | Control |
| YEE, THOMAS, HOP | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| YEE, THOMAS, HOP | I | PRESIDENT | NA | Control |
| YEE, THOMAS, HOP | I | PRESIDENT | NA | Control |
| YEE, THOMAS, HOP | I | PRESIDENT | NA | Control |
| YEE, THOMAS, HOP | I | PRESIDENT | NA | Control |
| YEE, THOMAS, HOP | I | PRESIDENT | NA | Control |
| YEE, THOMAS, HOP | I | PRESIDENT | NA | Control |
| YEE, THOMAS, HOP | I | PRESIDENT | NA | Control |
| YEE, THOMAS, HOP | I | PRESIDENT | NA | Control |
| YEE, THOMAS, HOP | I | PRESIDENT | NA | Control |
| YEE, THOMAS, HOP | I | PRESIDENT | NA | Control |
| YEE, THOMAS, HOP | I | PRESIDENT | NA | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
| NAVY FEDERAL FINANCIAL GROUP, LLC | DE | OWNER/MANAGING MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E | |
| NAVY FEDERAL CREDIT UNION | DE | NAVY FEDERAL FINANCIAL GROUP, LLC | E |
Registrations
Federal
IA
Mar 29, 2016 REGISTERED
Notice Filings (52)
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Address
820 FOLLIN LANEVIENNA, VA 22180
United States
Phone: 877-221-8108