Asset manager · Dallas, TX
NFJ Investment Group, LLC
SEC-registered investment adviser · CRD 310902 · SEC 801-119686
At a glance
NFJ Investment Group, LLC is an SEC-registered investment adviser based in Dallas, Texas, with $3.0 billion in regulatory assets under management as of its Form ADV filed March 20, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 888th of 3,218 asset managers and 2,845th of 17,210 SEC-registered advisers by assets.
Main office 214-754-1780nfjinv.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $3.0B
- Rank among asset managers
- #888 of 3,218
- Rank among all SEC RIAs
- #2,845 of 17,210
- Rank in Texas
- #139 of 1,081
- Clients
- 468
- Accounts
- 468
- Discretionary
- 100% of AUM
- Employees
- 9
- Advisory staff
- 8
- Offices
- 1
Owners and executives on its Form ADV
- George R. AylwardPresident and Chief Executive Officer
- Michael A. AngerthalExecutive Vice President and Chief Financial Officer
- John R. MowreyExecutive Managing Director, Chief Investment Officer
- Richard W. SmirlExecutive Vice President
- Andra C. PurkalitisExecutive Vice President and Chief Legal Officer
- Matthew B CarneyChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
NFJ Investment Group, LLC is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: VP Distributors LLC.
- VP Distributors LLC ↗CRD 3036
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
Its Form ADV brochure (filed March 2026) names VP Distributors as the broker-dealer its advisers are registered with.
Certain NFJ personnel whose job responsibilities either require or are appropriate for registering as broker -dealer representatives are registered representatives of VPD.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 3 | $2.7B | 90% |
| Other | 462 | $255M | 9% |
| Corporations or other businesses | 2 | $22M | <1% |
| State or municipal government entities | 1 | $19M | <1% |
Disciplinary disclosures
NFJ Investment Group, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Other services
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗nfjinv.com ↗
AtlasMembers
The full record on NFJ Investment Group, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 5 years of filings
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- Growth over one, three and five years
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- Rank against 821 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does NFJ Investment Group, LLC manage?
NFJ Investment Group, LLC reports $3.0 billion in regulatory assets under management across 468 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 20, 2026.
What kind of firm is NFJ Investment Group, LLC?
NFJ Investment Group, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. A public reporting company controls it.
Who are NFJ Investment Group, LLC’s clients?
By assets, its largest client types are investment companies ($2.7 billion, 3 clients); other ($255 million, 462 clients); corporations or other businesses ($22 million, 2 clients).
Does NFJ Investment Group, LLC have any disciplinary history?
NFJ Investment Group, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is NFJ Investment Group, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-20), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →