{
  "crd_number": 2882,
  "slug": "voya-financial-advisors-inc-windsor-ct-2882",
  "primary_business_name": "VOYA FINANCIAL ADVISORS, INC.",
  "legal_name": "VOYA FINANCIAL ADVISORS, INC.",
  "dbas": [],
  "city": "Windsor",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "25540",
  "metro": {
    "cbsa_code": "25540",
    "common_name": "Hartford",
    "msa_name": "Hartford-West Hartford-East Hartford, CT",
    "path": "/advisors/ct/hartford"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1994-07-11",
  "years_registered": 32,
  "period": "2026-10-01",
  "filing_date": "2026-09-16",
  "carried_forward": false,
  "raum_total": 3870673693.0,
  "raum_discretionary": 69702673.0,
  "raum_non_discretionary": 3800971020.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 638,
  "advisory_employees": 638,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 538585.0,
      "count": 2,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 2263288434.0,
      "count": 13218
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": null
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 1597644531.0,
      "count": 3095
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 9202143.0,
      "count": 21
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "commissions",
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 9,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://facebook.com/VoyaFinancial",
    "https://instagram.com/voya",
    "https://linkedin.com/company/voya",
    "https://voya.com",
    "https://voyafa.com",
    "https://voyafinancialadvisors.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/2882",
  "disclosure_items": [
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.G",
      "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?"
    }
  ],
  "city_as_filed": "WINDSOR",
  "url": "https://advisorcensus.com/firm/voya-financial-advisors-inc-windsor-ct-2882",
  "display_name": "Voya Financial Advisors, Inc.",
  "summary": "Voya Financial Advisors, Inc. is an SEC-registered investment advisory firm in Windsor, CT, registered since 1994, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated September 16, 2026.",
  "citation": "AdvisorCensus. Voya Financial Advisors, Inc. (CRD 2882): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Commissions"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Voya Financial Advisors, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Voya Financial Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); commissions."
    },
    {
      "q": "Where is Voya Financial Advisors, Inc. located?",
      "a": "Voya Financial Advisors, Inc.'s principal office is in Windsor, CT, according to its Form ADV; the October 2026 filing also lists 25 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Voya Financial Advisors, Inc. registered with the SEC or a state?",
      "a": "Voya Financial Advisors, Inc. is an SEC-registered investment advisory firm, registered since 1994. Status as filed: Approved. CRD 2882."
    },
    {
      "q": "How much does Voya Financial Advisors, Inc. manage?",
      "a": "Voya Financial Advisors, Inc. reports $3,870,673,693 in regulatory assets under management in its Form ADV filing dated September 16, 2026 (2% discretionary)."
    },
    {
      "q": "How have Voya Financial Advisors, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Voya Financial Advisors, Inc.: Regulatory assets under management: $16,832,911,486 in the October 2021 data and $3,870,673,693 in the October 2026 data, down 77%. Total employees: 1,479 in October 2021 and 638 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Voya Financial Advisors, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (13,218); high net worth individuals (3,095); corporations or other businesses not listed above (21)."
    },
    {
      "q": "Which custodians does Voya Financial Advisors, Inc. use?",
      "a": "Voya Financial Advisors, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC and Voya Institutional Trust Company (affiliated with the firm) as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Voya Financial Advisors, Inc. report any disciplinary disclosures?",
      "a": "Reports 9 disclosure items on Form ADV Item 11: yes answers to 1 question about criminal matters and 8 questions about regulatory matters (11.A(2), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.E(2), 11.G). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/2882"
    },
    {
      "q": "What changed in Voya Financial Advisors, Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 563 to 638. Regulatory assets under management went from $2,744,735,129 to $3,870,673,693 (+41%). Changed its office addresses in Houston, TX. Changed its office addresses in Tampa, FL. Added an office in Boston, MA. Added an office in Dallas, TX. Added an office in Eugene, OR. Added an office in Fairfax, VA. Added an office in Metairie, LA. Added an office in Overland Park, KS. No longer lists an office in Addison, TX. No longer lists an office in Braintree, MA. No longer lists an office in Derby, KS. No longer lists an office in Leawood, KS. No longer lists an office in San Francisco, CA. No longer lists an office in Warwick, RI."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 16832911486.0,
      "total_employees": 1479,
      "filing_date": "2021-06-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 4055465737.0,
      "total_employees": 535,
      "filing_date": "2022-09-09"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 2410968380.0,
      "total_employees": 605,
      "filing_date": "2023-03-31"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 2684787857.0,
      "total_employees": 529,
      "filing_date": "2024-07-11"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 2744735129.0,
      "total_employees": 563,
      "filing_date": "2025-06-05"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 3870673693.0,
      "total_employees": 638,
      "filing_date": "2026-09-16"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 563 to 638.",
        "Regulatory assets under management went from $2,744,735,129 to $3,870,673,693 (+41%).",
        "Changed its office addresses in Houston, TX.",
        "Changed its office addresses in Tampa, FL.",
        "Added an office in Boston, MA.",
        "Added an office in Dallas, TX.",
        "Added an office in Eugene, OR.",
        "Added an office in Fairfax, VA.",
        "Added an office in Metairie, LA.",
        "Added an office in Overland Park, KS.",
        "No longer lists an office in Addison, TX.",
        "No longer lists an office in Braintree, MA.",
        "No longer lists an office in Derby, KS.",
        "No longer lists an office in Leawood, KS.",
        "No longer lists an office in San Francisco, CA.",
        "No longer lists an office in Warwick, RI."
      ]
    },
    {
      "period": "2025-11-01",
      "period_label": "November 2025",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Pershing LLC",
      "name_as_filed": "PERSHING LLC",
      "affiliated": false
    },
    {
      "name": "Voya Institutional Trust Company",
      "name_as_filed": "VOYA INSTITUTIONAL TRUST COMPANY",
      "affiliated": true
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/voya-financial-advisors-inc-windsor-ct-2882.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 13218,
      "fewer_than_5": false,
      "raum": 2263288434.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 3095,
      "fewer_than_5": false,
      "raum": 1597644531.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 2,
      "fewer_than_5": true,
      "raum": 538585.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 21,
      "fewer_than_5": false,
      "raum": 9202143.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 9 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/2882",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}