CONNING, INC.
Latest filing: Mar 28, 2025 (94 days ago)
AUM
$99,533,233,234
-1% change vs. 1 year ago
-10% change vs. 3 years ago
-2% change vs. 5 years ago
21% change vs. 10 years ago
Employee Count
270
0% change vs. 1 year ago
3% change vs. 3 years ago
4% change vs. 5 years ago
13% change vs. 10 years ago
Main Office
HARTFORD, CT
ONE FINANCIAL PLAZA, HARTFORD, CT, UNITED STATES, 6103
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $99.1 |
| Non-Discretionary | $0.4 |
| Total | $99.5 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $1.3 |
| Institutional | $98.2 |
| Total | $99.5 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| J.P. MORGAN SECURITIES LLC | NEW YORK-NY-USA | $30.9 |
| STATE STREET GLOBAL MARKETS, LLC | BOSTON-MA-USA | $21.4 |
| NORTHERN TRUST SECURITIES, INC. | CHICAGO-IL-USA | $11.4 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $98.2 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $98.2 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 3% | $2.9 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 5% | $4.9 |
| Municipal | 6% | $5.9 |
| Sovereign | 0% | $0.0 |
| IG Credit | 58% | $57.0 |
| HY Credit | 1% | $1.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 5% | $4.9 |
| Other | 22% | $21.6 |
| Total | 100% | $98.2 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| OCTAGON CREDIT INVESTORS, LLC | $34.3 | 155336 | |
| PREP INVESTMENT ADVISERS, L.L.C. | $1.0 | 296631 | |
| GOODWIN CAPITAL ADVISERS, INC. | $0.9 | 108290 | |
| GLOBAL EVOLUTION USA, LLC | $0.8 | 161677 | |
| CONNING INVESTMENT PRODUCTS, INC. | $0.5 | broker-dealer | 120387 |
| PEARLMARK MEZZANINE REALTY PARTNERS GP IV, L.L.C. | $0.0 | - | |
| PEARLMARK MEZZANINE REALTY PARTNERS GP V, L.L.C. | $0.0 | - | |
| OCTAGON FUNDS GP LLC | $0.0 | - | |
| OCTAGON CREDIT OPPORTUNITIES GP, LLC | $0.0 | - | |
| PEP GP I, L.L.C. | $0.0 | - | |
| OCTAGON FUNDS GP III LLC | $0.0 | - | |
| CONNING ASIA PACIFIC LIMITED (HONG KONG) | $0.0 | broker-dealer | - |
| CATHAY SECURITIES INVESTMENT TRUST CO., LTD | $0.0 | broker-dealer | - |
| PEARLMARK REAL ESTATE SERVICES, L.L.C. | $0.0 | - | |
| GLOBAL EVOLUTION MANCO SA | $0.0 | - | |
| CONNING ASSET MANAGEMENT LTD. (UK) | $0.0 | broker-dealer | - |
| PEARLMARK REAL ESTATE, L.L.C. | $0.0 | - | |
| PEP GP II, L.L.C. | $0.0 | - | |
| GLOBAL EVOLUTION FONDSMAEGLERSELSKAB A/S | $0.0 | - | |
| OCTAGON FUNDS II GP LLC | $0.0 | - | |
| GLOBAL EVOLUTION FUND MANAGEMENT SINGAPORE, PTE. LTD. | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
12 active
| Name | Title |
|---|---|
| PEARCE, ROBERT, STEDMAN | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER |
| BRADFORD, LINWOOD, EARLE | CHIEF EXECUTIVE OFFICER & CHAIR OF THE BOARD |
| LEE, JUNG, WON | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER |
| SMALLEY, VI (VIOLA), R. | MANAGING DIRECTOR, CHIEF LEGAL OFFICER/CORPORATE SECRETARY |
| BEAULIEU, CYNTHIA, ANNE | MANAGING DIRECTOR, PORTFOLIO MANAGER AND CIO CONNING NORTH AMERICA |
| DALY, MATTHEW, KENNETH | MANAGING DIRECTOR HEAD OF CONNING NORTH AMERICA |
ADVDB.CO • SOURCE: SEC
Representatives
1 active representative found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ROBERT PEARCE | HARTFORD | CT | S63|1990-05-15|S65|1999-07-23|S66|2005-04-27 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $99.5 | $0.0 | 0% | 270 | 0 | 0% |
| 2025-04-21 | $99.5 | $0.0 | 0% | 270 | 0 | 0% |
| 2024-04-02 | $100.4 | -$0.9 | -1% | 270 | 0 | 0% |
| 2023-04-04 | $94.8 | $4.7 | 5% | 270 | 0 | 0% |
| 2022-04-01 | $110.3 | -$10.8 | -10% | 263 | 7 | 3% |
| 2021-04-05 | $108.0 | -$8.4 | -8% | 260 | 10 | 4% |
| 2020-04-01 | $101.6 | -$2.1 | -2% | 260 | 10 | 4% |
| 2019-04-01 | $74.2 | $25.3 | 34% | 260 | 10 | 4% |
| 2018-04-02 | $76.6 | $23.0 | 30% | 260 | 10 | 4% |
| 2017-04-01 | $72.0 | $27.5 | 38% | 270 | 0 | 0% |
| 2016-04-01 | $79.1 | $20.4 | 26% | 248 | 22 | 9% |
| 2015-04-01 | $82.5 | $17.0 | 21% | 238 | 32 | 13% |
| 2014-04-01 | $72.5 | $27.0 | 37% | 240 | 30 | 12% |
| 2013-04-01 | $77.4 | $22.1 | 29% | 240 | 30 | 12% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CT, CT-07/01/1997, LA-09/02/2005, NY-06/18/2014, OH-01/09/2017, TN-03/30/2023 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) NEWSLETTERS |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV