CONNING INVESTMENT PRODUCTS, INC.
Latest filing: Mar 27, 2025 (95 days ago)
AUM
$517,711,336
6% change vs. 1 year ago
22% change vs. 3 years ago
10% change vs. 5 years ago
-28% change vs. 10 years ago
Employee Count
8
0% change vs. 1 year ago
0% change vs. 3 years ago
0% change vs. 5 years ago
-20% change vs. 10 years ago
Main Office
HARTFORD, CT
ONE FINANCIAL PLAZA, HARTFORD, CT, UNITED STATES, 6103
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.5 |
| Non-Discretionary | $0.0 |
| Total | $0.5 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $0.0 |
| Institutional | $0.5 |
| Total | $0.5 |
| 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 |
|---|---|---|
| BNY MELLON CAPITAL MARKETS, LLC | NEW YORK-NY-USA | $0.2 |
| ROYAL BANK OF CANADA DEXIA | TORONTO--CAN | $0.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.5 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.5 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 1% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 54% | $0.3 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 42% | $0.2 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 1% | $0.0 |
| Other | 2% | $0.0 |
| Total | 100% | $0.5 |
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 |
|---|---|---|---|
| CONNING, INC. | $99.5 | 107423 | |
| 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 | |
| OCTAGON FUNDS II GP, LLC | $0.0 | - | |
| OCTAGON FUNDS GP LLC | $0.0 | - | |
| CONNING ASIA PACIFIC LIMITED (HONG KONG) | $0.0 | broker-dealer | - |
| OCTAGON CREDIT OPPORTUNITIES GP, LLC | $0.0 | - | |
| OCTAGON FUNDS GP III LLC | $0.0 | - | |
| PEP GP I, L.L.C. | $0.0 | - | |
| PEARLMARK MEZZANINE REALTY PARTNERS GP IV, L.L.C. | $0.0 | - | |
| CONNING ASSET MANAGEMENT (UK) LTD. | $0.0 | broker-dealer | - |
| GLOBAL EVOLUTION FONDSMÆGLERSELSKAB A/S | $0.0 | - | |
| GLOBAL EVOLUTION FUND MANAGEMENT SINGAPORE, PTE. LTD. | $0.0 | - | |
| PEARLMARK REAL ESTATE, L.L.C. | $0.0 | - | |
| PEARLMARK REAL ESTATE SERVICES, L.L.C. | $0.0 | - | |
| PEP GP II, L.L.C. | $0.0 | - | |
| PEARLMARK MEZZANINE REALTY PARTNERS GP V, L.L.C. | $0.0 | - | |
| GLOBAL EVOLUTION MANCO SA | $0.0 | - | |
| CATHAY SECURITIES INVESTMENT TRUST CO., LTD | $0.0 | broker-dealer | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
11 active
| Name | Title |
|---|---|
| PEARCE, ROBERT STEDMAN | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER |
| GEORGE, KENNETH RONALD | FINOP |
| BRADFORD, LINWOOD EARLE JR | CHIEF EXECUTIVE OFFICER & HEAD OF SALES |
| LEE, JUNG WON | MANAGING DIRECTOR, CFO |
| SMALLEY, VI (VIOLA) R. | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY |
ADVDB.CO • SOURCE: SEC
Representatives
1 active representative found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| DAVID CAPOZZA | HARTFORD | CT | S66|2006-08-10 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $0.5 | $0.0 | 0% | 8 | 0 | 0% |
| 2025-04-21 | $0.5 | $0.0 | 0% | 8 | 0 | 0% |
| 2024-04-02 | $0.5 | $0.0 | 6% | 8 | 0 | 0% |
| 2023-04-04 | $0.4 | $0.1 | 21% | 8 | 0 | 0% |
| 2022-04-01 | $0.4 | $0.1 | 22% | 8 | 0 | 0% |
| 2021-04-05 | $0.5 | $0.0 | 1% | 8 | 0 | 0% |
| 2020-04-01 | $0.5 | $0.0 | 10% | 8 | 0 | 0% |
| 2019-04-01 | $0.3 | $0.2 | 49% | 8 | 0 | 0% |
| 2018-04-02 | $0.3 | $0.2 | 55% | 9 | -1 | -11% |
| 2017-04-01 | $0.3 | $0.2 | 71% | 10 | -2 | -20% |
| 2016-04-01 | $0.6 | -$0.1 | -12% | 10 | -2 | -20% |
| 2015-04-01 | $0.7 | -$0.2 | -28% | 10 | -2 | -20% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CT, CT-06/05/2014 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
BROKER DEALER |
ADVDB.CO • SOURCE: SEC FORM ADV