DUFF & PHELPS INVESTMENT MANAGEMENT CO.
Latest filing: Mar 28, 2025 (221 days ago)
AUM
$12,227,914,131
0% change vs. 1 year ago
0% change vs. 3 years ago
9% change vs. 5 years ago
14% change vs. 10 years ago
Employee Count
55
2% change vs. 1 year ago
15% change vs. 3 years ago
8% change vs. 5 years ago
25% change vs. 10 years ago
Main Office
CHICAGO, IL
10 S. WACKER DRIVE, CHICAGO, IL, UNITED STATES, 60606
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $12.2 |
| Non-Discretionary | $0.0 |
| Total | $12.2 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $8.6 |
| Institutional | $3.6 |
| Total | $12.2 |
| 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 |
|---|---|---|
| THE BANK OF NEW YORK MELLON | PITTSBURGH-PA-USA | $1.2 |
| STATE STREET BANK & TRUST COMPANY | QUINCY-IL-USA | $0.8 |
| CITIBANK, N.A. | CANARY WHARF--NON | $0.7 |
| THE NORTHERN TRUST COMPANY | CHICAGO-IL-USA | $0.6 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $3.6 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $3.6 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 75% | $2.7 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 16% | $0.6 |
| Municipal | 2% | $0.1 |
| Sovereign | 0% | $0.0 |
| IG Credit | 6% | $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 | 0% | $0.0 |
| Total | 100% | $3.6 |
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 |
|---|---|---|---|
| VIRTUS INVESTMENT ADVISERS, INC. | $54.0 | 106982 | |
| KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC | $45.5 | 104599 | |
| VIRTUS FIXED INCOME ADVISERS, LLC | $33.0 | 146029 | |
| SUSTAINABLE GROWTH ADVISERS, LP | $22.1 | 127447 | |
| CEREDEX VALUE ADVISORS LLC | $5.2 | 146023 | |
| ALPHASIMPLEX GROUP, LLC | $4.3 | 128356 | |
| NFJ INVESTMENT GROUP, LLC | $3.4 | 310902 | |
| WESTCHESTER CAPITAL MANAGEMENT, LLC | $2.8 | 155686 | |
| SILVANT CAPITAL MANAGEMENT LLC | $2.5 | 146025 | |
| VIRTUS ALTERNATIVE INVESTMENT ADVISERS, INC. | $2.0 | 143732 | |
| VIRTUS FUND ADVISERS, LLC | $1.4 | 107346 | |
| VIRTUS ETF ADVISERS LLC | $0.6 | 168955 | |
| SEIX CLO MANAGEMENT LLC | $0.4 | 285354 | |
| WESTCHESTER CAPITAL PARTNERS, LLC | $0.0 | 135955 | |
| VP DISTRIBUTORS LLC | $0.0 | broker-dealer | 3036 |
| VIRTUS INTERNATIONAL FUND MANAGEMENT LIMITED | $0.0 | - | |
| SEIX CLO MANAGEMENT GP LLC | $0.0 | - | |
| VIRTUS GLOBAL PARTNERS PTE. LTD. | $0.0 | - | |
| VIRTUS INTERNATIONAL FUND MANAGEMENT LIMITED | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
10 active
| Name | Title |
|---|---|
| PETRISKO, DANIEL, JOHN | EXECUTIVE MANAGING DIRECTOR |
| AYLWARD, GEORGE, ROBERT | DIRECTOR AND CHAIRMAN |
| DYBAS, GEOFFREY, PETER | EXECUTIVE MANAGING DIRECTOR |
| ANGERTHAL, MICHAEL, AARON | DIRECTOR, EXECUTIVE VICE PRESIDENT AND TREASURER |
| GRUMHAUS, DAVID, DEAN | DIRECTOR, PRESIDENT AND CHIEF INVESTMENT OFFICER |
| WITTWER, STEVEN, GLENN | EXECUTIVE MANAGING DIRECTOR |
| HEGYI, KATHLEEN, LOUISE | CHIEF COMPLIANCE OFFICER |
| PURKALITIS, ANDRA, CYNTHIA | CHIEF LEGAL OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
9 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| LAUREN MATZ | CHICAGO | IL | S66|2016-10-10 | ||||||
| FRANK HAGGERTY | CHICAGO | IL | S63|1994-06-28 | CHARTERED FINANCIAL ANALYST | |||||
| GEOFFREY DYBAS | CHICAGO | IL | S63|1996-03-04 | CHARTERED FINANCIAL ANALYST | |||||
| CONNIE LUECKE | CHICAGO | IL | S63|1995-08-24 | CHARTERED FINANCIAL ANALYST | |||||
| KATHLEEN HEGYI | CHICAGO | IL | S63|1992-06-30|S65|1996-08-26 | ||||||
| ERIC ELVEKROG | CHICAGO | IL | S63|1995-12-19 | CHARTERED FINANCIAL ANALYST | |||||
| KYLE WEST | CHICAGO | IL | S63|2012-12-05|S65|2010-01-20 | ||||||
| SHALINI SHARMA | CHICAGO | IL | S66|2001-11-06 | ||||||
| DAVID GRUMHAUS | CHICAGO | IL | S66|2015-10-23 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $12.2 | $0.0 | 0% | 55 | 0 | 0% |
| 2025-04-21 | $12.2 | $0.0 | 0% | 55 | 0 | 0% |
| 2024-04-02 | $12.3 | -$0.1 | 0% | 54 | 1 | 2% |
| 2023-04-04 | $12.0 | $0.2 | 2% | 50 | 5 | 10% |
| 2022-04-01 | $12.2 | $0.0 | 0% | 48 | 7 | 15% |
| 2021-04-05 | $10.6 | $1.6 | 15% | 48 | 7 | 15% |
| 2020-04-01 | $11.2 | $1.0 | 9% | 51 | 4 | 8% |
| 2019-04-01 | $9.0 | $3.2 | 36% | 54 | 1 | 2% |
| 2018-04-02 | $10.3 | $1.9 | 19% | 56 | -1 | -2% |
| 2017-04-01 | $10.3 | $1.9 | 19% | 51 | 4 | 8% |
| 2016-04-01 | $9.2 | $3.0 | 32% | 45 | 10 | 22% |
| 2015-04-01 | $10.7 | $1.5 | 14% | 44 | 11 | 25% |
| 2014-04-01 | $9.2 | $3.0 | 32% | 43 | 12 | 28% |
| 2013-04-01 | $8.9 | $3.3 | 37% | 39 | 16 | 41% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| IL, AK-09/30/2016, AL-09/30/2016, AR-09/30/2016, AZ-09/30/2016, CA-05/27/2011, CO-09/30/2016, CT-07/31/1997, DC-09/30/2016, DE-09/30/2016, FL-03/26/2004, GA-09/30/2016, HI-09/30/2016, IA-09/30/2016, ID-09/30/2016, IL-10/17/1983, IN-09/30/2016, KS-09/30/2016, KY-09/30/2016, LA-02/01/2001, MA-09/30/2016, MD-09/30/2016, ME-09/30/2016, MI-09/30/2016, MN-09/30/2016, MO-03/18/2010, MS-09/30/2016, MT-09/30/2016, NC-02/01/2001, ND-09/30/2016, NE-09/30/2016, NH-09/30/2016, NJ-04/07/2016, NM-09/30/2016, NV-09/30/2016, NY-03/24/2016, OH-02/01/2001, OK-09/30/2016, OR-09/30/2016, PA-10/06/1992, PR-09/30/2016, RI-09/30/2016, SC-09/30/2016, SD-09/30/2016, TN-09/30/2016, TX-08/29/1983, UT-09/30/2016, VA-09/30/2016, VI-09/30/2016, VT-09/30/2016, WA-09/30/2016, WI-09/30/2016, WV-09/30/2016, WY-03/28/2018 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV