Conning, Inc.

RIASEC RegisteredEst. 1983

Total AUM

$107B

Discretionary

$107B

100% of AUM

Avg account

$131M

Accounts

819

Employees

270

Advisory reps

Firm details

Headquarters: Hartford, Connecticut
CRD number: 107423
Registered since: March 21, 1983
Website: www.conning.com
Custodians: J.P. MORGAN SECURITIES INC., STATE STREET BANK AND TRUST COMPANY, THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION
Fee structure: Percentage of AUM, Hourly Charges, Subscription Fees, Fixed Fees, Performance Based Fees, Other
Client types: Insurance Companies88.19%
State / Municipal Government9.22%
Pooled Investment Vehicles1.75%
Corporations / Businesses0.5%
Pension & Profit Sharing Plans0.14%
Services: Portfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPublication of Periodicals

Firm profile

FINTRX

Overview

Conning, Inc. is an institutional registered investment adviser that has been SEC-registered since 1983. The firm operates as a corporation and serves primarily institutional clients, offering portfolio management for pooled investment vehicles and for businesses or institutions, and it also produces investment periodicals. Conning is active on ESG matters, and its fee model is multi-faceted (percentage of AUM plus options for hourly, subscription, fixed, performance-based and other fee arrangements). The firm is not primarily a capital allocator; it also maintains business lines tied to commodity pool/CTA activity and to sponsorship or management roles in pooled investment vehicles.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Investment Grade Corp Bonds58%
Other23%
Cash & Cash Equivalents6%
State & Local Bonds5%
US Government Bonds4%

Owners & executives

3 of 3

Robert Pearce
Managing Director and Chief Compliance OfficerCRD 1991468
Jung Lee
Chief Operating Officer & Chief Financial OfficerCRD 2791334
Linwood Bradford
Chair and Chief Executive OfficerCRD 4179446

Contacts

3 of 4

Vi (viola) Smalley
General Counsel, Corporate Secretary, Senior Managing DirectorCRD 5899872
Lorraine Hritcko
Managing DirectorCRD 8065991
Matthew Daly
Managing Director, Head of ResearchCRD 2638773