Duff & Phelps Investment Management Co

RIASEC Registered
Total AUM
$12.7B
Discretionary
$12.7B
100% of AUM
Avg account
$290M
Accounts
44
Employees
53
Advisory reps
10

Firm details

Headquarters
Chicago, Illinois
CRD number
107296
Registered since
July 2, 1979
Custodians
THE BANK OF NEW YORK MELLON, CITI PRIVATE BANK, INSTITUTIONAL INVESTOR SERVICES, THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION
Fee structure
Percentage of AUM, Performance Based Fees
Client types
  • Investment Companies58.92%
  • Pension & Profit Sharing Plans16.43%
  • Pooled Investment Vehicles11.59%
  • Corporations / Businesses7.19%
  • State / Municipal Government5.5%
Services
Portfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Duff & Phelps Investment Management Co is a corporate, institutional registered investment adviser that has been SEC-registered since 1979. The firm’s client focus is institutional — it provides portfolio management for investment companies, pooled investment vehicles and for businesses or other institutions. Fee arrangements include asset-based fees and performance-linked fees. The firm is not listed as an active ESG investor and is identified as neither a multi-state nor newly formed adviser; ownership is reported as a mix of domestic entity and individual interests.

Assets & Accounts

Public Holdings

Investments & Alternatives

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

Asset composition: Exchange Traded Equities 75%, US Government Bonds 16%, Investment Grade Corp Bonds 6%, State & Local Bonds 2%, Cash & Cash Equivalents 1%75%
  • Exchange Traded Equities75%
  • US Government Bonds16%
  • Investment Grade Corp Bonds6%
  • State & Local Bonds2%
  • Cash & Cash Equivalents1%

Owners & executives

FINTRX

Contacts

FINTRX

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 7

Active vs passive

$18.5M in ETFs

Passive

91%

$16.8M

Active

9%

$1.7M

ETFProviderStyleCategoryValueShares% of portfolio
INVESCO DB COMMODITY INDEX TRACKING FUND (DBC)InvescoPassiveCommodities Broad Basket$5.2M160,41928.10%

Location

Primary office

Chicago, IL

Cook

Location

Chicago, IL

Headquartered in Chicago, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
Cook
Address
10 S Wacker Dr
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth