DUFF & PHELPS INVESTMENT MANAGEMENT CO.
Firm details
- Headquarters
- CHICAGO, Illinois
- CRD number
- 107296
- Registered since
- July 2, 1979
- Website
- www.dpimc.com
- 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
FINTRXOverview
Duff & Phelps Investment Management Co. is a corporation that provides portfolio management services primarily to institutional clients. The firm has been SEC-registered since 1979 and operates with a fee model that includes both AUM-based charges and performance fees. Its advisory remit spans management for investment companies, pooled investment vehicles and for businesses or other institutions. The firm does not identify as an active ESG investor and does not operate as a multi-state adviser. Ownership is listed as a domestic entity/individual and the firm is not classified as a capital allocator. Duff & Phelps maintains a range of industry roles beyond pure advisory duties: it is affiliated with broker-dealer activity, functions as an investment adviser to others, has CPO/CTA relationships, and acts as sponsor/GP/managing member for pooled vehicles. Those affiliations suggest the firm can both advise and directly structure or manage collective investment vehicles.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities75%
- US Government Bonds16%
- Investment Grade Corp Bonds6%
- State & Local Bonds2%
- Cash & Cash Equivalents1%
Owners & executives
3 of 4KATHLEEN HEGYI
Managing Director, Chief Compliance OfficerCRD 2229746
MICHAEL ANGERTHAL
Chief Financial OfficerCRD 5632934
DAVID GRUMHAUS
CIOCRD 2544692
Contacts
3 of 6LAUREN MATZ
Senior Compliance DirectorCRD 5167719
DANIEL PETRISKO
Executive Manager DirectorCRD 4888273
PHILLIP ENOCHS
Global Head of Business DevelopmentCRD 2860098
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 7Active vs passive
$15.1M in ETFs
89%
$13.4M
12%
$1.7M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| STATE STREET(R) SPDR(R) S&P(R) GLOBAL NATURAL RESOURCES ETF (GNR) | State Street | Passive | Natural Resources | $4.1M | 54,900 | 27.15% |
Location
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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