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Managing Director, Chief Legal Officer, Corporate Secretary · Conning, Inc.

VI (viola) R. Smalley

CRD 5899872 · Named on Form ADV at 3 SEC-registered advisers

At a glance

Conning, Inc., an SEC-registered asset manager based in Hartford, CT with $106.9 billion in regulatory assets, lists VI (viola) R. Smalley on its Form ADV as Managing Director, Chief Legal Officer, Corporate Secretary, a control person. The SEC filings also name VI at 2 other registered advisers.

Firms and roles

  • Conning, Inc.Managing Director, Chief Legal Officer, Corporate SecretaryAsset manager · Hartford, CT · $107B in regulatory assets
  • Goodwin Capital Advisers, Inc.Chief Legal Officer, Corporate SecretaryAsset manager · Hartford, CT · $987M in regulatory assets
  • Conning Investment Products, Inc.Chief Legal Counsel/corporate SecretaryBroker-dealer firm · Hartford, CT · $572M in regulatory assets

AtlasMembers

VI’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
3 firmsLocked
Control-person status
3 firmsLocked
When each role began
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Each firm’s assets and growth
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Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (9)

4 more people named with VI on the same filings, with titles and firms. Free in Atlas with a free account.

See all 9 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For VI’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.