Wealth manager, wrap-program sponsor · Stamford, CT
Clinton Investment Management, LLC
SEC-registered investment adviser · CRD 143599 · SEC 801-69342
At a glance
Clinton Investment Management, LLC is an SEC-registered investment adviser based in Stamford, Connecticut, with $3.9 billion in regulatory assets under management as of its Form ADV filed May 14, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 2,095 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 421st of 8,915 wealth managers and 2,444th of 17,210 SEC-registered advisers by assets.
Main office 203-276-6246clintoninvestment.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $3.9B
- Rank among wealth managers
- #421 of 8,915
- Rank among all SEC RIAs
- #2,444 of 17,210
- Rank in Connecticut
- #106 of 507
- Individual clients
- 2,095
- High-net-worth clients
- 959
- Accounts
- 2,146
- Discretionary
- 100% of AUM
- Employees
- 14
- Advisory staff
- 11
- Offices
- 1
Owners and executives on its Form ADV
- Andrew I. ClintonCEO, Member
- Lane S. BucklanGeneral Counsel and Chief Compliance Officer
- Andrew I. ClintonTrustee, Andrew Clinton Irrevocable Trust Agreement U/a Dated June 17, 2025
- Alicia A. ClintonTrustee, Andrew Clinton Irrevocable Trust Agreement U/a Dated June 17, 2025
Custody and brokerage
2 custodians
- Merrill / Bank of America$1.5B59%
- Morgan Stanley$1.1B41%
Other RIAs using Merrill / Bank of AmericaOther multi-custodian RIAs
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 959 | $2.9B | 73% |
| Individuals | 1,136 | $630M | 16% |
| Corporations or other businesses | 48 | $221M | 6% |
| Investment companies | 3 | $185M | 5% |
Disciplinary disclosures
Clinton Investment Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗clintoninvestment.com ↗
AtlasMembers
The full record on Clinton Investment Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 1,058 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Clinton Investment Management, LLC manage?
Clinton Investment Management, LLC reports $3.9 billion in regulatory assets under management across 2,146 accounts, 100% of it on a discretionary basis, on its Form ADV filed May 14, 2026.
What kind of firm is Clinton Investment Management, LLC?
Clinton Investment Management, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Clinton Investment Management, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($2.9 billion, 959 clients); individuals ($630 million, 1,136 clients); corporations or other businesses ($221 million, 48 clients).
Does Clinton Investment Management, LLC have any disciplinary history?
Clinton Investment Management, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Clinton Investment Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-05-14), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →