Asset manager · Hartford, CT
Conning, Inc.
SEC-registered investment adviser · CRD 107423 · SEC 801-18641
At a glance
Conning, Inc. is an SEC-registered investment adviser based in Hartford, Connecticut, with $106.9 billion in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is insurance companies. By Form ADV it is a asset manager, ranked 130th of 3,218 asset managers and 248th of 17,210 SEC-registered advisers by assets.
Main office 860-299-2000conning.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $107B
- Rank among asset managers
- #130 of 3,218
- Rank among all SEC RIAs
- #248 of 17,210
- Rank in Connecticut
- #7 of 507
- Clients
- 161
- Accounts
- 819
- Discretionary
- 100% of AUM
- Employees
- 270
- Advisory staff
- 240
- Offices
- 2
Owners and executives on its Form ADV
- Robert S. PearceManaging Director, Chief Compliance Officer
- Linwood E. BradfordChair of the Board
- Jung W. LeeManaging Director, Chief Financial Officer, Board Member
- VI (viola) R. SmalleyManaging Director, Chief Legal Officer, Corporate Secretary
- Cynthia A. BeaulieuManaging Director, Portfolio Manager and CIO Conning North America
- Matthew K. DalyCEO & President
- Lorraine S HritckoManaging Director, Board Member
Custody and brokerage
Broker-dealer
Hybrid RIA
Conning, Inc. is a hybrid RIA: 10 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Conning Asia Pacific Limited (hong Kong), Conning Asset Management LTD. (UK) and Conning Investment Products, Inc..
- Conning Asia Pacific Limited (hong Kong)
- Conning Asset Management LTD. (UK)
- Conning Investment Products, Inc. ↗CRD 120387
Its Form ADV brochure (filed March 2026) names Conning Investment Products as the broker-dealer its advisers are registered with.
He is also a registered representative of CIP which is utilized as a placement agent for alternative investments offered to affiliated and non -affiliated clients which a commission is paid to CIP for services rendered.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Insurance companies | 121 | $94B | 88% |
| State or municipal government entities | 17 | $9.9B | 9% |
| Pooled investment vehicles | 8 | $1.9B | 2% |
| Corporations or other businesses | 9 | $539M | <1% |
| Pension and profit sharing plans | 6 | $148M | <1% |
| Other | – | $112M | <1% |
| Charitable organizations | – | $100M | <1% |
Disciplinary disclosures
Conning, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Periodicals or newsletters
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Subscription fees
- Fixed fees
- Performance-based fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗conning.com ↗
AtlasMembers
The full record on Conning, Inc.
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 211 peers of its type and size
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- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Conning, Inc. manage?
Conning, Inc. reports $106.9 billion in regulatory assets under management across 819 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is Conning, Inc.?
Conning, Inc. is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Conning, Inc.’s clients?
By assets, its largest client types are insurance companies ($94.3 billion, 121 clients); state or municipal government entities ($9.9 billion, 17 clients); pooled investment vehicles ($1.9 billion, 8 clients).
Does Conning, Inc. have any disciplinary history?
Conning, Inc. 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 Conning, Inc.’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 (2026-03-30), 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 →