Broker-dealer firm · Hartford, CT
Conning Investment Products, Inc.
SEC-registered investment adviser · CRD 120387 · SEC 801-79816
At a glance
Conning Investment Products, Inc. is an SEC-registered investment adviser based in Hartford, Connecticut, with $572 million 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 broker-dealer firm, ranked 199th of 391 broker-dealer firms and 7,277th of 17,210 SEC-registered advisers by assets.
Main office 860-299-2000conning.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $572M
- Rank among broker-dealer firms
- #199 of 391
- Rank among all SEC RIAs
- #7,277 of 17,210
- Rank in Connecticut
- #284 of 507
- Clients
- 0
- Accounts
- 9
- Discretionary
- 100% of AUM
- Employees
- 8
- Advisory staff
- 5
- Offices
- 1
Owners and executives on its Form ADV
- Robert S. PearceManaging Director, Chief Compliance Officer
- Kenneth Ronald GeorgeFinop
- Linwood E. BradfordChair Board of Directors
- Jung W. LeeManaging Director, CFO & COO, Board Member
- VI (viola) R. SmalleyChief Legal Counsel/corporate Secretary
- Matthew K. DalyPresident & Head of Sales/ Board Member
Custody and brokerage
2 custodians
- Royal Bank of Canada Dexia$323M59%
- BNY$229M41%
Other RIAs using Royal Bank of Canada DexiaOther multi-custodian RIAs
Broker-dealer
Hybrid RIA
Conning Investment Products, Inc. is a hybrid RIA: 5 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Conning Asia Pacific Limited (hong Kong) and Conning Asset Management (UK) LTD..
- Conning Asia Pacific Limited (hong Kong)
- Conning Asset Management (UK) LTD.
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 | – | $564M | 99% |
| Corporations or other businesses | – | $8M | 1% |
Disciplinary disclosures
Conning Investment Products, Inc. answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- 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 ↗conning.com ↗
AtlasMembers
The full record on Conning Investment Products, 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
- Locked
- Growth over one, three and five years
- Locked
- Rank against 147 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Conning Investment Products, Inc. manage?
Conning Investment Products, Inc. reports $572 million in regulatory assets under management across 9 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is Conning Investment Products, Inc.?
Conning Investment Products, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Conning Investment Products, Inc.’s clients?
By assets, its largest client types are insurance companies ($564 million); corporations or other businesses ($8 million).
Does Conning Investment Products, Inc. have any disciplinary history?
Conning Investment Products, Inc. answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Conning Investment Products, 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 →