40/86 ADVISORS, INC.
Adviser information for 40/86 ADVISORS, INC. last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 78 |
|---|---|
| Investment Advisory/Research | 78 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 15 | $26.7B |
| Non-Discretionary | 0 | $0 |
| Total | 15 | $26.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 4 | $882.3M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 7 | $25.5B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 4 | $256.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 33 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-17857 |
|---|---|
| SEC ERA File Number | 801-17857 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107740 |
| Legal Entity Identifier | 549300WH223WQWWQ0D59 |
Principal Office
11299 ILLINOIS STREETSUITE 200
CARMEL
IN
United States
Monday - Friday, 8:00AM TO 5:00PM
Tel: 317-817-4086, Fax: 317-817-5039
Chief Compliance Officer
TONY NEUHOFF
CHIEF COMPLIANCE OFFICER, VICE PRESIDENT
11299 ILLINOIS STREET
SUITE 200
CARMEL
IN
United States
Tel:
317-817-2168
Fax:
317-817-5039
T***********@*******M
(Full email address available in API data)
Industry Affiliates
| 40|86 MORTGAGE CAPITAL, INC. | Real estate broker or dealer |
| BANKERS CONSECO LIFE INSURANCE COMPANY | Insurance company or agency |
| BANKERS LIFE ADVISORY SERVICES, INC. | Other investment adviser, including financial planners |
| BANKERS LIFE AND CASUALTY COMPANY | Insurance company or agency |
| BANKERS LIFE SECURITIES GENERAL AGENCY, INC. | Insurance company or agency |
| BANKERS LIFE SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| BENETEK CORPORATION | Insurance company or agency |
| CNO BERMUDA RE, LTD. | Insurance company or agency |
| COLONIAL PENN LIFE INSURANCE COMPANY | Insurance company or agency |
| CONSECO LIFE INSURANCE COMPANY OF TEXAS | Insurance company or agency |
| K.F. AGENCY, INC. | Insurance company or agency |
| K.F. INSURANCE AGENCY OF MASSACHUSETTS, INC. | Insurance company or agency |
| OPTAVISE, LLC | Insurance company or agency |
| PERFORMANCE MATTERS ASSOCIATES, INC. | Insurance company or agency |
| RESOURCE LIFE INSURANCE COMPANY | Insurance company or agency |
| WASHINGTON NATIONAL INSURANCE COMPANY | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BEAN CREEK CLO LTD | Securitized Asset Fund | $254.5M | $0.1M | 1 |
| CLEAR CREEK CLO, LTD | Securitized Asset Fund | $212.6M | $0.3M | 1 |
| DEER CREEK CLO, LTD | Securitized Asset Fund | $214.7M | $0.5M | 1 |
| SILVER CREEK CLO, LTD. | Securitized Asset Fund | $200.5M | $0.5M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CNO FINANCIAL GROUP, INC. | Domestic Entity | – | SOLE SHAREHOLDER | 12/1987 | > 75% |
| JOHNSON, ERIC, RONALD | Individual | – | PRESIDENT, CIO & DIRECTOR | 09/2003 | < 5% |
| BURKE, RICHARD, WILLIAM | Individual | – | SVP/CHIEF INFORMATION OFFICER | 06/2004 | < 5% |
| HORSFALL, JESSE, EDWARD | Individual | – | SENIOR VICE PRESIDENT, PORTFOLIO MANAGEMENT | 02/2007 | < 5% |
| MCDONOUGH, PAUL, HARRINGTON | Individual | – | DIRECTOR, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 04/2019 | < 5% |
| DE HAAI, ZANDRA, MARIA | Individual | – | SVP, FIXED INCOME RESEARCH | 04/2019 | < 5% |
| NEUHOFF, TONY, ALAN | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2024 | < 5% |