CONNING, INC.
Adviser information for CONNING, INC. last updated from Form ADV on March 26th, 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 | Missouri, United States |
Employees
| Total Number of Employees | 270 |
|---|---|
| Investment Advisory/Research | 240 |
| Registered Broker-Dealer Representatives | 8 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 524 | $98.7B |
| Non-Discretionary | 10 | $1.7B |
| Total | 534 | $100.4B |
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 | 6 | $574.3M |
| Pension and profit sharing plans | 7 | $118.6M |
| Charitable organizations | <5 | $85.9M |
| State or municipal gov entities | 14 | $5.6B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 120 | $93.5B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 8 | $457.6M |
| Other | <5 | $64.6M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 5 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPublication of periodicals or newslettersCONSULTING AND RESEARCH SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesSubscription feesFixed feesPerformance-based feesNEGOTIATED FEES |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
ONE FINANCIAL PLAZA755 MAIN STREET
HARTFORD
CT
United States
Monday - Friday, 8:00 AM - 4:45PM
Tel: 860-299-2000, Fax: 860-299-2479
Chief Compliance Officer
ROBERT PEARCE
CHIEF COMPLIANCE OFFICER
ONE FINANCIAL PLAZA
755 MAIN STREET
HARTFORD
CT
United States
Tel:
860-299-2151
Fax:
860-299-0151
R************@**********M
(Full email address available in API data)
Regulatory Contact
ERIK LECCO
COMPLIANCE OFFICER
ONE FINANCIAL PLAZA
755 MAIN STREET
HARTFORD
CT
United States
Tel:
860-299-2249
E*********@**********M
(Full email address available in API data)
Industry Affiliates
| CATHAY SECURITIES INVESTMENT TRUST CO., LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CONNING ASIA PACIFIC LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CONNING ASSET MANAGEMENT LTD. (UK) | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CONNING INVESTMENT PRODUCTS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| GLOBAL EVOLUTION FONDSMAEGLERSELSKAB A/S | Other investment adviser, including financial planners |
| GLOBAL EVOLUTION FUND MANAGEMENT SINGAPORE, PTE. LTD. | Other investment adviser, including financial planners |
| GLOBAL EVOLUTION MANCO SA | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GLOBAL EVOLUTION USA, LLC | Other investment adviser, including financial planners |
| GOODWIN CAPITAL ADVISERS, INC. | Other investment adviser, including financial planners |
| OCTAGON CREDIT INVESTORS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| OCTAGON CREDIT OPPORTUNITIES GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| OCTAGON FUNDS GP III LLC | Sponsor, GP, manager of pooled investment vehicles |
| OCTAGON FUNDS GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| OCTAGON FUNDS II GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| PEARLMARK MEZZANINE REALTY PARTNERS GP IV, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| PEARLMARK MEZZANINE REALTY PARTNERS GP V, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| PEARLMARK REAL ESTATE SERVICES, L.L.C. | Real estate broker or dealer |
| PEARLMARK REAL ESTATE, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| PEP GP I, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| PEP GP II, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| PREP INVESTMENT ADVISERS, L.L.C. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CONNING & COMPANY | Domestic Entity | – | SHAREHOLDER | 07/1996 | > 75% |
| PEARCE, ROBERT, STEDMAN | Individual | – | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 11/2005 | < 5% |
| CONNING HOLDINGS CORP | Domestic Entity | CONNING & COMPANY | SHAREHOLDER | 10/2009 | > 75% |
| BRADFORD, LINWOOD, EARLE | Individual | – | CHIEF EXECUTIVE OFFICER & CHAIR OF THE BOARD | 01/2012 | < 5% |
| LEE, JUNG, WON | Individual | – | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | 01/2011 | < 5% |
| SMALLEY, VI (VIOLA), R. | Individual | – | MANAGING DIRECTOR, CHIEF LEGAL OFFICER/CORPORATE SECRETARY | 01/2011 | < 5% |
| CONNING U.S. HOLDINGS, INC. | Domestic Entity | CONNING HOLDINGS CORP. | SHAREHOLDER | 09/2015 | > 75% |
| CONNING HOLDINGS LIMITED | Foreign Entity | CONNING U.S. HOLDINGS, INC. | SHAREHOLDER | 09/2015 | > 75% |
| CATHAY LIFE INSURANCE CO., LTD | Foreign Entity | CONNING HOLDINGS LIMITED | SHAREHOLDER | 09/2015 | > 75% |
| CATHAY FINANCIAL HOLDING CO., LTD. | Foreign Entity | CATHAY LIFE INSURANCE CO., LTD | SHAREHOLDER | 09/2015 | > 75% |
| BEAULIEU, CYNTHIA, ANNE | Individual | – | MANAGING DIRECTOR, PORTFOLIO MANAGER AND CIO CONNING NORTH AMERICA | 10/2023 | < 5% |
| DALY, MATTHEW, KENNETH | Individual | – | MANAGING DIRECTOR HEAD OF CONNING NORTH AMERICA | 10/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 26th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 3M CO | COM | 411K | 4K | – |
| ABBOTT LABS | COM | 36M | 345K | – |
| ABBVIE INC | COM | 39M | 230K | – |
| ACCENTURE PLC IRELAND | SHS CLASS A | 1M | 4K | – |
| ADOBE INC | COM | 2M | 3K | – |
| ADVANCED MICRO DEVICES INC | COM | 2M | 11K | – |
| AFLAC INC | COM | 36M | 400K | – |
| AGILENT TECHNOLOGIES INC | COM | 291K | 2K | – |
| AIR PRODS & CHEMS INC | COM | 402K | 2K | – |
| AIRBNB INC | COM CL A | 312K | 2K | – |
| AKAMAI TECHNOLOGIES INC | NOTE 0.125% 5/0 | 8M | – | – |
| ALLIANT ENERGY CORP | NOTE 3.875% 3/1 | 6M | – | – |
| ALLSTATE CORP | COM | 365K | 2K | – |
| ALPHABET INC | CAP STK CL A | 12M | 67K | – |
| ALPHABET INC | CAP STK CL C | 6M | 30K | – |
| ALTRIA GROUP INC | COM | 446K | 10K | – |
| AMAZON COM INC | COM | 11M | 59K | – |
| AMERICAN ELEC PWR CO INC | COM | 345K | 4K | – |
| AMERICAN EXPRESS CO | COM | 1M | 5K | – |
| AMERICAN INTL GROUP INC | COM NEW | 419K | 6K | – |
| AMERICAN TOWER CORP NEW | COM | 638K | 3K | – |
| AMERIPRISE FINL INC | COM | 35M | 81K | – |
| AMETEK INC | COM | 250K | 2K | – |
| AMGEN INC | COM | 1M | 4K | – |
| AMPHENOL CORP NEW | CL A | 624K | 9K | – |
| ANALOG DEVICES INC | COM | 35M | 154K | – |
| AON PLC | SHS CL A | 480K | 2K | – |
| APPLE INC | COM | 26M | 121K | – |
| APPLIED MATLS INC | COM | 6M | 26K | – |
| ARBOR REALTY TRUST INC | NOTE 7.500% 8/0 | 4M | – | – |
| ARCHER DANIELS MIDLAND CO | COM | 1M | 17K | – |
| ARISTA NETWORKS INC | COM | 436K | 1K | – |
| AT&T INC | COM | 962K | 50K | – |
| AUTODESK INC | COM | 409K | 2K | – |
| AUTOMATIC DATA PROCESSING IN | COM | 35M | 148K | – |
| AUTOZONE INC | COM | 290K | 98 | – |
| AVALONBAY CMNTYS INC | COM | 319K | 2K | – |
| BAKER HUGHES COMPANY | CL A | 204K | 6K | – |
| BANK AMERICA CORP | 7.25%CNV PFD L | 7M | 6K | – |
| BANK AMERICA CORP | COM | 2M | 52K | – |
| BANK NEW YORK MELLON CORP | COM | 35M | 591K | – |
| BECTON DICKINSON & CO | COM | 459K | 2K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 5M | 13K | – |
| BEST BUY INC | COM | 34M | 400K | – |
| BIOGEN INC | COM | 249K | 1K | – |
| BLACKROCK ENERGY & RES TR | COM | 323K | 24K | – |
| BLACKROCK ENHANCED EQUITY DI | COM | 336K | 41K | – |
| BLACKROCK FLOATING RATE INC | COM | 338K | 27K | – |
| BLACKROCK INC | COM | 36M | 46K | – |
| BLACKSTONE INC | COM | 430K | 3K | – |
| BLOCK INC | NOTE 0.125% 3/0 | 3M | – | – |
| BOEING CO | COM | 711K | 4K | – |
| BOOKING HOLDINGS INC | COM | 5M | 1K | – |
| BOOKING HOLDINGS INC | NOTE 0.750% 5/0 | 4M | – | – |
| BOSTON SCIENTIFIC CORP | COM | 829K | 11K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 35M | 855K | – |
| BROADCOM INC | COM | 46M | 29K | – |
| CADENCE DESIGN SYSTEM INC | COM | 465K | 2K | – |
| CALAMOS STRATEGIC TOTAL RETU | COM SH BEN INT | 828K | 49K | – |
| CANADIAN NAT RES LTD | COM | 663K | 19K | – |
| CAPITAL ONE FINL CORP | COM | 446K | 3K | – |
| CARRIER GLOBAL CORPORATION | COM | 330K | 5K | – |
| CATERPILLAR INC | COM | 37M | 111K | – |
| CBRE GROUP INC | CL A | 202K | 2K | – |
| CENCORA INC | COM | 274K | 1K | – |
| CHARTER COMMUNICATIONS INC N | CL A | 220K | 737 | – |
| CHEVRON CORP NEW | COM | 2M | 12K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 639K | 10K | – |
| CHUBB LIMITED | COM | 766K | 3K | – |
| CINTAS CORP | COM | 508K | 725 | – |
| CISCO SYS INC | COM | 37M | 788K | – |
| CITIGROUP INC | COM NEW | 921K | 15K | – |
| CME GROUP INC | COM | 35M | 176K | – |
| CMS ENERGY CORP | COM | 377K | 6K | – |
| COCA COLA CO | COM | 37M | 581K | – |
| COGNIZANT TECHNOLOGY SOLUTIO | CL A | 286K | 4K | – |
| COHEN & STEERS INFRASTRUCTUR | COM | 3M | 136K | – |
| COLGATE PALMOLIVE CO | COM | 37M | 382K | – |
| COMCAST CORP NEW | CL A | 36M | 920K | – |
| CONOCOPHILLIPS | COM | 36M | 316K | – |
| CONSTELLATION BRANDS INC | CL A | 259K | 1K | – |
| CONSTELLATION ENERGY CORP | COM | 321K | 2K | – |
| COPART INC | COM | 235K | 4K | – |
| CORNING INC | COM | 234K | 6K | – |
| CORTEVA INC | COM | 237K | 4K | – |
| COSTCO WHSL CORP NEW | COM | 6M | 8K | – |
| CRH PLC | ORD | 424K | 6K | – |
| CROWN CASTLE INC | COM | 271K | 3K | – |
| CSX CORP | COM | 571K | 17K | – |
| CUMMINS INC | COM | 36M | 129K | – |
| CVS HEALTH CORP | COM | 987K | 17K | – |
| D R HORTON INC | COM | 324K | 2K | – |
| DANAHER CORPORATION | COM | 5M | 21K | – |
| DEERE & CO | COM | 767K | 2K | – |
| DEXCOM INC | COM | 235K | 2K | – |
| DIAMONDBACK ENERGY INC | COM | 261K | 1K | – |
| DIGITAL RLTY TR INC | COM | 233K | 2K | – |
| DISCOVER FINL SVCS | COM | 310K | 2K | – |
| DISNEY WALT CO | COM | 5M | 49K | – |
| DOLLAR GEN CORP NEW | COM | 206K | 2K | – |
| DOMINION ENERGY INC | COM | 2M | 35K | – |
| DOW INC | COM | 33M | 622K | – |
| DUKE ENERGY CORP NEW | COM NEW | 506K | 5K | – |
| DUKE ENERGY CORP NEW | NOTE 4.125% 4/1 | 6M | – | – |
| EATON CORP PLC | SHS | 1M | 4K | – |
| EATON VANCE LTD DURATION INC | COM | 312K | 32K | – |
| EATON VANCE TAX-MANAGED GLOB | COM | 984K | 116K | – |
| EBAY INC. | COM | 219K | 4K | – |
| ECOLAB INC | COM | 4M | 19K | – |
| EDWARDS LIFESCIENCES CORP | COM | 441K | 5K | – |
| ELECTRONIC ARTS INC | COM | 288K | 2K | – |
| ELEVANCE HEALTH INC | COM | 961K | 2K | – |
| ELI LILLY & CO | COM | 10M | 11K | – |
| EMERSON ELEC CO | COM | 498K | 5K | – |
| ENERGY TRANSFER L P | COM UT LTD PTN | 514K | 32K | – |
| ENPHASE ENERGY INC | NOTE 3/0 | 4M | – | – |
| ENTERPRISE PRODS PARTNERS L | COM | 308K | 11K | – |
| EOG RES INC | COM | 37M | 292K | – |
| EQUIFAX INC | COM | 206K | 848 | – |
| EQUINIX INC | COM | 424K | 561 | – |
| EQUITY RESIDENTIAL | SH BEN INT | 733K | 11K | – |
| EURONET WORLDWIDE INC | NOTE 0.750% 3/1 | 6M | – | – |
| EVERGY INC | COM | 2M | 34K | – |
| EXPEDIA GROUP INC | NOTE 2/1 | 6M | – | – |
| EXXON MOBIL CORP | COM | 38M | 331K | – |
| FASTENAL CO | COM | 260K | 4K | – |
| FEDEX CORP | COM | 531K | 2K | – |
| FIDELITY NATL INFORMATION SV | COM | 275K | 4K | – |
| FIFTH THIRD BANCORP | COM | 209K | 6K | – |
| FISERV INC | COM | 624K | 4K | – |
| FORD MTR CO DEL | COM | 308K | 25K | – |
| FORD MTR CO DEL | NOTE 3/1 | 6M | – | – |
| FORTINET INC | COM | 256K | 4K | – |
| FREEPORT-MCMORAN INC | CL B | 466K | 10K | – |
| GALLAGHER ARTHUR J & CO | COM | 347K | 1K | – |
| GE AEROSPACE | COM NEW | 954K | 6K | – |
| GE VERNOVA INC | COM | 231K | 1K | – |
| GENERAL DYNAMICS CORP | COM | 34M | 118K | – |
| GENERAL MLS INC | COM | 262K | 4K | – |
| GENERAL MTRS CO | COM | 354K | 8K | – |
| GENUINE PARTS CO | COM | 33M | 242K | – |
| GILEAD SCIENCES INC | COM | 38M | 560K | – |
| GLOBAL X FDS | US PFD ETF | 11M | 580K | – |
| GOLDMAN SACHS GROUP INC | COM | 1M | 2K | – |
| GRAINGER W W INC | COM | 293K | 325 | – |
| HALLIBURTON CO | COM | 226K | 7K | – |
| HANCOCK JOHN TAX-ADVANTAGED | COM | 227K | 11K | – |
| HCA HEALTHCARE INC | COM | 447K | 1K | – |
| HERSHEY CO | COM | 208K | 1K | – |
| HESS CORP | COM | 297K | 2K | – |
| HEWLETT PACKARD ENTERPRISE C | COM | 210K | 10K | – |
| HILTON WORLDWIDE HLDGS INC | COM | 288K | 1K | – |
| HOME DEPOT INC | COM | 39M | 114K | – |
| HONEYWELL INTL INC | COM | 1M | 5K | – |
| HP INC | COM | 34M | 986K | – |
| HUMANA INC | COM | 363K | 971 | – |
| IDEXX LABS INC | COM | 255K | 524 | – |
| ILLINOIS TOOL WKS INC | COM | 35M | 148K | – |
| INGERSOLL RAND INC | COM | 203K | 2K | – |
| INTEL CORP | COM | 824K | 27K | – |
| INTERCONTINENTAL EXCHANGE IN | COM | 5M | 36K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 829K | 5K | – |
| INTUIT | COM | 6M | 9K | – |
| INTUITIVE SURGICAL INC | COM NEW | 1M | 3K | – |
| INVESCO EXCH TRADED FD TR II | TAXABLE MUN BD | 12M | 470K | – |
| ISHARES INC | CORE MSCI EMKT | 7M | 138K | – |
| ISHARES TR | 0-5YR HI YL CP | 9M | 210K | – |
| ISHARES TR | CORE MSCI EAFE | 9M | 119K | – |
| ISHARES TR | CORE S&P MCP ETF | 19M | 331K | – |
| ISHARES TR | CORE S&P SCP ETF | 42M | 392K | – |
| ISHARES TR | CORE S&P500 ETF | 58M | 106K | – |
| ISHARES TR | EAFE GRWTH ETF | 1M | 12K | – |
| ISHARES TR | EAFE VALUE ETF | 1M | 22K | – |
| ISHARES TR | IBOXX HI YD ETF | 5M | 58K | – |
| ISHARES TR | IBOXX INV CP ETF | 27M | 250K | – |
| ISHARES TR | MBS ETF | 36M | 388K | – |
| ISHARES TR | MSCI EAFE ETF | 20M | 252K | – |
| ISHARES TR | MSCI EMG MKT ETF | 884K | 21K | – |
| ISHARES TR | PFD AND INCM SEC | 12M | 391K | – |
| ISHARES TR | RUS 1000 GRW ETF | 9M | 24K | – |
| ISHARES TR | RUS MD CP GR ETF | 7M | 66K | – |
| ISHARES TR | RUS MDCP VAL ETF | 7M | 59K | – |
| ISHARES TR | RUS MID CAP ETF | 12M | 143K | – |
| ISHARES TR | RUSSELL 2000 ETF | 13M | 65K | – |
| ISHARES TR | S&P 500 GRWT ETF | 7M | 79K | – |
| ISHARES TR | S&P 500 VAL ETF | 2M | 12K | – |
| ISHARES TR | S&P SML 600 GWT | 1M | 11K | – |
| ISHARES TR | SP SMCP600VL ETF | 1M | 13K | – |
| JAZZ INVESTMENTS I LTD | NOTE 2.000% 6/1 | 4M | – | – |
| JOHN BEAN TECHNOLOGIES CORP | NOTE 0.250% 5/1 | 4M | – | – |
| JOHNSON & JOHNSON | COM | 33M | 228K | – |
| JOHNSON CTLS INTL PLC | SHS | 314K | 5K | – |
| JPMORGAN CHASE & CO. | COM | 40M | 197K | – |
| KIMBERLY-CLARK CORP | COM | 36M | 263K | – |
| KINDER MORGAN INC DEL | COM | 351K | 18K | – |
| KLA CORP | COM NEW | 5M | 7K | – |
| KROGER CO | COM | 281K | 6K | – |
| L3HARRIS TECHNOLOGIES INC | COM | 281K | 1K | – |
| LAM RESEARCH CORP | COM | 6M | 5K | – |
| LENNAR CORP | CL A | 265K | 2K | – |
| LINDE PLC | SHS | 1M | 3K | – |
| LOCKHEED MARTIN CORP | COM | 36M | 76K | – |
| LOWES COS INC | COM | 1M | 5K | – |
| LUMENTUM HLDGS INC | NOTE 0.500%12/1 | 3M | – | – |
| MARATHON PETE CORP | COM | 680K | 4K | – |
| MARRIOTT INTL INC NEW | CL A | 462K | 2K | – |
| MARSH & MCLENNAN COS INC | COM | 5M | 22K | – |
| MASTERCARD INCORPORATED | CL A | 7M | 15K | – |
| MCDONALDS CORP | COM | 35M | 139K | – |
| MCKESSON CORP | COM | 669K | 1K | – |
| MEDTRONIC PLC | SHS | 1M | 15K | – |
| MERCK & CO INC | COM | 5M | 37K | – |
| META PLATFORMS INC | CL A | 12M | 23K | – |
| METLIFE INC | COM | 3M | 43K | – |
| MICROCHIP TECHNOLOGY INC. | COM | 326K | 4K | – |
| MICRON TECHNOLOGY INC | COM | 1M | 8K | – |
| MICROSOFT CORP | COM | 27M | 60K | – |
| MODERNA INC | COM | 252K | 2K | – |
| MONDELEZ INTL INC | CL A | 35M | 536K | – |
| MONOLITHIC PWR SYS INC | COM | 211K | 257 | – |
| MONSTER BEVERAGE CORP NEW | COM | 288K | 6K | – |
| MOODYS CORP | COM | 327K | 778 | – |
| MORGAN STANLEY | COM NEW | 35M | 365K | – |
| MOTOROLA SOLUTIONS INC | COM NEW | 335K | 869 | – |
| MSCI INC | COM | 231K | 479 | – |
| NETAPP INC | COM | 234K | 2K | – |
| NETFLIX INC | COM | 2M | 3K | – |
| NEWMONT CORP | COM | 219K | 5K | – |
| NEXTERA ENERGY INC | COM | 1M | 15K | – |
| NIKE INC | CL B | 4M | 52K | – |
| NORFOLK SOUTHN CORP | COM | 412K | 2K | – |
| NORTHROP GRUMMAN CORP | COM | 487K | 1K | – |
| NORTHWESTERN ENERGY GROUP IN | COM NEW | 4M | 77K | – |
| NUCOR CORP | COM | 345K | 2K | – |
| NUVEEN FLOATING RATE INCOME | COM | 467K | 54K | – |
| NUVEEN MUN VALUE FD INC | COM | 136K | 16K | – |
| NVENT ELECTRIC PLC | SHS | 296K | 4K | – |
| NVIDIA CORPORATION | COM | 26M | 207K | – |
| NXP SEMICONDUCTORS N V | COM | 478K | 2K | – |
| OCCIDENTAL PETE CORP | COM | 318K | 5K | – |
| OLD DOMINION FREIGHT LINE IN | COM | 206K | 1K | – |
| OMNICOM GROUP INC | COM | 32M | 363K | – |
| ON SEMICONDUCTOR CORP | NOTE 0.500% 3/0 | 4M | – | – |
| ONEOK INC NEW | COM | 884K | 11K | – |
| ORACLE CORP | COM | 2M | 12K | – |
| OREILLY AUTOMOTIVE INC | COM | 506K | 479 | – |
| OTIS WORLDWIDE CORP | COM | 222K | 2K | – |
| PACCAR INC | COM | 404K | 4K | – |
| PALO ALTO NETWORKS INC | COM | 512K | 2K | – |
| PARKER-HANNIFIN CORP | COM | 502K | 992 | – |
| PAYCHEX INC | COM | 35M | 294K | – |
| PAYPAL HLDGS INC | COM | 432K | 7K | – |
| PEPSICO INC | COM | 35M | 214K | – |
| PFIZER INC | COM | 2M | 79K | – |
| PHILIP MORRIS INTL INC | COM | 27M | 264K | – |
| PHILLIPS 66 | COM | 554K | 4K | – |
| PIMCO INCOME STRATEGY FD II | COM | 98K | 14K | – |
| PNC FINL SVCS GROUP INC | COM | 36M | 230K | – |
| PPG INDS INC | COM | 246K | 2K | – |
| PRICE T ROWE GROUP INC | COM | 214K | 2K | – |
| PRINCIPAL FINANCIAL GROUP IN | COM | 592K | 8K | – |
| PROCTER AND GAMBLE CO | COM | 38M | 230K | – |
| PROGRESSIVE CORP | COM | 5M | 22K | – |
| PROLOGIS INC. | COM | 1M | 11K | – |
| PRUDENTIAL FINL INC | COM | 329K | 3K | – |
| PUBLIC STORAGE OPER CO | COM | 810K | 3K | – |
| PUBLIC SVC ENTERPRISE GRP IN | COM | 274K | 4K | – |
| PULTE GROUP INC | COM | 239K | 2K | – |
| QUALCOMM INC | COM | 35M | 177K | – |
| QUANTA SVCS INC | COM | 262K | 1K | – |
| REGENERON PHARMACEUTICALS | COM | 667K | 635 | – |
| REPUBLIC SVCS INC | COM | 281K | 1K | – |
| ROCKWELL AUTOMATION INC | COM | 256K | 929 | – |
| ROPER TECHNOLOGIES INC | COM | 457K | 811 | – |
| ROSS STORES INC | COM | 381K | 3K | – |
| RTX CORPORATION | COM | 34M | 337K | – |
| S&P GLOBAL INC | COM | 839K | 2K | – |
| SALESFORCE INC | COM | 6M | 22K | – |
| SCHLUMBERGER LTD | COM STK | 390K | 8K | – |
| SCHWAB CHARLES CORP | COM | 5M | 68K | – |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | 14M | 139K | – |
| SCHWAB STRATEGIC TR | US LCAP VA ETF | 5M | 72K | – |
| SELECT SECTOR SPDR TR | RL EST SEL SEC | 326K | 9K | – |
| SEMPRA | COM | 318K | 4K | – |
| SERVICENOW INC | COM | 856K | 1K | – |
| SHERWIN WILLIAMS CO | COM | 479K | 2K | – |
| SIMON PPTY GROUP INC NEW | COM | 414K | 3K | – |
| SOUTHERN CO | COM | 578K | 7K | – |
| SOUTHERN CO | NOTE 3.875%12/1 | 6M | – | – |
| SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 5M | – | – |
| SPDR S&P 500 ETF TR | TR UNIT | 81M | 149K | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 24M | 45K | – |
| SPDR SER TR | PORTFOLIO LN COR | 3M | 124K | – |
| SSGA ACTIVE ETF TR | BLACKSTONE SENR | 27M | 641K | – |
| STARBUCKS CORP | COM | 33M | 430K | – |
| STARWOOD PPTY TR INC | NOTE 6.750% 7/1 | 4M | – | – |
| STRYKER CORPORATION | COM | 820K | 2K | – |
| SYNOPSYS INC | COM | 466K | 783 | – |
| SYSCO CORP | COM | 261K | 4K | – |
| TARGET CORP | COM | 35M | 235K | – |
| TE CONNECTIVITY LTD | SHS | 373K | 2K | – |
| TESLA INC | COM | 3M | 17K | – |
| TEXAS INSTRS INC | COM | 36M | 187K | – |
| THE CIGNA GROUP | COM | 692K | 2K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 6M | 10K | – |
| TJX COS INC NEW | COM | 5M | 49K | – |
| T-MOBILE US INC | COM | 524K | 3K | – |
| TRANE TECHNOLOGIES PLC | SHS | 593K | 2K | – |
| TRANSDIGM GROUP INC | COM | 350K | 274 | – |
| TRAVELERS COMPANIES INC | COM | 34M | 168K | – |
| TRUIST FINL CORP | COM | 303K | 8K | – |
| UBER TECHNOLOGIES INC | COM | 829K | 11K | – |
| UNION PAC CORP | COM | 36M | 157K | – |
| UNITED PARCEL SERVICE INC | CL B | 672K | 5K | – |
| UNITED RENTALS INC | COM | 331K | 512 | – |
| UNITEDHEALTH GROUP INC | COM | 40M | 78K | – |
| US BANCORP DEL | COM NEW | 397K | 10K | – |
| VALERO ENERGY CORP | COM | 464K | 3K | – |
| VANECK ETF TRUST | FALLEN ANGEL HG | 1M | 51K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 3M | 11K | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 3M | 40K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 21M | 43K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 2M | 9K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 13M | 49K | – |
| VANGUARD SCOTTSDALE FDS | LG-TERM COR BD | 863K | 11K | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 3M | 65K | – |
| VENTAS RLTY LTD PARTNERSHIP | NOTE 3.750% 6/0 | 4M | – | – |
| VERINT SYSTEMS INC | NOTE 0.250% 4/1 | 3M | – | – |
| VERISK ANALYTICS INC | COM | 201K | 744 | – |
| VERIZON COMMUNICATIONS INC | COM | 2M | 42K | – |
| VERTEX PHARMACEUTICALS INC | COM | 713K | 2K | – |
| VIATRIS INC | COM | 130K | 12K | – |
| VISA INC | COM CL A | 7M | 27K | – |
| VISHAY INTERTECHNOLOGY INC | NOTE 2.250% 6/1 | 3M | – | – |
| VULCAN MATLS CO | COM | 233K | 938 | – |
| WABTEC | COM | 201K | 1K | – |
| WALMART INC | COM | 6M | 91K | – |
| WARNER BROS DISCOVERY INC | COM SER A | 124K | 17K | – |
| WASTE MGMT INC DEL | COM | 4M | 21K | – |
| WEC ENERGY GROUP INC | COM | 1M | 13K | – |
| WELLS FARGO CO NEW | COM | 2M | 31K | – |
| WELLS FARGO CO NEW | PERP PFD CNV A | 7M | 6K | – |
| WELLTOWER INC | COM | 325K | 3K | – |
| WEYERHAEUSER CO MTN BE | COM NEW | 205K | 7K | – |
| WILLIAMS COS INC | COM | 915K | 22K | – |
| WISDOMTREE TR | EUROPE HEDGED EQ | 7M | 144K | – |
| XCEL ENERGY INC | COM | 209K | 4K | – |
| YUM BRANDS INC | COM | 317K | 2K | – |
| ZIFF DAVIS INC | NOTE 1.750%11/0 | 3M | 4M | – |
| ZOETIS INC | CL A | 536K | 3K | – |