CONNING INVESTMENT PRODUCTS, INC.
Adviser information for CONNING INVESTMENT PRODUCTS, 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 | Delaware, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 1 |
| 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 | 3 | $486.5M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $486.5M |
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 | 0 | $0 |
| 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 | <5 | $478.8M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $7.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 100 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-79816 |
|---|---|
| SEC ERA File Number | 801-79816 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 120387 |
| Legal Entity Identifier | None |
Principal Office
ONE FINANCIAL PLAZAHARTFORD
CT
United States
Monday - Friday, 8:00AM - 4:45PM
Tel: 860-299-2000, Fax: 860-299-2480
Chief Compliance Officer
ROBERT S. PEARCE
CHIEF COMPLIANCE OFFICER
ONE FINANCIAL PLAZA
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 (UK) LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CONNING, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| GLOBAL EVOLUTION FONDSM�GLERSELSKAB 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 planners |
| 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 | 01/2004 | > 75% |
| PEARCE, ROBERT STEDMAN | Individual | – | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 11/2005 | < 5% |
| GEORGE, KENNETH RONALD | Individual | – | FINOP | 01/2006 | < 5% |
| BRADFORD, LINWOOD EARLE JR | Individual | – | CHIEF EXECUTIVE OFFICER & HEAD OF SALES | 09/2010 | < 5% |
| LEE, JUNG WON | Individual | – | MANAGING DIRECTOR, CFO | 01/2011 | < 5% |
| SMALLEY, VI (VIOLA) R. | Individual | – | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | 01/2011 | < 5% |
| 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% |
| CONNING HOLDINGS LIMITED | Foreign Entity | CONNING U.S. HOLDINGS, INC. | SHAREHOLDER | 09/2015 | > 75% |
| CONNING U.S. HOLDINGS, INC. | Domestic Entity | CONNING HOLDINGS CORP. | SHAREHOLDER | 09/2015 | > 75% |
| CONNING HOLDINGS CORP | Domestic Entity | CONNING & COMPANY | SHAREHOLDER | 10/2009 | > 75% |