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CONNING, INC.
CONNING, INC. (CRD# 107423) is an SEC-Registered Investment Advisor (RIA), headquartered in Hartford, CT. The SEC approved the firm to operate as an RIA in Mar 1983. In Mar 2019, the firm reported total Regulatory Assets Under Management (RAUM) of $74.2 Billion, with discretion over 98% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 24% .  
 
CONNING, INC. also reported in Mar 2019
  • 260 employees, with 230 performing advisory functions.
  • A total of 2 office locations.
  • Registration with one or more foreign financial regulatory authorities.
  • Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
CONNING, INC. has one or more disclosure events currently on file with the SEC.
 

View CONNING, INC.'s most recent Form ADV filing
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CONNING, INC. has Notice Filings with the following State Securities Authorities: CT-Jul 1997, LA-Sep 2005, NY-Jun 2014, OH-Jan 2017


Disclaimer: 
The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel free to contact FindingFraud.org with questions or concerns.


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