Conning, Inc.
- Regulatory AUM
- $107B
- Discretionary
- $107B
- Clients
- 161
- Avg AUM / client
- $664M
- Accounts
- 819
- Employees
- 270
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Asset allocation (SMA assets by investment type)
as of Mar 30, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 8 | $1.9B | 1.75% |
| Pension and profit sharing plans | 6 | $148M | 0.14% |
| Charitable organizations | Fewer than 5 clients | $100M | 0.09% |
| State or municipal government entities | 17 | $9.9B | 9.22% |
| Insurance companies | 121 | $94.3B | 88.2% |
| Corporations and other businesses | 9 | $539M | 0.5% |
| Other | Fewer than 5 clients | $112M | 0.1% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| The Albany Medical Center Retirement Plan Albany Med Health System | 2024 | |
| Federated Mutual Retirement Plan Federated Mutual Insurance Company | 2024 | |
| Retirement Income Plan Of The Conference Board, Inc. United States Staff Members The Conference Board, Inc. | 2021 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Robert Stedman Pearce | Managing Director, Chief Compliance Officer | Nov 2005 (21y) | Less than 5% | |
| Lee, Jung, Won | Managing Director, Chief Financial Officer | Jan 2011 (16y) | Less than 5% | |
| Smalley, Vi (Viola), R. | Managing Director, Chief Legal Officer/Corporate Secretary | Jan 2011 (16y) | Less than 5% | |
| Bradford, Linwood, Earle | Chief Executive Officer & Chair Of The Board | Jan 2012 (15y) | Less than 5% | |
| Beaulieu, Cynthia, Anne | Managing Director, Portfolio Manager And Cio Conning North America | Oct 2023 (3y) | Less than 5% | |
| Daly, Matthew, Kenneth | Managing Director Head Of Conning North America | Oct 2023 (3y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Conning & Company | Shareholder | Jul 1996 | A | 75% or more |
| Conning Holdings Corp | Shareholder | Oct 2009 | B | ≈ 56.25% – 100% via Conning & Company |
| Conning U.S. Holdings, Inc. | Shareholder | Sep 2015 | B | 75% or more of Conning Holdings Corp. (indirect) |
| Conning Holdings Limited | Shareholder | Sep 2015 | B | 75% or more of Conning U.S. Holdings, Inc. (indirect) |
| Generali Investments Holding S.P.A | Shareholder | Apr 2024 | B | 75% or more of Conning Holdings Limited (indirect) |
| Assicurazioni Generali S.P.A | Shareholder | Apr 2024 | B | 75% or more of Generali Investments Holding S.P.A (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Conning Holdings Corp: 75% – 100% of Conning & Company × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| The Albany Medical Center Retirement Plan | Albany Med Health System | 7,970 | $290M | 01/01/2024 |
| Federated Mutual Retirement Plan | Federated Mutual Insurance Company | 2,699 | $789M | 01/01/2024 |
| Retirement Income Plan Of The Conference Board, Inc. United States Staff Members | The Conference Board, Inc. | 0 | $445K | 07/01/2021 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 2.17 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Subscription fees
- • Fixed fees
- • Performance-based fees
- • Other fees
- • NEGOTIATED FEES
Services
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Publication of periodicals or newsletters
- • Other services
Custody
Reported custodians
- J.P. Morgan $31.8B (30% of AUM) Mar 2026
- State Street $20.4B (19% of AUM) Mar 2026
- Northern Trust $11.0B (10% of AUM) Mar 2026
- BNY Mellon $10.2B (10% of AUM) Apr 2020
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗