Conning Investment Products, Inc.
- Regulatory AUM
- $572M
- Discretionary
- $572M
- Clients
- 0
- Avg AUM / client
- —
- Accounts
- 9
- Employees
- 8
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Insurance companies | 0 | $564M | 98.6% |
| Corporations and other businesses | 0 | $8.0M | 1.4% |
People (7)
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% | |
| George, Kenneth Ronald | Finop | Jan 2006 (21y) | Less than 5% | |
| Bradford, Linwood, Earle | Chief Executive Officer & Head Of Sales | Sep 2010 (16y) | Less than 5% | |
| Lee, Jung, Won | Managing Director, Cfo | Jan 2011 (16y) | Less than 5% | |
| Smalley, Vi (Viola), R. | Chief Legal Counsel/Corporate Secretary | Jan 2011 (16y) | Less than 5% | |
| Daly, Matthew, Kenneth | Head Of Conning North America | Oct 2023 (3y) | Less than 5% | |
| David Andrew Capozza | Registered representative | Jul 2023 (3y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Conning & Company | Shareholder | Jan 2004 | A | 75% or more |
| Conning Holdings Limited | Shareholder | Sep 2015 | B | 75% or more of Conning U.S. Holdings, Inc. (indirect) |
| Conning U.S. Holdings, Inc. | Shareholder | Sep 2015 | B | 75% or more of Conning Holdings Corp. (indirect) |
| Conning Holdings Corp | Shareholder | Oct 2009 | B | ≈ 56.25% – 100% via Conning & Company |
| Generali Investments Holding S.P.A | Shareholder | Apr 2024 | B | 75% or more of Conning Holding Limited (indirect) |
| Assicurazioni Generali S.P.A | Shareholder | Apr 2024 | B | 75% or more of Generali Investment 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 2.22 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: REGISTERED REPRESENTATIVE OF THE FIRM EFFECTED SECURITIES TRADES WHILE ON INACTIVE STATUS DUE TO FAILURE TO COMPLETE THE NASD REQUIRED REGULATORY ELEMENT CONTINUING EDUCATION. Status: Final Sanction Detail: FINED $3,500. AGAINST CONTROL AFFILIATE. PAID AUGUST 2002. Summary: REGISTERED REPRESENTATIVE OF THE FIRM EFFECTED SECURITIES TRADES WHILE ON INACTIVE STATUS DUE TO FAILURE TO COMPLETE THE NASD REQUIRED REGULATORY ELEMENT CONTINUING EDUCATION. FINED $3,500.00
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Royal Bank Of Canada $323M (56% of AUM) Mar 2026
- BNY Mellon $229M (40% of AUM) Mar 2026
- State Street $63.7M (12% of AUM) Mar 2021
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) ↗