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DUFF & PHELPS INVESTMENT MANAGEMENT CO.
CRD 107296File 801-14813
APPROVED
Filing as of Apr 17, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$12.75B
Top 10% of cohort (national)
Discretionary AUM
$12.75B
Clients
44
44 accounts
Employees
53
Top 25% of cohort in IL
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jul 2, 1979
- Principal office
- 10 S. WACKER DRIVE, 19TH FLOOR, CHICAGO, IL, 60606
- Phone
- 312-263-2610
- Website
- HTTP://WWW.DPIMC.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $12.75B
- Discretionary AUM
- $12.75B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 44
- Non-discretionary accounts
- 0
- Total accounts
- 44
- AUM per client
- $289.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 9 | $916.5M |
| Investment companies | 14 | $7.51B |
| Charitable organizations | 3 | $47.5M |
| Pooled investment vehicles | 6 | $1.48B |
| Pension and profit sharing plans | 7 | $2.09B |
| State or municipal government entities | 5 | $701.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 55 | 53 | decreased by2 |
| Apr 1, 2026 | Clients | 52 | 44 | decreased by8 |
| Apr 1, 2026 | AUM | $12,227,914,131 | $12,746,937,964 | increased by$519,023,833 |
| Apr 1, 2026 | Accounts | 52 | 44 | decreased by8 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 48 | 55 | increased by7 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 57 | 52 | decreased by5 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $12,231,648,111 | $12,227,914,131 | decreased by$3,733,980 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 57 | 52 | decreased by5 |
| Apr 1, 2022 | Clients | 59 | 57 | decreased by2 |
| Apr 1, 2022 | AUM | $10,647,446,560 | $12,231,648,111 | increased by$1,584,201,551 |
| Apr 1, 2022 | Accounts | 59 | 57 | decreased by2 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “DUFF PHELPS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“DUFF PHELPS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.