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CONNING, INC.
CRD 107423File 801-18641
APPROVED
Filing as of Mar 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$106.90B
Top 10% of cohort (national)
Discretionary AUM
$106.62B
Non-discretionary $272.1M
Clients
161
819 accounts
Employees
270
Top 10% of cohort in CT
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Mar 21, 1983
- Principal office
- ONE FINANCIAL PLAZA, 755 MAIN STREET, HARTFORD, CT, 06103
- Phone
- 860-299-2000
- Website
- HTTP://WWW.CONNING.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $106.90B
- Discretionary AUM
- $106.62B
- Non-discretionary AUM
- $272.1M
- Discretionary accounts
- 813
- Non-discretionary accounts
- 6
- Total accounts
- 819
- AUM per client
- $664.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 9 | $538.7M |
| Insurance companies | 121 | $94.28B |
| Charitable organizations | Fewer than 5 | $100.4M |
| Pooled investment vehicles | 8 | $1.87B |
| Pension and profit sharing plans | 6 | $147.8M |
| State or municipal government entities | 17 | $9.85B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Hourly charges
- Other (described) — NEGOTIATED FEES
- Subscription fees
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Publications
- Other advisory activities
- Portfolio management for businesses
- 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 | Clients | 158 | 161 | increased by3 |
| Apr 1, 2026 | AUM | $99,533,233,234 | $106,897,084,097 | increased by$7,363,850,863 |
| Apr 1, 2026 | Accounts | 536 | 819 | increased by283 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 263 | 270 | increased by7 |
| May 1, 2025 vs Oct 1, 2022 | Disclosures | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 159 | 158 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $110,321,940,668 | $99,533,233,234 | decreased by$10,788,707,434 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 543 | 536 | decreased by7 |
| Apr 1, 2022 | Employees | 260 | 263 | increased by3 |
| Apr 1, 2022 | Clients | 161 | 159 | decreased by2 |
| Apr 1, 2022 | AUM | $107,965,083,454 | $110,321,940,668 | increased by$2,356,857,214 |
| Apr 1, 2022 | Accounts | 557 | 543 | decreased by14 |
| 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 “CONNING” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CONNING” 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.