Conning, Inc.

Registered investment adviser · Hartford, CT · CRD #107423

Form ADV data as of 2026-09-01

Regulatory assets

$106.90 billion

Total accounts

819

Employees

270

Disclosure events

Firm details

Website: http://www.conning.com
Telephone: 860-299-2000
SEC file number: 801-18641
Most recent Form ADV filing: 2026-03-30
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$106.62 billion
Non-discretionary regulatory assets under management	$272.1 million
Total regulatory assets under management	$106.90 billion
Discretionary accounts	813
Non-discretionary accounts	6
Total accounts	819
Regulatory assets under management attributable to non-U.S. persons	$45.57 billion

People

Total employees (excluding clerical)	270
Employees performing investment advisory functions (including research)	240
Employees who are registered representatives of a broker-dealer	10
Employees registered as investment adviser representatives with a state	1
Employees registered as IARs for another investment adviser	1
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	4

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementHourly chargesSubscription fees (for a newsletter or periodical)Fixed fees (other than subscription fees)Performance-based feesOther

Advisory services offered

Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPublication of periodicals or newslettersOther

Other business activities

Commodity pool operator or commodity trading advisor

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Commodity pool operator or commodity trading advisorInsurance company or agencyReal estate broker or dealerSponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Recommends brokers or dealers to clients
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Pooled investment vehicles (other than investment companies and BDCs)	8	$1.87 billion
Pension and profit sharing plans (not the participants or government plans)	6	$147.8 million
Charitable organizations	Not reported	$100.4 million
State or municipal government entities (including government pension plans)	17	$9.85 billion
Insurance companies	121	$94.28 billion
Corporations or other businesses not listed above	9	$538.7 million
Other	Not reported	$111.6 million