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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

GOODWIN CAPITAL ADVISERS, INC.

CRD 108290

HARTFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:64711941-d3d5-b48c-e43c-7c1da23f40ce

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 6
On other graphs: 0
Observed: Dec 2, 2011 to Mar 30, 2026
42 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.09 institutional_share=0.91 related_bd=true related_bank=true bd_reps=5.0
Regulatory AUM: $987MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $987M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 5
Individual clients: 0
High net worth clients: 0
SEC number: 801-8177
CRD: 108290
Filings on the tape: 42
First filed: Dec 2, 2011
Latest filed: Mar 30, 2026
Organised: Corporation, NY
Website: conning.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ASSICURAZIONI GENERALI S.P.A	Shareholder	E	yes	04/2024	Apr 16, 2024	May 6, 2024
BRADFORD, LINWOOD, EARLE	CHIEF EXECUTIVE OFFICER & CHAIR OF THE BOARD	Na	yes	11/2011	Dec 2, 2011	May 6, 2024
CONNING & COMPANY	Owner	E	yes	11/2011	Dec 2, 2011	May 6, 2024
CONNING HOLDINGS CORP	Shareholder	E	yes	10/2009	Dec 2, 2011	May 6, 2024
CONNING HOLDINGS LIMITED	Shareholder	E	yes	09/2015	Sep 22, 2015	May 6, 2024
CONNING U.S. HOLDINGS, INC.	Shareholder	E	yes	09/2015	Sep 22, 2015	May 6, 2024
DALY, MATTHEW, KENNETH	HEAD OF CONNING NORTH AMERICA	Na	yes	10/2023	Oct 2, 2023	May 6, 2024
GENERALI INVESTMENTS HOLDING S.P.A	Shareholder	E	yes	04/2024	Apr 16, 2024	May 6, 2024
LEE, JUNG, WON	CHIEF FINANCIAL OFFICER	Na	yes	11/2011	Dec 2, 2011	May 6, 2024
PEARCE, ROBERT, STEDMAN	CHIEF COMPLIANCE OFFICER	Na	yes	11/2011	Dec 2, 2011	May 6, 2024
SMALLEY, VI (VIOLA), R.	CHIEF LEGAL OFFICER\CORPORATE SECRETARY	Na	yes	01/2011	Dec 2, 2011	May 6, 2024
BEAULIEU, CYNTHIA, ANNE	MANAGING DIRECTOR, SR. PORTFOLIO MANAGER & CIO NORTH AMERICA	Na	no	01/2007	Dec 2, 2011	May 6, 2024
RYAN, LYNN, MARIE	MANAGING DIRECTOR, SR. PORTFOLIO MANAGER	Na	no	01/2007	Dec 2, 2011	May 6, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CONNING, INC.	n/a	Institutional manager	$107B	Y	yes	n/a
OCTAGON CREDIT INVESTORS, LLC	n/a	Asset manager	$35B	N	yes	n/a
PREP INVESTMENT ADVISERS, L.L.C.	n/a	Asset manager	$1.9B	N	yes	n/a
GLOBAL EVOLUTION USA, LLC	n/a	Asset manager	$1.2B	N	yes	n/a
CONNING INVESTMENT PRODUCTS, INC.	n/a	Institutional manager	$572M	N	yes	n/a
CONNING ASIA PACIFIC LIMITED (HONG KONG)	n/a	n/a	n/a	N	yes	n/a
CONNING ASSET MANAGEMENT LTD. (UK)	n/a	n/a	n/a	N	yes	n/a
GLOBAL EVOLUTION ASSET MANAGEMENT A/S	n/a	n/a	n/a	N	yes	n/a
GLOBAL EVOLUTION FUND MANAGEMENT SINGAPORE, PTE. LTD.	n/a	n/a	n/a	N	no	n/a
GLOBAL EVOLUTION MANCO SA	n/a	n/a	n/a	N	yes	n/a
OCTAGON CREDIT OPPORTUNITIES GP, LLC	n/a	n/a	n/a	N	yes	n/a
OCTAGON FUNDS GP III LLC	n/a	n/a	n/a	Y	yes	n/a
OCTAGON FUNDS GP LLC	n/a	n/a	n/a	N	yes	n/a
OCTAGON FUNDS II GP, LLC	n/a	n/a	n/a	N	yes	n/a
PEARLMARK MEZZANINE REALTY PARTNERS GP IV, L.L.C.	n/a	n/a	n/a	N	yes	n/a
PEARLMARK MEZZANINE REALTY PARTNERS GP V, L.L.C.	n/a	n/a	n/a	N	yes	n/a
PEARLMARK REAL ESTATE SERVICES, L.L.C.	n/a	n/a	n/a	N	yes	n/a
PEARLMARK REAL ESTATE, L.L.C.	n/a	n/a	n/a	N	yes	n/a
PEP GP I, L.L.C.	n/a	n/a	n/a	N	yes	n/a
PEP GP II, L.L.C.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$987M	$987M	9	4	0	n/a	n/a
2024	Mar 28, 2025	$870M	$870M	9	4	0	n/a	n/a
2023	Mar 26, 2024	$1.0B	$1.0B	9	4	0	n/a	n/a
2022	Mar 29, 2023	$1.1B	$1.1B	9	4	0	n/a	n/a
2021	Mar 28, 2022	$2.3B	$2.3B	9	4	0	n/a	n/a
2020	Mar 25, 2021	$2.2B	$2.2B	9	4	0	n/a	n/a
2019	Mar 26, 2020	$2.0B	$2.0B	9	4	0	n/a	n/a
2018	Mar 26, 2019	$893M	$893M	9	4	0	n/a	n/a
2017	Mar 27, 2018	$1.0B	$1.0B	11	5	0	n/a	n/a
2016	Mar 30, 2017	$1.1B	$1.1B	10	10	n/a	n/a	n/a
2015	Mar 17, 2016	$1.3B	$1.3B	10	10	n/a	n/a	n/a
2014	Mar 31, 2015	$1.3B	$1.3B	10	10	n/a	n/a	n/a
2013	Mar 5, 2014	$1.2B	$1.2B	10	10	n/a	n/a	n/a
2012	Mar 18, 2013	$1.2B	$1.2B	10	10	n/a	n/a	n/a
2011	Mar 26, 2012	$1.2B	$1.2B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$987M	$870M	13.4%	$1.1B	-3.2%	9	9	0	0

Relationships

Affiliated with (9)

← PREP INVESTMENT ADVISERS, L.L.C.Registered adviserother investment adviser, bank, common control
factForm ADV
→ CONNING, INC.Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ CONNING INVESTMENT PRODUCTS, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ OCTAGON CREDIT INVESTORS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ GLOBAL EVOLUTION USA, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ PREP INVESTMENT ADVISERS, L.L.C.Registered adviserother investment adviser, common control
factForm ADV
← CONNING, INC.Registered adviserother investment adviser, common control
factForm ADV
← CONNING INVESTMENT PRODUCTS, INC.Registered adviserother investment adviser, common control
factForm ADV
← OCTAGON CREDIT INVESTORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (10)

← PEARCE, ROBERT, STEDMANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 2, 2011 to May 6, 2024factForm ADV
← DALY, MATTHEW, KENNETHOwnerHEAD OF CONNING NORTH AMERICA, ownership code NA, individual
Oct 2, 2023 to May 6, 2024factForm ADV
← LEE, JUNG, WONOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Dec 2, 2011 to May 6, 2024factForm ADV
← BRADFORD, LINWOOD, EARLEOwnerCHIEF EXECUTIVE OFFICER & CHAIR OF THE BOARD, ownership code NA, individual
Dec 2, 2011 to May 6, 2024factForm ADV
← SMALLEY, VI (VIOLA), R.OwnerCHIEF LEGAL OFFICER\CORPORATE SECRETARY, ownership code NA, individual
Dec 2, 2011 to May 6, 2024factForm ADV
← ASSICURAZIONI GENERALI S.P.AOwnerSHAREHOLDER, ownership code E, foreign entity
Apr 16, 2024 to May 6, 2024factForm ADV
← CONNING & COMPANYOwnerOWNER, ownership code E, domestic entity
Dec 2, 2011 to May 6, 2024factForm ADV
← CONNING HOLDINGS LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Sep 22, 2015 to May 6, 2024factForm ADV
← CONNING U.S. HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Sep 22, 2015 to May 6, 2024factForm ADV
← GENERALI INVESTMENTS HOLDING S.P.AOwnerSHAREHOLDER, ownership code E, foreign entity
Apr 16, 2024 to May 6, 2024factForm ADV

Owns (2)

← RYAN, LYNN, MARIEOwnerMANAGING DIRECTOR, SR. PORTFOLIO MANAGER, ownership code NA, individual
Dec 2, 2011 to May 6, 2024factForm ADV
← BEAULIEU, CYNTHIA, ANNEOwnerMANAGING DIRECTOR, SR. PORTFOLIO MANAGER & CIO NORTH AMERICA, ownership code NA, individual
Dec 2, 2011 to May 6, 2024factForm ADV

Registered with (1)

← LARRY RICHARD CHRISTENSONAdvisorregistration: previous registration
Apr 2, 2002 to Apr 26, 2004factForm ADV

Dated events

Occurred
Oct 2, 2023
Control person left
Louis Richard Sega (President And Global Chief Investment Strategist) no longer on Schedule A of Goodwin Capital Advisers, Inc. (listed 2023-08-04, absent 2023-10-02)
Form ADVobserved 3 days ago
Occurred
Oct 2, 2023
Control person left
Edward Michael Haylon (Head Of Conning North America) no longer on Schedule A of Goodwin Capital Advisers, Inc. (listed 2023-08-04, absent 2023-10-02)
Form ADVobserved 3 days ago
Occurred
Oct 2, 2023
Control person joined
Kenneth Matthew Daly (Head Of Conning North America) appeared on Schedule A of Goodwin Capital Advisers, Inc.
Form ADVobserved 3 days ago
Occurred
Sep 20, 2022
Regulatory AUM changed
Goodwin Capital Advisers, Inc. reported RAUM $1.0B, down 55% from $2.3B (2022-03-28 to 2022-09-20)
Form ADVobserved 3 days ago
$-1.3B
Occurred
Mar 26, 2020
Regulatory AUM changed
Goodwin Capital Advisers, Inc. reported RAUM $2.0B, up 128% from $892.7M (2019-03-26 to 2020-03-26)
Form ADVobserved 3 days ago
$1.1B
Occurred
Mar 26, 2019
Control person joined
Edward Michael Haylon (Head Of Conning North America) appeared on Schedule A of Goodwin Capital Advisers, Inc.
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:64711941-d3d5-b48c-e43c-7c1da23f40ce
First observed: Dec 2, 2011
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

GOODWIN CAPITAL ADVISERS, INC.

CRD 108290

HARTFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:64711941-d3d5-b48c-e43c-7c1da23f40ce

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:53 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ASSICURAZIONI GENERALI S.P.A

Shareholder

yes

04/2024

Apr 16, 2024

May 6, 2024

BRADFORD, LINWOOD, EARLE

CHIEF EXECUTIVE OFFICER & CHAIR OF THE BOARD

yes

11/2011

Dec 2, 2011

May 6, 2024

CONNING & COMPANY

Owner

yes

11/2011

Dec 2, 2011

May 6, 2024

CONNING HOLDINGS CORP

Shareholder

yes

10/2009

Dec 2, 2011

May 6, 2024

CONNING HOLDINGS LIMITED

Shareholder

yes

09/2015

Sep 22, 2015

May 6, 2024

CONNING U.S. HOLDINGS, INC.

Shareholder

yes

09/2015

Sep 22, 2015

May 6, 2024

DALY, MATTHEW, KENNETH

HEAD OF CONNING NORTH AMERICA

yes

10/2023

Oct 2, 2023

May 6, 2024

GENERALI INVESTMENTS HOLDING S.P.A

Shareholder

yes

04/2024

Apr 16, 2024

May 6, 2024

LEE, JUNG, WON

CHIEF FINANCIAL OFFICER

yes

11/2011

Dec 2, 2011

May 6, 2024

PEARCE, ROBERT, STEDMAN

CHIEF COMPLIANCE OFFICER

yes

11/2011

Dec 2, 2011

May 6, 2024

SMALLEY, VI (VIOLA), R.

CHIEF LEGAL OFFICER\CORPORATE SECRETARY

yes

01/2011

Dec 2, 2011

May 6, 2024

BEAULIEU, CYNTHIA, ANNE

MANAGING DIRECTOR, SR. PORTFOLIO MANAGER & CIO NORTH AMERICA

01/2007

Dec 2, 2011

May 6, 2024

RYAN, LYNN, MARIE

MANAGING DIRECTOR, SR. PORTFOLIO MANAGER

01/2007

Dec 2, 2011

May 6, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CONNING, INC.

n/a

Institutional manager

$107B

yes

n/a

OCTAGON CREDIT INVESTORS, LLC

n/a

Asset manager

$35B

yes

n/a

PREP INVESTMENT ADVISERS, L.L.C.

n/a

Asset manager

$1.9B

yes

n/a

GLOBAL EVOLUTION USA, LLC

n/a

Asset manager

$1.2B

yes

n/a

CONNING INVESTMENT PRODUCTS, INC.

n/a

Institutional manager

$572M

yes

n/a

CONNING ASIA PACIFIC LIMITED (HONG KONG)

n/a

yes

n/a

CONNING ASSET MANAGEMENT LTD. (UK)

n/a

yes

n/a

GLOBAL EVOLUTION ASSET MANAGEMENT A/S

n/a

yes

n/a

GLOBAL EVOLUTION FUND MANAGEMENT SINGAPORE, PTE. LTD.

n/a

GLOBAL EVOLUTION MANCO SA

n/a

yes

n/a

OCTAGON CREDIT OPPORTUNITIES GP, LLC

n/a

yes

n/a

OCTAGON FUNDS GP III LLC

n/a

yes

n/a

OCTAGON FUNDS GP LLC

n/a

yes

n/a

OCTAGON FUNDS II GP, LLC

n/a

yes

n/a

PEARLMARK MEZZANINE REALTY PARTNERS GP IV, L.L.C.

n/a

yes

n/a

PEARLMARK MEZZANINE REALTY PARTNERS GP V, L.L.C.

n/a

yes

n/a

PEARLMARK REAL ESTATE SERVICES, L.L.C.

n/a

yes

n/a

PEARLMARK REAL ESTATE, L.L.C.

n/a

yes

n/a

PEP GP I, L.L.C.

n/a

yes

n/a

PEP GP II, L.L.C.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$987M

n/a

2024

Mar 28, 2025

$870M

n/a

2023

Mar 26, 2024

$1.0B

n/a

2022

Mar 29, 2023

$1.1B

n/a

2021

Mar 28, 2022

$2.3B

n/a

2020

Mar 25, 2021

$2.2B

n/a

2019

Mar 26, 2020

$2.0B

n/a

2018

Mar 26, 2019

$893M

n/a

2017

Mar 27, 2018

$1.0B

n/a

2016

Mar 30, 2017

$1.1B

n/a

2015

Mar 17, 2016

$1.3B

n/a

2014

Mar 31, 2015

$1.3B

n/a

2013

Mar 5, 2014

$1.2B

n/a

2012

Mar 18, 2013

$1.2B

n/a

2011

Mar 26, 2012

$1.2B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$987M

$870M

13.4%

$1.1B

-3.2%