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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM over $100B

CONNING, INC.

CRD 107423

HARTFORD, CT

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Search this name across graphsid dfx:ria:67f954a4-2cbf-566c-9263-d7a828ada0a3

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 5
On other graphs: 0
Observed: Jan 10, 2012 to Mar 30, 2026
51 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=0.02 institutional_share=0.98 related_bd=true related_bank=true bd_reps=10.0
Regulatory AUM: $107BItem 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: $107B
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: 1
RAUM per advisor: $107Bderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 270
Advisory employees: 240
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 819
Individual clients: 0
High net worth clients: 0
SEC number: 801-18641
CRD: 107423
Filings on the tape: 51
First filed: Jan 10, 2012
Latest filed: Mar 30, 2026
Organised: Corporation, MO
Website: conning.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ROBERT STEDMAN PEARCE	n/a	HARTFORD, CT	16	36	1	yes

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
BEAULIEU, CYNTHIA, ANNE	MANAGING DIRECTOR, PORTFOLIO MANAGER AND CIO CONNING NORTH AMERICA	Na	yes	10/2023	Oct 2, 2023	May 6, 2024
BRADFORD, LINWOOD, EARLE	CHIEF EXECUTIVE OFFICER & CHAIR OF THE BOARD	Na	yes	01/2012	Jan 10, 2012	May 6, 2024
CONNING & COMPANY	Shareholder	E	yes	07/1996	Jan 10, 2012	May 6, 2024
CONNING HOLDINGS CORP	Shareholder	E	yes	10/2009	Jan 10, 2012	May 6, 2024
CONNING HOLDINGS LIMITED	Shareholder	E	yes	09/2015	Sep 23, 2015	May 6, 2024
CONNING U.S. HOLDINGS, INC.	Shareholder	E	yes	09/2015	Sep 23, 2015	May 6, 2024
DALY, MATTHEW, KENNETH	MANAGING DIRECTOR 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	MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER	Na	yes	01/2011	Jan 10, 2012	May 6, 2024
PEARCE, ROBERT, STEDMAN	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	Na	yes	11/2005	Jan 10, 2012	May 6, 2024
SMALLEY, VI (VIOLA), R.	MANAGING DIRECTOR, CHIEF LEGAL OFFICER/CORPORATE SECRETARY	Na	yes	01/2011	Jan 10, 2012	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
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
GOODWIN CAPITAL ADVISERS, INC.	n/a	Institutional manager	$987M	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	yes	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	N	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

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	7	yes

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	$107B	$107B	270	240	1	n/a	n/a
2024	Mar 28, 2025	$100B	$99B	270	240	1	n/a	n/a
2023	Mar 26, 2024	$100B	$99B	270	240	1	n/a	n/a
2022	Mar 30, 2023	$95B	$93B	270	240	1	n/a	n/a
2021	Mar 29, 2022	$110B	$109B	263	230	1	n/a	n/a
2020	Mar 29, 2021	$108B	$106B	260	230	1	n/a	n/a
2019	Mar 26, 2020	$102B	$100B	260	230	1	n/a	n/a
2018	Mar 29, 2019	$74B	$73B	260	230	1	n/a	n/a
2017	Mar 29, 2018	$77B	$75B	260	230	1	n/a	n/a
2016	Mar 30, 2017	$72B	$71B	270	230	n/a	n/a	n/a
2015	Mar 29, 2016	$79B	$78B	248	248	n/a	n/a	n/a
2014	Mar 31, 2015	$83B	$82B	238	238	n/a	n/a	n/a
2013	Mar 5, 2014	$73B	$72B	240	240	n/a	n/a	n/a
2012	Mar 18, 2013	$77B	$77B	240	240	n/a	n/a	n/a
2011	Mar 26, 2012	$85B	$84B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$107B	$100B	7.4%	$95B	4.1%	270	270	1	1

Relationships

Affiliated with (10)

← GLOBAL EVOLUTION USA, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← PREP INVESTMENT ADVISERS, L.L.C.Registered adviserother investment adviser, bank, common control
factForm ADV
→ GOODWIN CAPITAL ADVISERS, INC.Registered adviserother investment adviser, 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
← GOODWIN CAPITAL ADVISERS, INC.Registered adviserother investment adviser, bank, control, common control
factForm ADV
← CONNING INVESTMENT PRODUCTS, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
← OCTAGON CREDIT INVESTORS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV

Registered with (1)

← ROBERT STEDMAN PEARCEAdvisorregistration: current employment
Nov 12, 2009 to presentfactForm ADV

Controls (11)

← PEARCE, ROBERT, STEDMANOwnerMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 10, 2012 to May 6, 2024factForm ADV
← DALY, MATTHEW, KENNETHOwnerMANAGING DIRECTOR HEAD OF CONNING NORTH AMERICA, ownership code NA, individual
Oct 2, 2023 to May 6, 2024factForm ADV
← LEE, JUNG, WONOwnerMANAGING DIRECTOR, CHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 10, 2012 to May 6, 2024factForm ADV
← BRADFORD, LINWOOD, EARLEOwnerCHIEF EXECUTIVE OFFICER & CHAIR OF THE BOARD, ownership code NA, individual
Jan 10, 2012 to May 6, 2024factForm ADV
← BEAULIEU, CYNTHIA, ANNEOwnerMANAGING DIRECTOR, PORTFOLIO MANAGER AND CIO CONNING NORTH AMERICA, ownership code NA, individual
Oct 2, 2023 to May 6, 2024factForm ADV
← SMALLEY, VI (VIOLA), R.OwnerMANAGING DIRECTOR, CHIEF LEGAL OFFICER/CORPORATE SECRETARY, ownership code NA, individual
Jan 10, 2012 to May 6, 2024factForm ADV
← ASSICURAZIONI GENERALI S.P.AOwnerSHAREHOLDER, ownership code E, foreign entity
Apr 16, 2024 to May 6, 2024factForm ADV
← CONNING & COMPANYOwnerSHAREHOLDER, ownership code E, domestic entity
Jan 10, 2012 to May 6, 2024factForm ADV
← CONNING HOLDINGS LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Sep 23, 2015 to May 6, 2024factForm ADV
← CONNING U.S. HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Sep 23, 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

Dated events

Occurred
Oct 2, 2023
Control person left
Louis Richard Sega (Managing Director, Global Chief Investment Strategist) no longer on Schedule A of Conning, Inc. (listed 2023-08-04, absent 2023-10-02)
Form ADVobserved 4 days ago
Occurred
Oct 2, 2023
Control person left
Edward Michael Haylon (Managing Director, Head Of Conning North America) no longer on Schedule A of Conning, Inc. (listed 2023-08-04, absent 2023-10-02)
Form ADVobserved 4 days ago
Occurred
Oct 2, 2023
Control person joined
Anne Cynthia Beaulieu (Managing Director, Portfolio Manager And Cio Conning North America) appeared on Schedule A of Conning, Inc.
Form ADVobserved 4 days ago
Occurred
Oct 2, 2023
Control person joined
Kenneth Matthew Daly (Managing Director Head Of Conning North America) appeared on Schedule A of Conning, Inc.
Form ADVobserved 4 days ago
Occurred
Sep 16, 2019
Regulatory AUM changed
Conning, Inc. reported RAUM $99.9B, up 35% from $74.2B (2019-03-29 to 2019-09-16)
Form ADVobserved 4 days ago
$25.7B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:67f954a4-2cbf-566c-9263-d7a828ada0a3
First observed: Jan 10, 2012
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.

CONNING, INC.

CRD 107423

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:67f954a4-2cbf-566c-9263-d7a828ada0a3

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:50 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ROBERT STEDMAN PEARCE

n/a

HARTFORD, CT

yes

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

BEAULIEU, CYNTHIA, ANNE

MANAGING DIRECTOR, PORTFOLIO MANAGER AND CIO CONNING NORTH AMERICA

yes

10/2023

Oct 2, 2023

May 6, 2024

BRADFORD, LINWOOD, EARLE

CHIEF EXECUTIVE OFFICER & CHAIR OF THE BOARD

yes

01/2012

Jan 10, 2012

May 6, 2024

CONNING & COMPANY

Shareholder

yes

07/1996

Jan 10, 2012

May 6, 2024

CONNING HOLDINGS CORP

Shareholder

yes

10/2009

Jan 10, 2012

May 6, 2024

CONNING HOLDINGS LIMITED

Shareholder

yes

09/2015

Sep 23, 2015

May 6, 2024

CONNING U.S. HOLDINGS, INC.

Shareholder

yes

09/2015

Sep 23, 2015

May 6, 2024

DALY, MATTHEW, KENNETH

MANAGING DIRECTOR 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

MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER

yes

01/2011

Jan 10, 2012

May 6, 2024

PEARCE, ROBERT, STEDMAN

MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER

yes

11/2005

Jan 10, 2012

May 6, 2024

SMALLEY, VI (VIOLA), R.

MANAGING DIRECTOR, CHIEF LEGAL OFFICER/CORPORATE SECRETARY

yes

01/2011

Jan 10, 2012

May 6, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

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

GOODWIN CAPITAL ADVISERS, INC.

n/a

Institutional manager

$987M

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

yes

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

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$107B

270

240

n/a

2024

Mar 28, 2025

$100B

$99B

270

240

n/a

2023

Mar 26, 2024

$100B

$99B

270

240

n/a

2022

Mar 30, 2023

$95B

$93B

270

240

n/a

2021

Mar 29, 2022

$110B

$109B

263

230

n/a

2020

Mar 29, 2021

$108B

$106B

260

230

n/a

2019

Mar 26, 2020

$102B

$100B

260

230

n/a

2018

Mar 29, 2019

$74B

$73B

260

230

n/a

2017

Mar 29, 2018

$77B

$75B

260

230

n/a

2016

Mar 30, 2017

$72B

$71B

270

230

n/a

2015

Mar 29, 2016

$79B

$78B

248

n/a

2014

Mar 31, 2015

$83B

$82B

238

n/a

2013

Mar 5, 2014

$73B

$72B

240

n/a

2012

Mar 18, 2013

$77B

240

n/a

2011

Mar 26, 2012

$85B

$84B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$107B

$100B

7.4%

$95B

4.1%

270