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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

CLINTON INVESTMENT MANAGEMENT, LLC

CRD 143599

STAMFORD, 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:bffca494-11bf-6596-5328-a0c1fb18eae7

Data as of May 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 5
On other graphs: 0
Observed: Mar 26, 2012 to May 14, 2026
36 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: independent wealth managerderivedprivate_client_share=0.9 fund_share=0.05 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $3.9BItem 5.F on the latest filing (2026-05-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.9B
Private client RAUM: $3.5BderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor: $355Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 14
Advisory employees: 11
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2,146
Individual clients: 1,136
High net worth clients: 959
SEC number: 801-69342
CRD: 143599
Filings on the tape: 36
First filed: Mar 26, 2012
Latest filed: May 14, 2026
Organised: Limited Liability Company, DE
Website: clintoninvestment.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
ANDREW IRA CLINTON	n/a	STAMFORD, CT	19	31	n/a	no
DAVID ALAN KARPA	Chartered Financial Analyst	STAMFORD, CT	9	28	n/a	no
MARK Charles SULLIVAN	n/a	STAMFORD, CT	7	21	n/a	no
Alexander Dewitt Clinton	n/a	STAMFORD, CT	3	14	n/a	no
LANE STEVEN BUCKLAN	n/a	STAMFORD, CT	2	32	2	no
Shivani Singh	Chartered Financial Analyst	STAMFORD, CT	2	16	n/a	no
Sean Coffey	n/a	STAMFORD, CT	2	13	n/a	no
Lynn O'shea	n/a	STAMFORD, CT	2	10	n/a	no
TREVOR JAMES SMALLWOOD	n/a	STAMFORD, CT	2	24	6	no
Anya Sanjay Dalal	n/a	STAMFORD, CT	0	11	n/a	no
Thomas Desiderio	n/a	STAMFORD, CT	0	18	5	no

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
CLINTON, ALICIA, ANN	TRUSTEE, ANDREW CLINTON IRREVOCABLE TRUST AGREEMENT U/A	Na	yes	06/2025	May 14, 2026	May 14, 2026
CLINTON, ANDREW, IRA	TRUSTEE, ANDREW CLINTON IRREVOCABLE TRUST AGREEMENT U/A	Na	yes	06/2025	May 14, 2026	May 14, 2026
BUCKLAN, LANE, STEVEN	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	no	11/2023	May 14, 2026	May 14, 2026

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 20, 2026	$3.9B	$3.9B	14	11	0	n/a	n/a
2024	Mar 20, 2025	$3.5B	$3.5B	14	10	0	n/a	n/a
2023	Mar 25, 2024	$2.8B	$2.8B	14	10	0	n/a	n/a
2022	Mar 29, 2023	$1.7B	$1.7B	9	7	0	n/a	n/a
2021	Mar 30, 2022	$1.4B	$1.4B	8	6	0	n/a	n/a
2020	Mar 31, 2021	$1.0B	$1.0B	7	5	0	n/a	n/a
2019	Mar 25, 2020	$749M	$749M	7	5	0	n/a	n/a
2018	Mar 28, 2019	$549M	$549M	6	5	0	n/a	n/a
2017	Mar 29, 2018	$440M	$440M	6	5	0	n/a	n/a
2016	Mar 23, 2017	$384M	$384M	2	1	n/a	n/a	n/a
2015	Mar 15, 2016	$281M	$281M	2	1	n/a	n/a	n/a
2014	Mar 27, 2015	$275M	$275M	2	1	n/a	n/a	n/a
2013	Mar 25, 2014	$221M	$221M	2	1	n/a	n/a	n/a
2012	Mar 18, 2013	$262M	$262M	2	1	n/a	n/a	n/a
2011	Mar 26, 2012	$201M	$201M	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
1	0	1	0.0%	0	0	0	3	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	$3.9B	$3.5B	10.6%	$1.7B	32.2%	14	14	0	0

Relationships

Registered with (12)

← Thomas DesiderioAdvisorregistration: current employment
Dec 10, 2025 to presentfactForm ADV
← Anya Sanjay DalalAdvisorregistration: current employment
Oct 14, 2025 to presentfactForm ADV
← TREVOR JAMES SMALLWOODAdvisorregistration: current employment
Apr 8, 2024 to presentfactForm ADV
← Lynn O'sheaAdvisorregistration: current employment
Apr 1, 2024 to presentfactForm ADV
← Sean CoffeyAdvisorregistration: current employment
Mar 30, 2024 to presentfactForm ADV
← Shivani SinghAdvisorregistration: current employment
Jan 30, 2024 to presentfactForm ADV
← LANE STEVEN BUCKLANAdvisorregistration: current employment
Nov 3, 2023 to presentfactForm ADV
← Alexander Dewitt ClintonAdvisorregistration: current employment
Jan 24, 2023 to presentfactForm ADV
← MARK Charles SULLIVANAdvisorregistration: current employment
Jul 31, 2019 to presentfactForm ADV
← DAVID ALAN KARPAAdvisorregistration: current employment
Jul 29, 2017 to presentfactForm ADV
← ANDREW IRA CLINTONAdvisorregistration: current employment
Apr 27, 2007 to presentfactForm ADV
← JUSTIN CARFORAAdvisorregistration: previous registration
Nov 25, 2015 to Jul 17, 2017factForm ADV

Controls (1)

← CLINTON, ANDREW, IRAOwnerCEO, ownership code E, individual
Mar 26, 2012 to Dec 10, 2024factForm ADV

Owns (1)

← BUCKLAN, LANE, STEVENOwnerGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 6, 2023 to Dec 10, 2024factForm ADV

Dated events

Occurred
Mar 25, 2024
Regulatory AUM changed
Clinton Investment Management, Llc reported RAUM $2.8B, up 69% from $1.7B (2023-11-06 to 2024-03-25)
Form ADVobserved 5 days ago
$1.2B
Occurred
Mar 30, 2022
Regulatory AUM changed
Clinton Investment Management, Llc reported RAUM $1.4B, up 34% from $1.0B (2021-12-10 to 2022-03-30)
Form ADVobserved 5 days ago
$356M
Occurred
Mar 30, 2022
Control person left
Walter Mark Steffen (Cco) no longer on Schedule A of Clinton Investment Management, Llc (listed 2021-12-10, absent 2022-03-30)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
Clinton Investment Management, Llc reported RAUM $1.0B, up 40% from $749.1M (2020-12-07 to 2021-03-31)
Form ADVobserved 5 days ago
$299M
Occurred
Mar 25, 2020
Regulatory AUM changed
Clinton Investment Management, Llc reported RAUM $749.1M, up 36% from $549.3M (2019-03-28 to 2020-03-25)
Form ADVobserved 5 days ago
$200M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bffca494-11bf-6596-5328-a0c1fb18eae7
First observed: Mar 26, 2012
Last observed: May 14, 2026 4 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.

CLINTON INVESTMENT MANAGEMENT, LLC

CRD 143599

STAMFORD, 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:bffca494-11bf-6596-5328-a0c1fb18eae7

Data as of May 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:24 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ANDREW IRA CLINTON

n/a

STAMFORD, CT

n/a

DAVID ALAN KARPA

Chartered Financial Analyst

STAMFORD, CT

n/a

MARK Charles SULLIVAN

n/a

STAMFORD, CT

n/a

Alexander Dewitt Clinton

n/a

STAMFORD, CT

n/a

LANE STEVEN BUCKLAN

n/a

STAMFORD, CT

Shivani Singh

Chartered Financial Analyst

STAMFORD, CT

n/a

Sean Coffey

n/a

STAMFORD, CT

n/a

Lynn O'shea

n/a

STAMFORD, CT

n/a

TREVOR JAMES SMALLWOOD

n/a

STAMFORD, CT

Anya Sanjay Dalal

n/a

STAMFORD, CT

n/a

Thomas Desiderio

n/a

STAMFORD, CT

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CLINTON, ALICIA, ANN

TRUSTEE, ANDREW CLINTON IRREVOCABLE TRUST AGREEMENT U/A

yes

06/2025

May 14, 2026

CLINTON, ANDREW, IRA

TRUSTEE, ANDREW CLINTON IRREVOCABLE TRUST AGREEMENT U/A

yes

06/2025

May 14, 2026

BUCKLAN, LANE, STEVEN

GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER

11/2023

May 14, 2026

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 20, 2026

$3.9B

n/a

2024

Mar 20, 2025

$3.5B

n/a

2023

Mar 25, 2024

$2.8B

n/a

2022

Mar 29, 2023

$1.7B

n/a

2021

Mar 30, 2022

$1.4B

n/a

2020

Mar 31, 2021

$1.0B

n/a

2019

Mar 25, 2020

$749M

n/a

2018

Mar 28, 2019

$549M

n/a

2017

Mar 29, 2018

$440M

n/a

2016

Mar 23, 2017

$384M

n/a

2015

Mar 15, 2016

$281M

n/a

2014

Mar 27, 2015

$275M

n/a

2013

Mar 25, 2014

$221M

n/a

2012

Mar 18, 2013

$262M

n/a

2011

Mar 26, 2012

$201M

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

$3.9B

$3.5B

10.6%

$1.7B

32.2%