{ "crd_number": 143599, "slug": "clinton-investment-management-llc-stamford-ct-143599", "primary_business_name": "CLINTON INVESTMENT MANAGEMENT, LLC", "legal_name": "CLINTON INVESTMENT MANAGEMENT, LLC", "dbas": [], "city": "Stamford", "state": "CT", "country": "United States", "cbsa_code": "14860", "metro": { "cbsa_code": "14860", "common_name": "Bridgeport", "msa_name": "Bridgeport-Stamford-Danbury, CT", "path": "/advisors/ct/bridgeport" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2008-06-26", "years_registered": 18, "period": "2026-10-01", "filing_date": "2026-05-14", "carried_forward": false, "raum_total": 3906740384.0, "raum_discretionary": 3906740384.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 14, "advisory_employees": 11, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 629837212.0, "count": 1136 }, "investment_companies": { "raum": 185281079.0, "count": 3 }, "high_net_worth_individuals": { "raum": 2870630356.0, "count": 959 }, "corporations_other_businesses": { "raum": 220991737.0, "count": 48 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_investment_companies" ], "wrap_fee_participant": true, "disclosure_yes_count": 0, "states_registered": [ "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "IL", "IN", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "NC", "NE", "NH", "NJ", "NV", "NY", "OH", "OR", "PA", "RI", "SC", "TN", "TX", "UT", "VA", "VT", "WA" ], "websites": [ "https://clintoninvestment.com", "https://linkedin.com/company/clinton-investment-management-llc" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/143599", "city_as_filed": "STAMFORD", "url": "https://advisorcensus.com/firm/clinton-investment-management-llc-stamford-ct-143599", "display_name": "Clinton Investment Management, LLC", "summary": "Clinton Investment Management, LLC is an SEC-registered investment advisory firm in Stamford, CT, registered since 2008, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated May 14, 2026.", "citation": "AdvisorCensus. Clinton Investment Management, LLC (CRD 143599): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for investment companies (and business development companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Clinton Investment Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Clinton Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management." }, { "q": "Where is Clinton Investment Management, LLC located?", "a": "Clinton Investment Management, LLC's principal office is in Stamford, CT, according to its Form ADV." }, { "q": "Is Clinton Investment Management, LLC registered with the SEC or a state?", "a": "Clinton Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 143599." }, { "q": "How much does Clinton Investment Management, LLC manage?", "a": "Clinton Investment Management, LLC reports $3,906,740,384 in regulatory assets under management in its Form ADV filing dated May 14, 2026 (100% discretionary)." }, { "q": "How have Clinton Investment Management, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Clinton Investment Management, LLC: Regulatory assets under management: $1,048,410,962 in the October 2021 data and $3,906,740,384 in the October 2026 data, up 273%. Total employees: 7 in October 2021 and 14 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Clinton Investment Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,136); high net worth individuals (959); corporations or other businesses not listed above (48)." }, { "q": "Which custodians does Clinton Investment Management, LLC use?", "a": "Clinton Investment Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Merrill Lynch Professional Clearing Corp. and Morgan Stanley as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Clinton Investment Management, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/143599" }, { "q": "What changed in Clinton Investment Management, LLC's recent Form ADV filings?", "a": "In the June 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1048410962.0, "total_employees": 7, "filing_date": "2021-03-31" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1404443319.0, "total_employees": 8, "filing_date": "2022-03-30" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1689377858.0, "total_employees": 9, "filing_date": "2023-03-29" }, { "period": "2024-10-01", "regulatory_assets_under_management": 2847926755.0, "total_employees": 14, "filing_date": "2024-08-27" }, { "period": "2025-10-01", "regulatory_assets_under_management": 3531162064.0, "total_employees": 14, "filing_date": "2025-03-20" }, { "period": "2026-10-01", "regulatory_assets_under_management": 3906740384.0, "total_employees": 14, "filing_date": "2026-05-14" } ], "recent_changes": [ { "period": "2026-06-01", "period_label": "June 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 10 to 11.", "Regulatory assets under management went from $3,531,162,064 to $3,906,740,384 (+11%).", "Registered or notice-filed in DC." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Merrill Lynch Professional Clearing Corp.", "name_as_filed": "MERRILL LYNCH PROFESSIONAL CLEARING CORP.", "affiliated": false }, { "name": "Morgan Stanley", "name_as_filed": "MORGAN STANLEY", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/clinton-investment-management-llc-stamford-ct-143599.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 1136, "fewer_than_5": false, "raum": 629837212.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 959, "fewer_than_5": false, "raum": 2870630356.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 3, "fewer_than_5": false, "raum": 185281079.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 48, "fewer_than_5": false, "raum": 220991737.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/143599", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }