# Clinton Investment Management, LLC

> 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.

- CRD: 143599
- Filed as: CLINTON INVESTMENT MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Stamford, CT
- Filing period: October 2026
- Form ADV filing dated: May 14, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/143599
- AdvisorCensus page: https://advisorcensus.com/firm/clinton-investment-management-llc-stamford-ct-143599

## Quick answers

**How is Clinton Investment Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Clinton Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Clinton Investment Management, LLC located?**
Clinton Investment Management, LLC's principal office is in Stamford, CT, according to its Form ADV.

**Is Clinton Investment Management, LLC registered with the SEC or a state?**
Clinton Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 143599.

**How much does Clinton Investment Management, LLC manage?**
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).

**How have Clinton Investment Management, LLC's assets and staff changed since 2021?**
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.

**What types of clients does Clinton Investment Management, LLC serve?**
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).

**Which custodians does Clinton Investment Management, LLC use?**
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.

**Does Clinton Investment Management, LLC report any disciplinary disclosures?**
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

**What changed in Clinton Investment Management, LLC's recent Form ADV filings?**
In the June 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Custodians (Schedule D, Section 5.K(3))
- Merrill Lynch Professional Clearing Corp.
- Morgan Stanley

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.

### Regulatory assets under management (Item 5.F)
- Total: $3,906,740,384
- Discretionary: $3,906,740,384
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 1,136 | $629,837,212 |
| High net worth individuals | 959 | $2,870,630,356 |
| Investment companies | 3 | $185,281,079 |
| Corporations or other businesses not listed above | 48 | $220,991,737 |

### Advisory services (Item 5.G)
- 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

### Firm details
- Registered since: 2008 (18 years)
- Employees: 14 total, 11 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [clintoninvestment.com](https://clintoninvestment.com)
- LinkedIn @clinton-investment-management-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,048,410,962 | 7 | March 31, 2021 |
| October 2022 | $1,404,443,319 | 8 | March 30, 2022 |
| October 2023 | $1,689,377,858 | 9 | March 29, 2023 |
| October 2024 | $2,847,926,755 | 14 | August 27, 2024 |
| October 2025 | $3,531,162,064 | 14 | March 20, 2025 |
| October 2026 | $3,906,740,384 | 14 | May 14, 2026 |

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.

## Changes in the filing (last 12 months)

### June 2026
- Updated its list of owners and control persons (Schedule A).

### April 2026
- 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Clinton Investment Management, LLC (CRD 143599): Form ADV filing data as of October 2026.