# Conning Investment Products, Inc.

> Conning Investment Products, Inc. is an SEC-registered investment advisory firm in Hartford, CT, registered since 2014, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 120387
- Filed as: CONNING INVESTMENT PRODUCTS, INC.
- Also doing business as: CONNING
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Hartford, CT
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/120387
- AdvisorCensus page: https://advisorcensus.com/firm/conning-investment-products-inc-hartford-ct-120387

## Quick answers

**How is Conning Investment Products, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Conning Investment Products, Inc. reports these compensation arrangements: a percentage of assets under its management.

**Where is Conning Investment Products, Inc. located?**
Conning Investment Products, Inc.'s principal office is in Hartford, CT, according to its Form ADV.

**Is Conning Investment Products, Inc. registered with the SEC or a state?**
Conning Investment Products, Inc. is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 120387.

**How much does Conning Investment Products, Inc. manage?**
Conning Investment Products, Inc. reports $572,024,783 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Conning Investment Products, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Conning Investment Products, Inc.: Regulatory assets under management: $514,407,121 in the October 2021 data and $572,024,783 in the October 2026 data, up 11%. Total employees: 8 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going.

**Which custodians does Conning Investment Products, Inc. use?**
Conning Investment Products, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists BNY Mellon Capital Markets, LLC and Royal Bank of Canada Dexia as custodians holding 10% or more of its separately managed account assets.

**Does Conning Investment Products, Inc. report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/120387

**What changed in Conning Investment Products, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $517,711,336 to $572,024,783 (+10%).

## From the Form ADV filing

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

### Custodians (Schedule D, Section 5.K(3))
- BNY Mellon Capital Markets, LLC
- Royal Bank of Canada Dexia

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: $572,024,783
- Discretionary: $572,024,783
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | Fewer than 5 | $564,000,829 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | Fewer than 5 | $8,023,954 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2014 (12 years)
- Employees: 8 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/120387

### Websites listed on Form ADV (Item 1.I)
- conning.com
- LinkedIn @CONNING
- X @CONNINGNEWS
- YouTube @CONNINGCENTENNIAL

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $514,407,121 | 8 | March 25, 2021 |
| October 2022 | $425,627,068 | 8 | March 28, 2022 |
| October 2023 | $429,276,916 | 8 | October 2, 2023 |
| October 2024 | $486,460,862 | 8 | April 18, 2024 |
| October 2025 | $517,711,336 | 8 | March 27, 2025 |
| October 2026 | $572,024,783 | 8 | March 30, 2026 |

Regulatory assets under management: $514,407,121 in the October 2021 data and $572,024,783 in the October 2026 data, up 11%.
Total employees: 8 in October 2021 and 8 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $517,711,336 to $572,024,783 (+10%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Conning Investment Products, Inc. (CRD 120387): Form ADV filing data as of October 2026.