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Last updated on June 12, 2019
    • $74.2B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 489
    • $151.7M
      Estimated Average Account Balance


Firm Services

There is no Services data available to display at this time.

Firm Client types

There is no client type data to display at this time.


Current Advisors

# of advisors


name start date
Robert Stedman Pearce
November 2009

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Cathay Securities Investment Trust Co., Ltd -- --
    Conning Asia Pacific Limited -- --
    Conning Asset Management Ltd. (Uk) -- --
    Conning Investment Products, Inc. Dual Registrant $346,414,000
    Global Evolution USA, LLC IAR $359,038,601
    Goodwin Capital Advisers, Inc. IAR $892,672,000
    Octagon Credit Investors, LLC IAR $22,221,893,915
    Octagon Funds Gp LLC -- --
    Octagon Multi-Strategy Corporate Credit Gp, LLC -- --



      There is no ownership data available to display at this time.

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Vi (Viola) R. Smalley Managing Director, Chief Legal Officer/Corporate Secretary January, 2011 less than 5%
      Jung Won Lee Managing Director, Chief Financial Officer January, 2011 less than 5%
      Robert Stedman Pearce Managing Director, Chief Compliance Officer November, 2005 less than 5%
      Richard Louis Sega Managing Director, Global Chief Investment Strategist February, 2003 less than 5%
      Linwood Earle Bradford Chief Executive Officer & Chair Of The Board January, 2012 less than 5%
      Michael Edward Haylon Managing Director, Head Of Conning North America December, 2014 less than 5%
        Source: SEC


        Types of Compensation Arrangements

        • Percentage Of Assets
        • Hourly Charges
        • Subscription Fees
        • Fixed Fees
        • Performance-Based Fees
        • Other