CIK 801051
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2025-Q4. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.
Firm-level facts as reported by the adviser on Form ADV Part 1A (latest filing 2026-03-30). Regulatory assets under management (RAUM) is Form ADV's gross figure and can differ from a 13F long book — it includes private-fund assets, leverage and non-13(f) securities. Titles and figures as-filed. Latest ADV filing 2026-03-30. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| BEAULIEU, CYNTHIA, ANNE | MANAGING DIRECTOR, PORTFOLIO MANAGER AND CIO CONNING NORTH AMERICA | 2023-10 | <5% ·◆ |
| BRADFORD, LINWOOD, EARLE | CHAIR OF THE BOARD | 2012-01 | <5% ·◆ |
| DALY, MATTHEW, KENNETH | CEO & PRESIDENT | 2026-03 | <5% ·◆ |
| Hritcko, Lorraine, S | MANAGING DIRECTOR, BOARD MEMBER | 2024-03 | <5% ·◆ |
| LEE, JUNG, WON | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER, BOARD MEMBER | 2011-01 | <5% ·◆ |
| PEARCE, ROBERT, STEDMAN | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 2005-11 | <5% ·◆ |
| SMALLEY, VI (VIOLA), R. | MANAGING DIRECTOR, CHIEF LEGAL OFFICER, CORPORATE SECRETARY | 2011-01 | <5% ·◆ |
| CONNING & COMPANYentity | SHAREHOLDER | 1996-07 | 75%+ ·◆ |
Direct owners and executive officers as filed on the adviser's Form ADV Schedule A (as-filed titles; ADV updates annually and on material change). This lists officers and 5%+ owners — not necessarily the full portfolio-management team.
Signed this manager's latest 13F (2026-Q1). The filing's authorized signatory — frequently a compliance officer, general counsel, or CFO — not necessarily the portfolio manager or firm leadership.
| Name | Role (as filed) | Departed after | Now at (if tracked) |
|---|---|---|---|
| SEGA, RICHARD, LOUIS | MANAGING DIRECTOR, GLOBAL CHIEF INVESTMENT STRATEGIST · MANAGING DIRECTOR · MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER · MANAGING DIRECTOR, CIO OF ASSET MANAGEMENT | 2023-08 | — not seen at a tracked firm |
| HAYLON, MICHAEL, EDWARD | MANAGING DIRECTOR, HEAD OF CONNING NORTH AMERICA · MANAGING DIRECTOR, HEAD OF SALES | 2023-08 | — not seen at a tracked firm |
| RANA, OWAIS, TAHIR | MANAGING DIRECTOR, INVESTMENT SOLUTIONS | 2018-03 | — not seen at a tracked firm |
| ROMANO, JAMES, P | MANAGING DIRECTOR, RISK MANAGEMENT & RISK SOLUTIONS · MANAGING DIRECTOR, RISK MANAGEMENT & SOFTWARE SOLUTIONS · MANAGING DIRECTOR, INDEX & RISK MANAGEMENT | 2017-07 | — not seen at a tracked firm |
| HEISER, GLENN | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | 2015-09 | — not seen at a tracked firm |
| SONLIN, STEPHEN | MANAGING DIRECTOR, RESEARCH & CONSULTING | 2015-09 | — not seen at a tracked firm |
Named owners/officers on a past Form ADV Schedule A who are gone from the firm's latest filing. “Departed after” is the last dated filing they appear on. A landing shows only when the destination is another SEC-registered adviser we track.
