SEC Form ADV, by state
The largest investment adviser firms in Connecticut
The current SEC Form ADV data lists 582 investment adviser firms headquartered in Connecticut, of which 59 (10.1%) answered yes to at least one disciplinary or legal question on Form ADV Item 11. Below are the 50 largest by regulatory assets under management, a gross size measure each firm reports itself. Size is not a quality score, and no public record reports any firm's investment returns.
| Firm | City | Regulatory AUM | Fee methods | Item 11 disclosure |
|---|---|---|---|---|
| AQR CAPITAL MANAGEMENT, LLC | GREENWICH | $312B | % of AUMperformanceother | none reported |
| POINT72 ASSET MANAGEMENT, L.P. | STAMFORD | $274B | % of AUMperformanceother | yes, reported |
| BRIDGEWATER ASSOCIATES, LP | WESTPORT | $150B | % of AUMperformanceother | none reported |
| VERITION FUND MANAGEMENT LLC | GREENWICH | $139B | % of AUMperformanceother | yes, reported |
| HARTFORD INVESTMENT MANAGEMENT COMPANY | HARTFORD | $124B | % of AUMfixedother | none reported |
| NEW ENGLAND ASSET MANAGEMENT, INC. | FARMINGTON | $112B | % of AUMfixed | none reported |
| CONNING, INC. | HARTFORD | $107B | % of AUMhourlyfixedsubscriptionperformanceother | none reported |
| TUDOR INVESTMENT CORPORATION | STAMFORD | $107B | hourlyperformanceother | yes, reported |
| AST INVESTMENT SERVICES, INC. | SHELTON | $91B | % of AUM | yes, reported |
| SYMETRA INVESTMENT MANAGEMENT COMPANY | FARMINGTON | $89B | % of AUMperformance | none reported |
| AXA INVESTMENT MANAGERS US INC | STAMFORD | $79B | % of AUMfixedperformanceother | yes, reported |
| VIKING GLOBAL INVESTORS LP | STAMFORD | $78B | % of AUMperformance | none reported |
| STONE POINT CAPITAL LLC | GREENWICH | $68B | % of AUMperformanceother | none reported |
| USI ADVISORS | GLASTONBURY | $56B | % of AUMhourlyfixedcommissions | none reported |
| VIRTUS INVESTMENT ADVISERS, LLC | HARTFORD | $52B | % of AUM | none reported |
| PORTFOLIO ADVISORS LLC | DARIEN | $48B | % of AUMhourlyfixedperformance | none reported |
| SILVER POINT CAPITAL, L.P. | GREENWICH | $46B | % of AUMperformance | none reported |
| GRAHAM CAPITAL MANAGEMENT, L.P. | ROWAYTON | $43B | % of AUMperformanceother | none reported |
| HUDSON BAY CAPITAL MANAGEMENT LP | STAMFORD | $41B | % of AUMperformance | none reported |
| VOYA RETIREMENT ADVISORS, LLC | WINDSOR | $37B | % of AUMfixed | yes, reported |
| VIRTUS FIXED INCOME ADVISERS, LLC | HARTFORD | $35B | % of AUMperformance | none reported |
| STEWARD PARTNERS INVESTMENT ADVISORY, LLC | STAMFORD | $34B | % of AUMhourlyfixed | yes, reported |
| L CATTERTON | GREENWICH | $31B | % of AUMperformance | none reported |
| KNIGHTS OF COLUMBUS ASSET ADVISORS LLC | NEW HAVEN | $31B | % of AUM | none reported |
| PALOMA PARTNERS MANAGEMENT COMPANY | GREENWICH | $30B | other | none reported |
| AXIOM INVESTORS | GREENWICH | $28B | % of AUMperformance | none reported |
| CIGNA INVESTMENTS, INC. | BLOOMFIELD | $26B | % of AUMother | none reported |
| STRATEGIC VALUE PARTNERS, LLC | GREENWICH | $26B | % of AUMperformance | none reported |
| ARGA INVESTMENT MANAGEMENT, LP | STAMFORD | $25B | % of AUMperformance | none reported |
| GE INVESTMENT MANAGEMENT | NORWALK | $24B | other | yes, reported |
| COMMONFUND OCIO, INC. | NORWALK | $23B | % of AUMfixedperformance | none reported |
| NEOS INVESTMENTS | WESTPORT | $22B | % of AUM | none reported |
| LONE PINE CAPITAL LLC | GREENWICH | $22B | % of AUMperformance | none reported |
| EDGEWOOD MANAGEMENT LLC | GREENWICH | $22B | % of AUMperformance | none reported |
| ELLINGTON MANAGEMENT GROUP, L.L.C. | OLD GREENWICH | $21B | % of AUMperformance | none reported |
| HILDENE CAPITAL MANAGEMENT | STAMFORD | $20B | % of AUMperformance | none reported |
| NEW EDGE WEALTH | STAMFORD | $20B | % of AUMfixedperformancecommissions | none reported |
| O'SHAUGHNESSY ASSET MANAGEMENT, LLC | STAMFORD | $20B | % of AUMperformanceother | none reported |
| ELLINGTON FINANCIAL MANAGEMENT LLC | OLD GREENWICH | $19B | % of AUMperformance | none reported |
| SPECTRUM ASSET MANAGEMENT, INC. | STAMFORD | $18B | % of AUM | yes, reported |
| AMG FUNDS LLC | STAMFORD | $18B | % of AUMperformance | none reported |
| ATLAS HOLDINGS LLC | GREENWICH | $18B | % of AUMother | none reported |
| SUSTAINABLE GROWTH ADVISERS, LP | STAMFORD | $17B | % of AUM | none reported |
| CF PRIVATE EQUITY, INC. | NORWALK | $16B | % of AUMperformance | none reported |
| GREENBRIAR EQUITY GROUP | GREENWICH | $16B | % of AUMperformance | none reported |
| GREAT MOUNTAIN PARTNERS | NEW HAVEN | $14B | % of AUMperformance | none reported |
| ARISTEIA CAPITAL, LLC | GREENWICH | $14B | % of AUMperformanceother | none reported |
| TREXQUANT INVESTMENT LP | STAMFORD | $13B | % of AUMperformance | none reported |
| EAGLE POINT CREDIT MANAGEMENT LLC | GREENWICH | $13B | % of AUMperformanceother | none reported |
| ALTRINSIC GLOBAL ADVISORS, LLC | STAMFORD | $12B | % of AUMperformance | none reported |
Source: SEC Form ADV monthly data, firms reporting a Connecticutheadquarters address. Fee-method chips are the compensation arrangements each firm checked on Item 5.E; the disclosure column is the firm's own answer to Item 11. Click through to any firm for the full record and a link to its SEC detail page.
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