DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Latest filing: Mar 28, 2024 (216 days ago)
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AUM

$12,279,294,336
2% change vs. 1 year ago
15% change vs. 3 years ago
36% change vs. 5 years ago
33% change vs. 10 years ago

Employee Count

54
8% change vs. 1 year ago
12% change vs. 3 years ago
0% change vs. 5 years ago
26% change vs. 10 years ago

Main Office

CHICAGO, IL
10 S. WACKER DRIVE, CHICAGO, IL, UNITED STATES, 60606

Client AUM

Discretion AUM
Discretionary $12.3
Non-Discretionary $0.0
Total $12.3
Client AUM
Retail $0.0
Pooled $8.3
Institutional $4.0
Total $12.3
Retail Accounts AUM
Individual 0 $0.0
Average Individual AUM $0
HNW 0 $0.0
Average HNW AUM $0
Retail Total 0 $0.0
Average Retail AUM $0

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM
THE BANK OF NEW YORK MELLON PITTSBURGH-PA-USA $1.2
STATE STREET BANK & TRUST COMPANY QUINCY-IL-USA $0.8
CITIBANK, N.A. CANARY WHARF--NON $0.7
THE NORTHERN TRUST COMPANY CHICAGO-IL-USA $0.6

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $4.0
Retail SMA AUM $0.0
Institutional SMA AUM $4.0
Asset Class % AUM
Equity Exch 71% $2.8
Equity Non-Exch 0% $0.0
Govt Agency 13% $0.5
Municipal 1% $0.0
Sovereign 0% $0.0
IG Credit 5% $0.2
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 0% $0.0
Other Pools 9% $0.4
Cash 1% $0.0
Other 0% $0.0
Total 100% $4.0

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
VIRTUS INVESTMENT ADVISERS, INC. $47.8 106982
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC $41.2 104599
VIRTUS FIXED INCOME ADVISERS, LLC $32.8 146029
SUSTAINABLE GROWTH ADVISERS, LP $23.9 127447
VIRTUS FUND ADVISERS, LLC $8.0 107346
CEREDEX VALUE ADVISORS LLC $6.2 146023
ALPHASIMPLEX GROUP, LLC $4.5 128356
NFJ INVESTMENT GROUP, LLC $4.2 310902
WESTCHESTER CAPITAL MANAGEMENT, LLC $4.0 155686
VIRTUS ALTERNATIVE INVESTMENT ADVISERS, INC. $3.1 143732
SILVANT CAPITAL MANAGEMENT LLC $2.2 146025
VIRTUS ETF ADVISERS LLC $1.5 168955
SEIX CLO MANAGEMENT LLC $0.7 285354
WESTCHESTER CAPITAL PARTNERS, LLC $0.0 135955
VP DISTRIBUTORS LLC $0.0 broker-dealer 3036
VIRTUS INTERNATIONAL FUND MANAGEMENT LIMITED $0.0 -
SEIX CLO MANAGEMENT GP LLC $0.0 -
VIRTUS GLOBAL PARTNERS PTE. LTD. $0.0 -
VIRTUS INTERNATIONAL FUND MANAGEMENT LIMITED $0.0 -

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

10 active

Name Title
PETRISKO, DANIEL, JOHN EXECUTIVE MANAGING DIRECTOR
AYLWARD, GEORGE, ROBERT DIRECTOR AND CHAIRMAN
DYBAS, GEOFFREY, PETER EXECUTIVE MANAGING DIRECTOR
ANGERTHAL, MICHAEL, AARON DIRECTOR, EXECUTIVE VICE PRESIDENT AND TREASURER
GRUMHAUS, DAVID, DEAN DIRECTOR, PRESIDENT AND CHIEF INVESTMENT OFFICER
WITTWER, STEVEN, GLENN EXECUTIVE MANAGING DIRECTOR
HEGYI, KATHLEEN, LOUISE CHIEF COMPLIANCE OFFICER
PURKALITIS, ANDRA, CYNTHIA CHIEF LEGAL OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

9 active representatives found

Name City State Exams Designations
KYLE WEST CHICAGO IL S63|2012-12-05|S65|2010-01-20
CONNIE LUECKE CHICAGO IL S63|1995-08-24 CHARTERED FINANCIAL ANALYST
DAVID GRUMHAUS CHICAGO IL S66|2015-10-23
ERIC ELVEKROG CHICAGO IL S63|1995-12-19 CHARTERED FINANCIAL ANALYST
SHALINI SHARMA CHICAGO IL S66|2001-11-06
GEOFFREY DYBAS CHICAGO IL S63|1996-03-04 CHARTERED FINANCIAL ANALYST
LAUREN MATZ CHICAGO IL S66|2016-10-10
FRANK HAGGERTY CHICAGO IL S63|1994-06-28 CHARTERED FINANCIAL ANALYST
KATHLEEN HEGYI CHICAGO IL S63|1992-06-30|S65|1996-08-26

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-10-01 $12.3 $0.0 0% 54 0 0%
2024-04-02 $12.3 $0.0 0% 54 0 0%
2023-04-04 $12.0 $0.3 2% 50 4 8%
2022-04-01 $12.2 $0.0 0% 48 6 12%
2021-04-05 $10.6 $1.6 15% 48 6 12%
2020-04-01 $11.2 $1.1 10% 51 3 6%
2019-04-01 $9.0 $3.3 36% 54 0 0%
2018-04-02 $10.3 $2.0 19% 56 -2 -4%
2017-04-01 $10.3 $2.0 19% 51 3 6%
2016-04-01 $9.2 $3.0 33% 45 9 20%
2015-04-01 $10.7 $1.5 14% 44 10 23%
2014-04-01 $9.2 $3.0 33% 43 11 26%
2013-04-01 $8.9 $3.3 37% 39 15 38%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
IL, AK-09/30/2016, AL-09/30/2016, AR-09/30/2016, AZ-09/30/2016, CA-05/27/2011, CO-09/30/2016, CT-07/31/1997, DC-09/30/2016, DE-09/30/2016, FL-03/26/2004, GA-09/30/2016, HI-09/30/2016, IA-09/30/2016, ID-09/30/2016, IL-10/17/1983, IN-09/30/2016, KS-09/30/2016, KY-09/30/2016, LA-02/01/2001, MA-09/30/2016, MD-09/30/2016, ME-09/30/2016, MI-09/30/2016, MN-09/30/2016, MO-03/18/2010, MS-09/30/2016, MT-09/30/2016, NC-02/01/2001, ND-09/30/2016, NE-09/30/2016, NH-09/30/2016, NJ-04/07/2016, NM-09/30/2016, NV-09/30/2016, NY-03/24/2016, OH-02/01/2001, OK-09/30/2016, OR-09/30/2016, PA-10/06/1992, PR-09/30/2016, RI-09/30/2016, SC-09/30/2016, SD-09/30/2016, TN-09/30/2016, TX-08/29/1983, UT-09/30/2016, VA-09/30/2016, VI-09/30/2016, VT-09/30/2016, WA-09/30/2016, WI-09/30/2016, WV-09/30/2016, WY-03/28/2018
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT (RIC)
PORTFOLIO MANAGEMENT (POOLS)
PORTFOLIO MANAGEMENT (SMB)
OTHER ACTIVITIES

ADVDB.CO • SOURCE: SEC FORM ADV