MORNINGSTAR INVESTMENT MANAGEMENT LLC
Latest filing: Sep 25, 2024 (35 days ago)
AUM
$54,693,200,000
5% change vs. 1 year ago
16% change vs. 3 years ago
45% change vs. 5 years ago
326% change vs. 10 years ago
Employee Count
373
2% change vs. 1 year ago
18% change vs. 3 years ago
73% change vs. 5 years ago
522% change vs. 10 years ago
Main Office
CHICAGO, IL
22 WEST WASHINGTON STREET, CHICAGO, IL, UNITED STATES, 60602
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $54.7 |
| Non-Discretionary | $0.0 |
| Total | $54.7 |
| Client | AUM |
|---|---|
| Retail | $19.6 |
| Pooled | $6.0 |
| Institutional | $29.1 |
| Total | $54.7 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 235,490 | $17.9 |
| Average Individual AUM | $76,199 | |
| HNW | 1,451 | $1.6 |
| Average HNW AUM | $1,127,774 | |
| Retail Total | 236,941 | $19.6 |
| Average Retail AUM | $82,639 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| LINCOLN FINANCIAL GROUP TRUST COMPANY | CONCORD-NH-USA | $15.6 |
| CHARLES SCHWAB BANK | HENDERSON-NV-USA | $13.0 |
| STATE STREET BANK & TRUST COMPANY | BOSTON-MA-USA | $5.1 |
| BANK OF AMERICA | PENNINGTON-NJ-USA | $4.5 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $48.6 |
| Retail SMA AUM | $19.6 |
| Institutional SMA AUM | $29.1 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 73% | $35.5 |
| Other Pools | 23% | $11.2 |
| Cash | 4% | $1.9 |
| Other | 0% | $0.0 |
| Total | 100% | $48.6 |
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 |
|---|---|---|---|
| MORNINGSTAR INVESTMENT SERVICES LLC | $12.0 | broker-dealer | 112525 |
| MORNINGSTAR WEALTH ADMINISTRATION LIMITED | $0.0 | - | |
| MORNINGSTAR WEALTH INTERNATIONAL LIMITED | $0.0 | - | |
| MORNINGSTAR INVESTMENT ADVISER SINGAPORE PTE LIMITED | $0.0 | - | |
| IBBOTSON ASSOCIATES JAPAN, INC. | $0.0 | - | |
| MORNINGSTAR INVESTMENT MANAGEMENT EUROPE LTD | $0.0 | - | |
| MORNINGSTAR INVESTMENT MANAGEMENT SOUTH AFRICA (PTY) LTD | $0.0 | - | |
| MORNINGSTAR INVESTMENT MANAGEMENT ASIA LTD | $0.0 | - | |
| MORNINGSTAR INVESTMENT RESEARCH INDIA PRIVATE LIMITED | $0.0 | - | |
| MORNINGSTAR KOREA LTD | $0.0 | - | |
| MORNINGSTAR WEALTH ADMINISTRATION LIMITED | $0.0 | - | |
| MORNINGSTAR ASSOCIATES, INC. | $0.0 | - | |
| MORNINGSTAR AUSTRALASIA PTY LIMITED | $0.0 | - | |
| MORNINGSTAR INVESTMENT MANAGEMENT AUSTRALIA LTD | $0.0 | - | |
| MORNINGSTAR INVESTMENT CONSULTING FRANCE SAS | $0.0 | - | |
| MORNINGSTAR RESEARCH SERVICES LLC | $0.0 | 285164 | |
| SMART INVESTMENT MANAGEMENT LIMITED | $0.0 | - | |
| MORNINGSTAR WEALTH RETIREMENT SERVICES LIMITED | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
6 active
| Name | Title |
|---|---|
| JOHNSON, BROCK, ALLAN | CO-PRESIDENT, MORNINGSTAR RETIREMENT |
| MANSUETO, JOSEPH, D | SHAREHOLDER |
| NEEDHAM, DANIEL | CO-PRESIDENT, MORNINGSTAR WEALTH |
| KEMP, DANIEL | CHIEF RESEARCH AND INVESTMENT OFFICER |
| KASUN-FRETZ, SARA, FRANCES | CHIEF COMPLIANCE OFFICER & SECRETARY |
ADVDB.CO • SOURCE: SEC
Representatives
10 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| KATHERINE KINGSBURY | CHICAGO | IL | S65|2023-06-09 | ||||||
| MURRAY CLEANER | CHICAGO | IL | S63|1993-07-15|S65|1993-11-15 | ||||||
| PETER DUGERY | CHICAGO | IL | S63|2001-06-15|S65|2002-09-23 | ||||||
| FRANCIS ANELLO | CHICAGO | IL | S63|2015-06-22 | ||||||
| DAVID RIX | CHICAGO | IL | S63|1992-11-20|S66|2012-10-30 | ||||||
| HANNAH RITCHIE | CHICAGO | IL | S63|2014-07-11|S65|2019-08-21 | ||||||
| TREVOR SANTORO | CHICAGO | IL | S65|2020-09-05 | ||||||
| ANDREW HUDSON | CHICAGO | IL | S66|2011-05-19 | ||||||
| CHRISTOPHER FITZGERALD | CHICAGO | IL | S63|1993-03-23|S65|1999-09-10|S66|2010-10-15 | ||||||
| RISA LAMONTAGNE | CHICAGO | IL | S63|2000-09-14|S65|2019-10-11 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $54.7 | $0.0 | 0% | 373 | 0 | 0% |
| 2024-04-02 | $54.7 | $0.0 | 0% | 373 | 0 | 0% |
| 2023-04-04 | $51.9 | $2.8 | 5% | 364 | 9 | 2% |
| 2022-04-01 | $56.1 | -$1.4 | -2% | 372 | 1 | 0% |
| 2021-04-05 | $47.2 | $7.5 | 16% | 315 | 58 | 18% |
| 2020-04-01 | $44.6 | $10.1 | 23% | 260 | 113 | 43% |
| 2019-04-01 | $37.6 | $17.1 | 45% | 215 | 158 | 73% |
| 2018-04-02 | $33.6 | $21.1 | 63% | 102 | 271 | 266% |
| 2017-04-01 | $64.9 | -$10.2 | -16% | 110 | 263 | 239% |
| 2016-04-01 | $56.4 | -$1.7 | -3% | 97 | 276 | 285% |
| 2015-04-01 | $15.2 | $39.5 | 259% | 74 | 299 | 404% |
| 2014-04-01 | $12.8 | $41.9 | 326% | 60 | 313 | 522% |
| 2013-04-01 | $11.4 | $43.3 | 380% | 83 | 290 | 349% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| IL, AK-01/10/2000, AL-01/26/2000, AR-01/05/2000, AZ-01/09/2000, CA-01/04/2000, CO-01/07/2000, CT-01/04/2000, DC-12/04/2000, DE-07/28/2003, FL-01/10/2000, GA-01/05/2000, HI-01/05/2000, IA-01/04/2000, ID-01/29/2001, IL-09/27/1999, IN-03/15/2002, KS-01/04/2000, KY-01/05/2000, LA-10/11/2001, MA-01/04/2000, MD-01/18/2000, ME-01/07/2000, MI-01/06/2000, MN-01/06/2000, MO-01/04/2000, MS-01/05/2000, MT-01/06/2000, NC-01/29/2001, ND-01/04/2000, NE-01/04/2000, NH-01/04/2000, NJ-01/24/2000, NM-01/07/2000, NV-01/04/2000, NY-01/07/2000, OH-01/04/2000, OK-02/28/2000, OR-01/29/2001, PA-01/04/2000, PR-01/05/2000, RI-01/01/2000, SC-01/10/2000, SD-01/05/2000, TN-01/05/2000, TX-01/10/2000, UT-01/07/2000, VA-01/13/2000, VI-05/03/2021, VT-01/18/2000, WA-01/06/2000, WI-01/28/2000, WV-01/04/2000, WY-03/27/2018 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV