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