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Vi (viola) R. Smalley

Managing Director, Chief Legal Officer, Corporate Secretary at Conning

Officer record from the firm’s Form ADVForm ADV filed 30 March 2026

Vi (viola) R. Smalley is Managing Director, Chief Legal Officer, Corporate Secretary of Conning, Inc., a Hartford investment adviser.

Role at Conning

Title on Schedule A
Managing Director, Chief Legal Officer, Corporate Secretary
Control
Vi (viola) R. Smalley is a control person of Conning.
Ownership
An individual ownership band is not available in the source record.
Tenure
Vi (viola) R. Smalley has held the filed role since January 2011.

The firm

Conning, Inc.
Hartford, CT

Form ADV filed 30 March 2026

$107B AUM161 clients240 advisers2 offices

Career on record

The IAPD individual lookup on 18 October 2026 returned no individual record. This profile uses the firm’s Form ADV officer listing.

Registrations and exams

Individual registration and examination information for Vi (viola) R. Smalley is unavailable. An officer title or CRD number does not by itself establish current investment adviser representative registration, and no registration or examination counts are inferred.

Officer record

Full name
Vi (viola) R. Smalley
CRD
5899872
Firm
Conning, Inc.
Record basis
Form ADV officer listing
Firm bio
conning.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Conning lists Vi R. Smalley as general counsel and corporate secretary. The biography says she is responsible for the Conning Group’s legal affairs. Official firm biography

Education

Common questions

Where does Vi (viola) R. Smalley work?

Vi (viola) R. Smalley has been Managing Director, Chief Legal Officer, Corporate Secretary of Conning, Inc. since January 2011, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 March 2026

Leadership at Conning

Sources

  1. IAPD individual lookup, CRD 5899872. This profile uses the Form ADV officer listing; the individual lookup did not provide a current investment-adviser record.
  2. Form ADV Part 1A, Schedules A and B of Conning, Inc., filed 30 March 2026. Title, control and ownership bands.
  3. Conning team page. Biography, education, credentials, awards.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Vi (viola) R. Smalley or Conning, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.