{"url":"https://nivawealth.com/firms/clinton-investment-management-143599","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/143599","regulatoryAum":3906740384,"crd":"143599","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2519156","suffix":null,"lastName":"BUCKLAN","firstName":"LANE","middleName":"STEVEN"},{"crd":"7689834","suffix":null,"lastName":"Clinton","firstName":"Alexander","middleName":"Dewitt"},{"crd":"2381848","suffix":null,"lastName":"CLINTON","firstName":"ANDREW","middleName":"IRA"},{"crd":"7883978","suffix":null,"lastName":"Coffey","firstName":"Sean","middleName":null},{"crd":"7929096","suffix":null,"lastName":"Dalal","firstName":"Anya 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States","postalCode":"06902"},"tradeNames":[],"registration":{"secApproved":"26 June 2008","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1670867.5742243438,"staff":{"employees":14,"advisory":11,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":3906740384,"discretionary":3906740384,"discretionaryAccounts":2146,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":2474213661,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":1136,"regulatoryAum":629837212},{"label":"High-net-worth individuals","clients":959,"regulatoryAum":2870630356},{"label":"Investment companies","clients":3,"regulatoryAum":185281079},{"label":"Corporations and other businesses","clients":48,"regulatoryAum":220991737}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Merrill Lynch Professional Clearing Corp.","shortName":"Merrill Lynch Professional Clearing","location":"New York, NY","smaAssets":1534862611},{"name":"Morgan Stanley Smith Barney LLC","shortName":"Morgan Stanley","location":"Purchase, NY","smaAssets":1064941297}],"custodyNote":"Clinton Investment Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Lane Bucklan","title":"General Counsel and Chief Compliance Officer","crd":"2519156"},{"name":"Andrew Clinton","title":"Trustee, Andrew Clinton Irrevocable Trust Agreement U/A Dated June 17, 2025","crd":"2381848"},{"name":"Alicia Clinton","title":"Trustee, Andrew Clinton Irrevocable Trust Agreement U/A Dated June 17, 2025","crd":"8273124"}],"ownership":[{"label":"Andrew Clinton","detail":"Ceo, member in the 75% or more ownership band and a control person, since April 2007."},{"label":"Andrew Clinton Irrevocable Trust Agreement U/A Dated June 17, 2025","detail":"Member in the 10% to 25% ownership band, since April 2026."},{"label":"Andrew Clinton Irrevocable","detail":"Member in the 10% to 25% ownership band, since April 2026."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Connecticut","offices":1,"addresses":[{"street":"333 Ludlow Street, South Tower, 8th Floor","city":"Stamford","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"203-276-6246","stateRegisteredReps":12,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"U.S. state and local bonds","percent":98},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"14 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/143599/PDF/143599.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Clinton Investment Management have?","answer":"Clinton Investment Management has 2,146 clients and manages $3.91 billion for them, as of May 2026. They include 1,136 individual clients, 959 high-net-worth individuals, and 48 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 14 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Clinton Investment Management offer?","answer":"Clinton Investment Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Clinton Investment Management use?","answer":"Clinton Investment Management’s separately managed account assets are held at Merrill Lynch Professional Clearing Corp. (New York, NY), with $1.53B and Morgan Stanley Smith Barney LLC (Purchase, NY), with $1.06B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 14 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Clinton Investment Management have?","answer":"Clinton Investment Management has 12 investment adviser representatives registered with state securities authorities, out of 14 employees, and 11 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Clinton Investment Management invest in?","answer":"At the end of its last fiscal year, Clinton Investment Management’s separately managed accounts held 98% state and local bonds and 2% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Clinton Investment Management?","answer":"Clinton Investment Management’s direct owners are Andrew Clinton (75% or more), Andrew Clinton Irrevocable Trust Agreement U/A Dated June 17, 2025 (10% to 25%) and Andrew Clinton Irrevocable (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 14 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Clinton Investment Management get paid?","answer":"Clinton Investment Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Clinton Investment Management?","answer":"Clinton Investment Management’s main office is at 333 Ludlow Street, South Tower, 8th Floor, Stamford, CT 06902. Its phone number is 203-276-6246. Its website is clintoninvestment.com.","source":"Form ADV Part 1A, Item 1.F, filed 14 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}