{"url":"https://nivawealth.com/firms/constellation-investments-107528","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/107528","regulatoryAum":31477906332,"crd":"107528","secFileNumber":"801-51396","legalName":"Constellation Investments, Inc.","displayName":"Constellation Investments","website":null,"founded":null,"organization":"Ohio corporation","fiscalYearEnd":"December","headquarters":{"street":"One Financial Way","city":"Montgomery","state":"OH","stateName":"Ohio","country":"United States","postalCode":"45242"},"tradeNames":[],"registration":{"secApproved":"2 April 1996","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":45,"advisory":8,"brokerDealerReps":6,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":31477906332,"discretionaryAccounts":15,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":1,"regulatoryAum":12297879087},{"label":"Pooled investment vehicles","clients":4,"regulatoryAum":494240096},{"label":"Insurance companies","clients":null,"regulatoryAum":14370535877},{"label":"Corporations and other businesses","clients":9,"regulatoryAum":4315251272}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"US Bank","shortName":"US Bank","location":"Milwaukee, WI","smaAssets":62850383}],"custodyNote":"Constellation Investments has custody of $479.1M for 8 clients.","otherCustodians":[],"leadership":[{"name":"Sachin Jain","title":"Director, President","crd":"4689685"},{"name":"Charles Jones","title":"Chief Compliance Officer","crd":"8013146"},{"name":"Marc Bruger","title":"Director","crd":"3120145"},{"name":"Jonathan Egol","title":"Director,","crd":"3130557"},{"name":"Brijendra Grewal","title":"Treasurer","crd":"4796473"},{"name":"Megan Meyer","title":"General Counsel","crd":"7900175"}],"ownership":[{"label":"Constellation Insurance, Inc.","detail":"Shareholder in the 75% or more ownership band and a control person, since March 2022."},{"label":"Constellation Insurance Holdings, Inc.","detail":"Indirect owner: a shareholder of Constellation Insurance, Inc. in the 75% or more band and a control person, since March 2022.","parent":"Constellation Insurance, Inc."},{"label":"Onlh Holdings GP LLC","detail":"Indirect owner: a shareholder of Constellation Insurance Holdings, Inc. in the 50% to 75% band and a control person, since March 2022.","parent":"Constellation Insurance Holdings, Inc."},{"label":"Onlh Holdings LP","detail":"Indirect owner: a shareholder of Onlh Holdings GP LLC in the 75% or more band and a control person, since March 2022.","parent":"Onlh Holdings GP LLC"},{"label":"Constellation Insurance GP LLC","detail":"Indirect owner: a shareholder of Onlh Holdings LP in the 75% or more band and a control person, since March 2022.","parent":"Onlh Holdings LP"},{"label":"Ontario Teacher Pension Plan Voting Trust (canada)","detail":"Indirect owner: a shareholder of Constellation Insurance GP LLC in the 25% to 50% band and a control person, since March 2022.","parent":"Constellation Insurance GP LLC"},{"label":"Caisse De Depot Et Placement Du Quebec Voting Trust (canada)","detail":"Indirect owner: a shareholder of Constellation Insurance GP LLC in the 25% to 50% band and a control person, since March 2022.","parent":"Constellation Insurance GP LLC"},{"label":"gregory nielsen","detail":"Indirect owner: a trustee of Ontario Teacher Pension Plan Voting Trust (canada) in the 25% to 50% band and a control person, since March 2022.","parent":"Ontario Teacher Pension Plan Voting Trust (canada)"},{"label":"Philippe Charette","detail":"Indirect owner: a trustee of Caisse De Depot Et Placement Du Quebec Voting Trust (canada) in the 25% to 50% band and a control person, since March 2022.","parent":"Caisse De Depot Et Placement Du Quebec Voting Trust (canada)"},{"label":"Alexandre Decary","detail":"Indirect owner: trustee of Caisse De Depot Et Placement Du Quebec Voting Trust (canada) and a control person, since October 2023.","parent":"Caisse De Depot Et Placement Du Quebec Voting Trust (canada)"},{"label":"Ying Soong","detail":"Indirect owner: trustee of Ontario Teacher Pension Plan Voting Trust (canada) and a control person, since January 2026.","parent":"Ontario Teacher Pension Plan Voting Trust (canada)"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"Ohio","offices":1,"addresses":[{"street":"One Financial Way","city":"Montgomery","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"513-794-6100","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"U.S. government/agency bonds","percent":6},{"label":"U.S. state and local bonds","percent":2},{"label":"Investment grade corporate bonds","percent":35},{"label":"Non-investment grade corporate bonds","percent":2},{"label":"Derivatives","percent":2},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":8},{"label":"Cash and cash equivalents","percent":9},{"label":"Other","percent":35,"detail":"CMO, MBS, Abs, Mortgage Loan Participations"}],"privateFunds":4},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/107528/PDF/107528.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Constellation Investments have?","answer":"Constellation Investments has 14 clients and manages $31.5 billion for them, as of March 2026. They include 9 corporations and other businesses, 4 pooled investment vehicles and 1 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Constellation Investments offer?","answer":"Constellation Investments provides portfolio management for investment companies, portfolio management for pooled vehicles 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 Constellation Investments use?","answer":"Constellation Investments’ separately managed account assets are held at US Bank (Milwaukee, WI), with $62,850,383. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Constellation Investments have?","answer":"Constellation Investments has 0 investment adviser representatives registered with state securities authorities, out of 45 employees, and 8 perform investment advisory functions. 6 are registered representatives of a broker-dealer and 0 are 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 Constellation Investments invest in?","answer":"At the end of its last fiscal year, Constellation Investments’ separately managed accounts held 35% investment grade corporate bonds, 35% cmo, mbs, abs, mortgage loan participations, 9% cash and equivalents, 8% pooled vehicles (private funds and similar), 6% U.S. government and agency bonds, 2% state and local bonds, 2% high-yield corporate bonds and 2% derivatives. It advises 4 private funds.","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 Constellation Investments?","answer":"Constellation Investments is owned through a chain of holding companies by gregory nielsen and Philippe Charette. Its direct owner is Constellation Insurance, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Constellation Investments get paid?","answer":"Constellation Investments is paid through a percentage of assets under management and other arrangements. 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"}}],"holdings":{"url":"https://nivawealth.com/firms/constellation-investments-107528/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-17","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1573575/000157357526000006/0001573575-26-000006-index.html","totalValue":3184331796,"positionCount":19,"top10Share":0.9349711203901191,"top10":[{"issuer":"ISHARES TR","titleOfClass":"CORE S&P500 ETF","cusip":"464287200","value":943757918,"shares":1260209,"shareType":"SH","priorValue":887313931,"priorShares":1358390},{"issuer":"VANGUARD INDEX FDS","titleOfClass":"S&P 500 ETF SHS","cusip":"922908363","value":642972978,"shares":936173,"shareType":"SH","priorValue":571735840,"priorShares":956800},{"issuer":"ISHARES TR","titleOfClass":"CORE US AGGBD 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CLO","cusip":"092528504","value":1401570,"shares":27000,"shareType":"SH","priorValue":1399545,"priorShares":27000}]},"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth 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."}