Original filing (PDF)20250725115921NAL0005798257001

CONNING & COMPANY

Name: CONNING & COMPANY — CONNING & COMPANY (U.S.) RETIREMENT SAVINGS PLAN, Form 5500 (2024)
Creator: CONNING & COMPANY

Form 5500

FILING_RECEIVED

CONNING & COMPANY (U.S.) RETIREMENT SAVINGS PLAN

401(k) retirement plan

Signals · 1

High average account balance

Active participants

370

Accounts w/ balance

470

Plan assets (EOY)

$160.2M

Net assets (EOY)

$160.2M

How this plan invests

This plan

1 pooled trust

Schedule D

33 securities

funds · stocks · CUSIPs

Holdings are itemized directly on this plan's Schedule of Assets, below.

Plan health score

/ 100

Grade A

Top-tier plan health

Directional indicator from public Form 5500 data — compliance & integrity, total plan cost, participant health and vendor stack, benchmarked against same-size peers. Not a fiduciary tool.

Compliance & integrity

100

Total plan cost

Plan health

Vendor & structure

Decision-maker contacts

CFO / Head of HR / Benefits Manager — verified email + LinkedIn for CONNING & COMPANY.

Plan sponsor

Name

CONNING & COMPANY

EIN

06-1174588

Address

ONE FINANCIAL PLAZA · HARTFORD, CT · 06103

Phone

(860) 299-2000

Industry

Finance & Insurancesee all

Plan administrator

Same as plan sponsor.

Plan characteristics

Plan number

003

Plan year

2024

Plan year begin

2024-01-01

Tax period

2024-12-31

Filed

2025-07-25

Pension benefit codes

2E · Profit-sharing

2F · ERISA section 404(c)

2G · Total participant-directed accounts

2J · 401(k) feature

2K · 401(m) arrangement

2R · Participant-directed brokerage (SDBA)

2S · Automatic enrollment

2T · Default investment account (QDIA)

Service providers (Schedule C)

5 rows

Recordkeeper

Name	EIN	Location	Relation	Direct comp	Indirect comp
EMPOWER ADVISORY GROUP, LLC	—	GREENWOOD VILLAGE, CO	INVESTMENT MGMT	$22K	—
EMPOWER ANNUITY INSURANCE COMPANY	—	GREENWOOD VILLAGE, CO	RECORDKEEPER	$10K	—

Accountant / Auditor

Name	EIN	Location	Relation	Direct comp	Indirect comp

Investments

33 direct securities · 1 pooled fund· $160.2M(100% of reported assets)

Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.

Other securities

$138.9M

31 holdings

Common Collective Trust

$11.6M

1 holding

Cash / Money Market

$9.1M

1 holding

Bonds / Notes

$729K

1 holding

					% of plan
Similar Party Par, or Maturity Value Cost ** Value Vanguard 500 Index Fund - Admiral Mutual Fund	Other securities	—	—	$37.3M	23.3%
T. Rowe Price All-Cap Opportunities Inv Mutual Fund	Other securities	—	—	$13.7M	8.6%
PUTNAM STABLE VALUE FUND PUTNAM INVESTMENTS · EIN 04-3159710 / PN 202	Common Collective Trust	—	—	$11.6M	7.2%
Vanguard Small Cap Index Fund - Admiral Mutual Fund	Other securities	—	—	$10.3M	6.4%
Self-Directed Brokerage Accounts Mutual Funds, Common and Preferred Stocks, Publicly Traded Limited Partnerships, Exchange Traded Funds, Corporate Obligations, Cash Deposits	Cash / Money Market	—	—	$9.1M	5.7%
Putnam Large Cap Value Y Mutual Fund	Other securities	—	—	$8.3M	5.2%
Vanguard Mid Cap Index Adm Mutual Fund	Other securities	—	—	$7.3M	4.6%
American Funds 2035 Target Date Fund R6 Mutual Fund	Other securities	—	—	$5.9M	3.7%
American Funds 2050 Target Date Fund R6 Mutual Fund	Other securities	—	—	$5.8M	3.6%
Vanguard Total Intl Stock Index Admiral Mutual Fund	Other securities	—	—	$4.7M	2.9%
American Funds 2030 Target Date Fund R6 Mutual Fund	Other securities	—	—	$4.6M	2.9%
American Funds 2045 Target Date Fund R6 Mutual Fund	Other securities	—	—	$3.9M	2.4%
American Funds Europacific Gr R6 Mutual Fund	Other securities	—	—	$3.9M	2.4%
American Funds 2025 Target Date Fund R6 Mutual Fund	Other securities	—	—	$3.9M	2.4%
Vanguard Short-Term Bond Index Adm Mutual Fund	Other securities	—	—	$3.6M	2.3%
American Funds 2055 Target Date Fund R6 Mutual Fund	Other securities	—	—	$3.6M	2.3%
John Hancock Bond Fund R6 Mutual Fund	Other securities	—	—	$3.4M	2.1%
Vanguard Interm-Term Bond Index Adm Mutual Fund	Other securities	—	—	$3.2M	2.0%
American Funds 2040 Target Date Fund R6 Mutual Fund	Other securities	—	—	$3.1M	1.9%
John Hancock Disciplined Value Mid Cap R6 Mutual Fund	Other securities	—	—	$2.4M	1.5%
Janus Henderson Enterprise N Mutual Fund	Other securities	—	—	$2.1M	1.3%
Vanguard Inflation-Protected Secs Adm Mutual Fund	Other securities	—	—	$1.6M	1.0%
Fidelity Small Cap Value Mutual Fund	Other securities	—	—	$1.4M	0.9%
American Funds 2060 Target Date Fund R6 Mutual Fund	Other securities	—	—	$1.2M	0.7%
PGIM High Yield Z Mutual Fund	Other securities	—	—	$812K	0.5%
Loomis Sayles Small Cap Growth Instl Mutual Fund	Other securities	—	—	$772K	0.5%
Participant loans Interest rates of 3.25% to 8.5% -	Bonds / Notes	—	—	$729K	0.5%
Fidelity Advisor Focused Emerging Markes Mutual Fund	Other securities	—	—	$626K	0.4%
American Funds 2020 Target Date Fund R6 Mutual Fund	Other securities	—	—	$414K	0.3%
American Funds 2065 Target Date Fund R6 Mutual Fund	Other securities	—	—	$318K	0.2%
PGIM Global Total Return R6 Mutual Fund	Other securities	—	—	$313K	0.2%
American Funds 2015 Target Date Fund R6 Mutual Fund	Other securities	—	—	$249K	0.2%
American Funds 2010 Target Date Fund R6 Mutual Fund	Other securities	—	—	$104K	<0.1%
Vanguard Long-Term Bond Index Admiral Mutual Fund	Other securities	—	—	$74K	<0.1%