Clinton Investment Management, Llc
- Regulatory AUM
- $3.9B
- Discretionary
- $3.9B
- Clients
- 2,146
- Avg AUM / client
- $1.8M
- Accounts
- 2,146
- Employees
- 14
AUM over time
Annual snapshots from Form ADV filings · as of May 14, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,136 | $630M | 16.1% |
| High net worth individuals | 959 | $2.9B | 73.5% |
| Investment companies | 3 | $185M | 4.74% |
| Corporations and other businesses | 48 | $221M | 5.66% |
People (11)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Andrew Ira Clinton | Ceo | Apr 2007 (19y) | 75% or more | |
| Lane Steven Bucklan | General Counsel And Chief Compliance Officer | Nov 2023 (3y) | Less than 5% | |
| David Alan Karpa | Registered representative | CFA | Jul 2017 (9y) | |
| Mark Charles Sullivan | Registered representative | Jul 2019 (7y) | ||
| Alexander Dewitt Clinton | Registered representative | Jan 2023 (4y) | ||
| Shivani Singh | Registered representative | CFA | Jan 2024 (3y) | |
| Sean Coffey | Registered representative | Mar 2024 (2y) | ||
| Lynn O'shea | Registered representative | Apr 2024 (2y) | ||
| Trevor James Smallwood | Registered representative | Apr 2024 (2y) | ||
| Anya Sanjay Dalal | Registered representative | Oct 2025 (1y) | ||
| Thomas Desiderio | Registered representative | Dec 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/14/2026 | 1020 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Merrill Lynch $1.5B (39% of AUM) May 2026
- Morgan Stanley $1.1B (27% of AUM) May 2026
- Charles Schwab & Co. $293M (10% of AUM) Dec 2024
- UBS $270M (9% of AUM) Dec 2024
- Fidelity Brokerage Services $199M (12% of AUM) Nov 2023
- Wells Fargo $109M (20% of AUM) Mar 2019
- Pershing $54.0M (10% of AUM) Mar 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 14, 2026.
View current Form ADV (SEC/IAPD) ↗