Duff & Phelps Investment Management Co
Firm details
- Headquarters
- Chicago, Illinois
- CRD number
- 107296
- Registered since
- July 2, 1979
- Website
- www.dpimc.com
- Custodians
- THE BANK OF NEW YORK MELLON, CITI PRIVATE BANK, INSTITUTIONAL INVESTOR SERVICES, THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION
- Fee structure
- Percentage of AUM, Performance Based Fees
- Client types
- Investment Companies58.92%
- Pension & Profit Sharing Plans16.43%
- Pooled Investment Vehicles11.59%
- Corporations / Businesses7.19%
- State / Municipal Government5.5%
- Services
- Portfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients
Firm profile
FINTRXOverview
Duff & Phelps Investment Management Co. is an institutional registered investment adviser organized as a corporation and SEC-registered since 1979. The firm focuses on portfolio management for institutional clients, including investment companies, pooled investment vehicles and businesses or institutions. Its fee arrangements include percentage-of-AUM pricing and performance-based fees. The adviser is not identified as an active ESG investor and does not describe itself as a multi-state or newly formed adviser. Corporate activities and affiliations include roles as a broker-dealer, other investment adviser, commodity pool operator/commodity trading adviser, and sponsor/GP/managing member of pooled investment vehicles.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities75%
- US Government Bonds16%
- Investment Grade Corp Bonds6%
- State & Local Bonds2%
- Cash & Cash Equivalents1%
Owners & executives
3 of 4Kathleen Hegyi
Managing Director, Chief Compliance OfficerCRD 2229746
David Grumhaus
President and Chief Investment OfficerCRD 2544692
George Aylward
President and Chief Executive OfficerCRD 4932163
Contacts
3 of 6
Lauren Matz
Senior Compliance DirectorCRD 5167719
Geoffrey Dybas
Executive Manager DirectorCRD 2696909
Daniel Petrisko
Executive Manager DirectorCRD 4888273
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 13Active vs passive
$29M in ETFs
93%
$27.1M
7%
$1.9M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| STATE STREET(R) SPDR(R) S&P(R) GLOBAL NATURAL RESOURCES ETF (GNR) | State Street | Passive | Natural Resources | $3.6M | 53,100 | 12.32% |
Location
Chicago, IL
Cook
Location
Chicago, IL
Headquartered in Chicago, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.
- Metro area
- Chicago-Naperville, IL-IN-WI
- Region
- Midwest
- County
- Cook
- Address
- 10 S Wacker Dr
- Time zone
- CT (UTC-6)
- Office locations
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