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CLINTON INVESTMENT MANAGEMENT, LLC

STAMFORD, CT · CRD 143599 · IAPD ↗ · clintoninvestment.com · (203) 276-6246

$3.91BRegulatory AUM
11Advisory reps
14Employees
0Clients
n/aPlanning clients
0Private funds
37States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
April 2026 — CLINTON INVESTMENT MANAGEMENT, LLC notice-filed in DC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
August 2024 — CLINTON INVESTMENT MANAGEMENT, LLC notice-filed in DE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2024 — CLINTON INVESTMENT MANAGEMENT, LLC notice-filed in AL, AR, CO, IN, KY, LA, ME, MI, MO, NE, NV, OH, OR, PA, TN, UT, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
73
April 2024 — CLINTON INVESTMENT MANAGEMENT, LLC reported RAUM up 69% ($1.69B -> $2.85B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
73
April 2024 — CLINTON INVESTMENT MANAGEMENT, LLC grew from 7 to 10 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.