Goodwin Capital Advisers, Inc. (Hartford)

Name: Goodwin Capital Advisers, Inc.
Address: One Financial Plaza, Hartford, CT, 06103 2608
Telephone: 860-299-2000

Goodwin Capital Advisers, Inc. is a large advisory firm based in Hartford. It manages $892.67 million of regulatory assets for 11 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdiction of Connecticut.

Goodwin Capital Advisers provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Goodwin Capital Advisers: assets under management

The assets under management (AUM) of Goodwin Capital Advisers, Inc. is $892.67 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -61% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $892.67 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $81.15 million each.

Investments

The firm invests in other assets the most. They account for 37% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 29% of the firm’s portfolio. Investments in government bonds form 14% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Goodwin Capital Advisers, Inc. for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Michael Edward Haylon serves?

The firm provides services to insurance companies, pooled investment vehicles, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Michael Edward Haylon is pension and profit sharing plans with 6 clients and $435.91 million of assets under management. Among the 6 most similar advisory firms, Goodwin Capital Advisers has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $892.67 million for 11 clients. None of the firm’s clients are foreign persons or businesses.

Goodwin Capital Advisers doesn't advise any private funds.

Careers at Goodwin Capital Advisers, Inc.

The company employs 9 people that are either part- or full-time employees. 44 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Michael Edward Haylon has been acting as President since 1 Mar 2003. Inc. Conning U.S. Holdings joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ltd Phoenix Investment Partners	Shareholder	1 Mar 1995	75% - 100%	06-1369627
Inc. (Fka Phoenix Investment Partners Ltd) Virtus Investment Partners	Shareholder	1 Mar 1995	75% - 100%	06-1369627
John Henry Beers	Vice president and secretary	1 May 2002	Other	3255701
Michael Edward Haylon	Director	1 Mar 2003	Other	1884528
Glenn H Pease	Vice president, finance and treasurer	1 Dec 2003	Other	4363107
Cynthia Anne Beaulieu	Managing director, sr. portfolio manager	1 Jan 2007	Other	5033868
Lynn Marie Ryan	Managing director, sr. portfolio manager	1 Jan 2007	Other	2961638
George R. Aylward	Director and executive vice president	1 Jan 2007	Other	4932163
James David Wehr	Director and president	1 Jan 2007	Other	4334757
Doreen Alicia Bonner	Vice president, chief compliance officer	1 Jan 2007	Other	708887
Francis George Waltman	Senior vice president	1 Jan 2007	Other	1778566
David Leon Albrycht	Senior managing director	1 Jan 2007	Other	1279251
Timothy M. Heaney	Senior managing director	1 Jan 2007	Other	4888271
Christopher Jude Kelleher	Senior managing director	1 Jan 2007	Other	5029310
Christopher John Saner	Managing director	1 Jan 2007	Other	5029336
Christopher Matthew Wilkos	Senior vice president	1 Jan 2007	Other	5118630
David G Hanley	Vice president and treasurer	1 Nov 2007	Other	5455435
Peter Alexander Hofmann	Treasurer	1 Dec 2008	Other	1800887
The Phoenix Companies	Parent company	1 Dec 2008	75% - 100%	06-1599088
Christopher Matthew Wilkos	Director and president	1 Jun 2009	Other	5118630
David Leon Albrycht	Executive managing director	1 Jan 2010	Other	1279251
Vi (Viola) R. Smalley	Chief legal officer\corporate secretary	1 Jan 2011	Other	5899872
Conning & Company	Owner	1 Nov 2011	75% - 100%	06-1174588
Richard Louis Sega	President, cio	1 Nov 2011	Other	2241037
Robert Stedman Pearce	Chief compliance officer	1 Nov 2011	Other	1991468
Jung Won Lee	Chief financial officer	1 Nov 2011	Other	2791334
Linwood Earle Bradford	Chief operations officer	1 Nov 2011	Other	4179446
Glenn Heiser	Chief administrative officer	1 Nov 2011	Other	4648423
James P Romano	Chief risk officer	1 Nov 2011	Other	2513671
Salvatore Correnti	Managing director	1 Nov 2011	Other	1856799

Indirect Owners

The SEC currently registers 10 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. The Phoenix Companies	Parent company	1 Jun 2001	75% - 100%	06-1599088
Inc. Phoenix Investment Management Company	Indirect shareholder	1 Jun 2001	75% - 100%	06-1605029
Inc. The Phoenix Companies	Parent company	1 Dec 2008	75% - 100%	13-5155720
Conning Holdings Corp	Member	1 Oct 2009	75% - 100%	27-0945244
Aquiline Financial Services Fund (Offshore) L.P.	Shareholder	1 Oct 2009	25% - 50%	00-0000000
Aquiline Financial Services Fund L.P.	Shareholder	1 Oct 2009	50% - 75%	20-3831810
Inc. Conning U.S. Holdings	Shareholder	1 Sep 2015	75% - 100%	47-4844493
Conning Holdings Limited	Shareholder	1 Sep 2015	75% - 100%	98-1259764
Ltd. Cathay Life Insurance Co.	Shareholder	1 Sep 2015	75% - 100%	03374707
Ltd. Cathay Financial Holding Co.	Shareholder	1 Sep 2015	75% - 100%	70827406

Based in Hartford

The principal office where Goodwin Capital Advisers, Inc. performs its advisory services is located at One Financial Plaza, Hartford, CT 06103 2608, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 860-299-2000 or by fax 860-299-2479. The normal business hours are 8:00am - 4:45pm on Monday - Friday. You can find more information about the New York firm at goodwincap.com.