Firm profile

Symetra Investment Management Company

FARMINGTON, CTCRD 312176Registration Status: ApprovedEffective since April 1, 2021SEC # 801-120578Latest ADV April 23, 2026

Symetra Investment Management Company is an SEC registered investment adviser organized as a corporation with a primary office location in Farmington, CT. Its latest Form ADV filing, dated April 23, 2026, reports $88.8B in regulatory assets under management, 101 employees, 2 offices, and 76 accounts.

Assets Under Management

$88.8B

Employees

101

Offices

2 offices

Total Clients

Associated firm names

1 name listed

SYMETRA INVESTMENT MANAGEMENT COMPANY

Leadership

3 roles identified

CCORobert S. Herlihy

CFOKevin A. Sklar

CIONicholas P. Mocciolo

Advisory services offered

3 types reported

Portfolio management for businesses

Portfolio management for pooled investment vehicles

Selection of other advisers

Fee models offered

2 types reported

Asset based fees

Performance-based fees

Offices & Contact

Primary office

FARMINGTON, Connecticut, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

View locations

Connecticut

FARMINGTONPrimary office

Washington

BELLEVUE

2 office records listed · 2 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Phone860-370-7812 WebsiteVisit website LinkedInView profile

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$88.8Bas of April 23, 2026

Discretionary72.1%

$64.0B

72% of total RAUM72.1%

Non-discretionary27.9%

$24.8B

28% of total RAUM27.9%

Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentInsurance Cos. represent 50.0% of total clients.

Top client categories% of clientsClients

Insurance Cos.

50.0%

Pooled Investment Vehicles

20.0%

Corporations

20.0%

Other Advisers

10.0%

Categories with <5 clients

Corporations or other businesses not listed above<5 clients

Other investment advisers<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$88.8B

Total Accounts76

10Y AUM Change+$44.4B (+100.2%)

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees101

Clients per Employee0:1

10Y Employee Change+13 (+14.8%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%

SYMETRA FINANCIAL CORPORATIONDirect owner · Schedule AInterest in SYMETRA INVESTMENT MANAGEMENT COMPANY

75%+

SUMITOMO LIFE INSURANCE COMPANYIndirect owner · Schedule BInterest in SYMETRA FINANCIAL CORPORATION

75%+

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Symetra Investment Management Company.

Reported ownership and control details

Form ADV · Filing date 2026-04-23 · Schedules A and B

13 entries

#	Owner / person & role	Interest in entity	Reported interest	Control person	Title / status acquired	Source
1	SYMETRA FINANCIAL CORPORATIONSOLE SHAREHOLDERDomestic entity	SYMETRA INVESTMENT MANAGEMENT COMPANY	75% or moreCode E	Yes	SOLE SHAREHOLDER06/2019	Schedule APDF page 31
2	Nicholas Paul MoccioloSENIOR MANAGING DIRECTOR, INTERIM CO- PRESIDENT & CHIEF INVESTMENT OFFICERIndividual	SYMETRA INVESTMENT MANAGEMENT COMPANY	Less than 5%Code NA	Yes	SENIOR MANAGING DIRECTOR, INTERIM CO- PRESIDENT & CHIEF INVESTMENT OFFICER10/2025	Schedule APDF page 31
3	YVONNE MARIE GUAJARDOSENIOR MANAGING DIRECTOR, HEAD OF PRIVATE PLACEMENTS DEBTIndividual	SYMETRA INVESTMENT MANAGEMENT COMPANY	Less than 5%Code NA	Yes	SENIOR MANAGING DIRECTOR, HEAD OF PRIVATE PLACEMENTS DEBT03/2020	Schedule APDF page 31
4	ROBERT STEVEN HERLIHYMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICERIndividual	SYMETRA INVESTMENT MANAGEMENT COMPANY	Less than 5%Code NA	Yes	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER01/2021	Schedule APDF page 31
5	COLIN MICHAEL ELDERSENIOR MANAGING DIRECTOR, HEAD OF COMMERCIAL MORTGAGE LOANSIndividual	SYMETRA INVESTMENT MANAGEMENT COMPANY	Less than 5%Code NA	Yes	SENIOR MANAGING DIRECTOR, HEAD OF COMMERCIAL MORTGAGE LOANS12/2019	Schedule APDF page 31
6	Kevin Alan SklarSENIOR MANAGING DIRECTOR, TREASURER & CHIEF FINANCIAL OFFICERIndividual	SYMETRA INVESTMENT MANAGEMENT COMPANY	Less than 5%Code NA	Yes	SENIOR MANAGING DIRECTOR, TREASURER & CHIEF FINANCIAL OFFICER02/2021	Schedule APDF page 31
7	ANDREW M.A. GOULDSENIOR MANAGING DIRECTOR, GENERAL COUNSELIndividual	SYMETRA INVESTMENT MANAGEMENT COMPANY	Less than 5%Code NA	Yes	SENIOR MANAGING DIRECTOR, GENERAL COUNSEL09/2023	Schedule APDF page 31
8	John M FlynnSENIOR MANAGING DIRECTOR, HEAD OF BUSINESS DEVELOPMENT AND MARKETINGIndividual	SYMETRA INVESTMENT MANAGEMENT COMPANY	Less than 5%Code NA	Yes	SENIOR MANAGING DIRECTOR, HEAD OF BUSINESS DEVELOPMENT AND MARKETING04/2024	Schedule APDF page 31
9	ANITA KARKHANIS KERRSENIOR MANAGING DIRECTOR, INTERIM CO- PRESIDENT HEAD OF BUSINESS STRATEGY & OPERATIONSIndividual	SYMETRA INVESTMENT MANAGEMENT COMPANY	Less than 5%Code NA	Yes	SENIOR MANAGING DIRECTOR, INTERIM CO- PRESIDENT HEAD OF BUSINESS STRATEGY & OPERATIONS10/2025	Schedule APDF page 31
10	GLENN THOMAS GORDONSENIOR MANAGING DIRECTOR, HEAD OF STRUCTURED FINANCEIndividual	SYMETRA INVESTMENT MANAGEMENT COMPANY	Less than 5%Code NA	Yes	SENIOR MANAGING DIRECTOR, HEAD OF STRUCTURED FINANCE01/2026	Schedule APDF page 31
11	MARK STEVEN PELLETIERSENIOR MANAGING DIRECTOR, HEAD OF CLO, HIGH YIELD, AND BANK LOAN MANAGEMENTIndividual	SYMETRA INVESTMENT MANAGEMENT COMPANY	Less than 5%Code NA	Yes	SENIOR MANAGING DIRECTOR, HEAD OF CLO, HIGH YIELD, AND BANK LOAN MANAGEMENT03/2026	Schedule APDF page 31
12	BRIAN PAUL STANICKSENIOR MANAGING DIRECTOR, HEAD OF PUBLIC INVESTMENT GRADE CORPORATE FIXED INCOMEIndividual	SYMETRA INVESTMENT MANAGEMENT COMPANY	Less than 5%Code NA	Yes	SENIOR MANAGING DIRECTOR, HEAD OF PUBLIC INVESTMENT GRADE CORPORATE FIXED INCOME03/2026	Schedule APDF page 31
13	SUMITOMO LIFE INSURANCE COMPANYSOLE SHAREHOLDERForeign entity	SYMETRA FINANCIAL CORPORATION	75% or moreCode E	Yes	SOLE SHAREHOLDER02/2016	Schedule BPDF page 32

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 4/23/2026 1:04:32 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo

AFelonies2 No

In the past ten years, have you or any advisory affiliate:

A1Been convicted of or pleaded guilty or no contest to a felony?No
A2Been charged with a felony?No

BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
B2Been charged with a misdemeanor of the kind listed above?No

CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

C1Found you or an advisory affiliate made a false statement or omission?No
C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No

DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No

ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

E1Found you or an advisory affiliate made a false statement or omission?No
E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No

FProfessional authorizations1 No

FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No

GPending regulatory proceedings1 No

GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No

HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.