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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

HL INVESTMENT ADVISORS, LLC

CRD 106077

SIMSBURY, CT

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Search this name across graphsid dfx:ria:1fa3aa3b-6c6d-f736-4dbc-0f0db4d20e46

Data as of Oct 4, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Dec 21, 2011 to Oct 4, 2012
3 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $39BItem 5.F on the latest filing (2012-10-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $39B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 34
SEC number: 801-16814
CRD: 106077
Filings on the tape: 3
First filed: Dec 21, 2011
Latest filed: Oct 4, 2012
Organised: Limited Liability Company, Connecticut

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ARENA, ROBERT, MICHAEL	Manager	Na	yes	12/2008	Dec 21, 2011	Oct 4, 2012
BENKEN, DIANA, KUMP	Controller	Na	yes	04/2007	Dec 21, 2011	Oct 4, 2012
DAVEY, JAMES, EDWARD	CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER	Na	yes	12/2010	Dec 21, 2011	Oct 4, 2012
HARTFORD FINANCIAL SERVICES, LLC	Owner	E	yes	12/1998	Dec 21, 2011	Oct 4, 2012
HARTFORD FINANCIAL SERVICES, LLC	SOLE MEMBER	E	yes	12/1998	Dec 21, 2011	Oct 4, 2012
HARTFORD HOLDINGS, INC.	Owner	E	yes	08/2002	Dec 21, 2011	Oct 4, 2012
HARTFORD LIFE AND ACCIDENT INSURANCE COMPANY	Owner	E	yes	03/2009	Dec 21, 2011	Oct 4, 2012
HARTFORD LIFE AND ANNUITY INSURANCE COMPANY	SOLE MEMBER	E	yes	09/2009	Dec 21, 2011	Oct 4, 2012
HARTFORD LIFE INSURANCE COMPANY	Owner	E	yes	09/2009	Dec 21, 2011	Oct 4, 2012
HARTFORD LIFE, INC.	Owner	E	yes	12/1996	Dec 21, 2011	Oct 4, 2012
MACDONALD, EDWARD, PAUL	VICE PRESIDENT, SECRETARY AND CHIEF LEGAL OFFICER	Na	yes	06/2006	Dec 21, 2011	Oct 4, 2012
MELCHER, JOSEPH, GARY	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	yes	09/2012	Oct 4, 2012	Oct 4, 2012
MEYER, VERNON, JOSEPH	SENIOR VICE PRESIDENT	Na	yes	08/2007	Dec 21, 2011	Oct 4, 2012
THE HARTFORD FINANCIAL SERVICES GROUP, INC.	Owner	E	yes	08/2002	Dec 21, 2011	Oct 4, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 44

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
HARTFORD INVESTMENT MANAGEMENT COMPANY	n/a	Institutional manager	$124B	N	yes	n/a
HARTFORD INVESTMENT FINANCIAL SERVICES, LLC	n/a	Former SEC adviser	$51B	Y	yes	n/a
WOODBURY FINANCIAL SERVICES, INC.	n/a	Former SEC adviser	$19B	N	yes	n/a
AMERICAN MATURITY LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
CHAMPLAIN LIFE REINSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
FENCOURT REINSURANCE COMPANY, LTD.	n/a	n/a	n/a	N	yes	n/a
FIRST STATE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
HARTFORD ACCIDENT AND INDEMNITY COMPANY	n/a	n/a	n/a	Y	yes	n/a
HARTFORD CASUALTY GENERAL AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
HARTFORD CASUALTY INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
HARTFORD EQUITY SALES COMPANY INC.	n/a	n/a	n/a	N	yes	n/a
HARTFORD FIRE GENERAL AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
HARTFORD FIRE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
HARTFORD INSURANCE COMPANY OF ILLINOIS	n/a	n/a	n/a	N	yes	n/a
HARTFORD INSURANCE COMPANY OF THE MIDWEST	n/a	n/a	n/a	N	yes	n/a
HARTFORD INSURANCE COMPANY OF THE SOUTHEAST	n/a	n/a	n/a	N	yes	n/a
HARTFORD INSURANCE, LTD.	n/a	n/a	n/a	N	yes	n/a
HARTFORD INTERNATIONAL LIFE REASSURANCE CORPORATION	n/a	n/a	n/a	N	yes	n/a
HARTFORD LIFE AND ACCIDENT INSURANCE COMPANY	n/a	n/a	n/a	Y	yes	n/a
HARTFORD LIFE AND ANNUITY INSURANCE COMPANY	n/a	n/a	n/a	Y	yes	n/a
HARTFORD LIFE DISTRIBUTORS, LLC	n/a	n/a	n/a	N	yes	n/a
HARTFORD LIFE INSURANCE COMPANY	n/a	n/a	n/a	Y	yes	n/a
HARTFORD LIFE INSURANCE KK	n/a	n/a	n/a	N	yes	n/a
HARTFORD LIFE LIMITED	n/a	n/a	n/a	N	yes	n/a
HARTFORD LIFE, LTD.	n/a	n/a	n/a	N	yes	n/a
HARTFORD LLOYD'S INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
HARTFORD OF TEXAS GENERAL AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
HARTFORD SECURITIES DISTRIBUTION COMPANY, INC.	n/a	n/a	n/a	N	yes	n/a
HARTFORD SPECIALTY INSURANCE SERVICES OF TEXAS, LLC	n/a	n/a	n/a	N	yes	n/a
HARTFORD UNDERWRITERS GENERAL AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
HARTFORD UNDERWRITERS INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
HERITAGE REINSURANCE COMPANY, LTD.	n/a	n/a	n/a	N	yes	n/a
M-CAP INSURANCE AGENCY, LLC	n/a	n/a	n/a	N	yes	n/a
NEW ENGLAND INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
NEW ENGLAND REINSURANCE CORPORATION	n/a	n/a	n/a	N	yes	n/a
NEW OCEAN INSURANCE COMPANY, LTD.	n/a	n/a	n/a	N	yes	n/a
NUTMEG INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
NUTMEG INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
PACIFIC INSURANCE COMPANY, LTD.	n/a	n/a	n/a	N	yes	n/a
PROPERTY AND CASUALTY INSURANCE COMPANY OF HARTFORD	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$39B	$39B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$39B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (4)

→ HARTFORD INVESTMENT MANAGEMENT COMPANYRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserother investment adviser, broker-dealer, insurance company, investment company, LP sponsor, common control
factForm ADV
→ HARTFORD INVESTMENT FINANCIAL SERVICES, LLCRegistered adviserother investment adviser, broker-dealer, control, common control
factForm ADV
← HARTFORD INVESTMENT FINANCIAL SERVICES, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (13)

← DAVEY, JAMES, EDWARDOwnerCHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER, ownership code NA, individual
Dec 21, 2011 to presentfactForm ADV
← MEYER, VERNON, JOSEPHOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Dec 21, 2011 to presentfactForm ADV
← ARENA, ROBERT, MICHAELOwnerMANAGER, ownership code NA, individual
Dec 21, 2011 to presentfactForm ADV
← MELCHER, JOSEPH, GARYOwnerVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 4, 2012 to presentfactForm ADV
← MACDONALD, EDWARD, PAULOwnerVICE PRESIDENT, SECRETARY AND CHIEF LEGAL OFFICER, ownership code NA, individual
Dec 21, 2011 to presentfactForm ADV
← BENKEN, DIANA, KUMPOwnerCONTROLLER, ownership code NA, individual
Dec 21, 2011 to presentfactForm ADV
← HARTFORD FINANCIAL SERVICES, LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Dec 21, 2011 to presentfactForm ADV
← HARTFORD HOLDINGS, INC.OwnerOWNER, ownership code E, domestic entity
Dec 21, 2011 to presentfactForm ADV
← HARTFORD LIFE AND ACCIDENT INSURANCE COMPANYOwnerOWNER, ownership code E, domestic entity
Dec 21, 2011 to presentfactForm ADV
← HARTFORD LIFE AND ANNUITY INSURANCE COMPANYOwnerSOLE MEMBER, ownership code E, domestic entity
Dec 21, 2011 to presentfactForm ADV
← HARTFORD LIFE INSURANCE COMPANYOwnerOWNER, ownership code E, domestic entity
Dec 21, 2011 to presentfactForm ADV
← HARTFORD LIFE, INC.OwnerOWNER, ownership code E, domestic entity
Dec 21, 2011 to presentfactForm ADV
← THE HARTFORD FINANCIAL SERVICES GROUP, INC.OwnerOWNER, ownership code E, domestic entity
Dec 21, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1fa3aa3b-6c6d-f736-4dbc-0f0db4d20e46
First observed: Dec 21, 2011
Last observed: Oct 4, 2012 169 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HL INVESTMENT ADVISORS, LLC

CRD 106077

SIMSBURY, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1fa3aa3b-6c6d-f736-4dbc-0f0db4d20e46

Data as of Oct 4, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:35 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ARENA, ROBERT, MICHAEL

Manager

yes

12/2008

Dec 21, 2011

Oct 4, 2012

BENKEN, DIANA, KUMP

Controller

yes

04/2007

Dec 21, 2011

Oct 4, 2012

DAVEY, JAMES, EDWARD

CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER

yes

12/2010

Dec 21, 2011

Oct 4, 2012

HARTFORD FINANCIAL SERVICES, LLC

Owner

yes

12/1998

Dec 21, 2011

Oct 4, 2012

HARTFORD FINANCIAL SERVICES, LLC

SOLE MEMBER

yes

12/1998

Dec 21, 2011

Oct 4, 2012

HARTFORD HOLDINGS, INC.

Owner

yes

08/2002

Dec 21, 2011

Oct 4, 2012

HARTFORD LIFE AND ACCIDENT INSURANCE COMPANY

Owner

yes

03/2009

Dec 21, 2011

Oct 4, 2012

HARTFORD LIFE AND ANNUITY INSURANCE COMPANY

SOLE MEMBER

yes

09/2009

Dec 21, 2011

Oct 4, 2012

HARTFORD LIFE INSURANCE COMPANY

Owner

yes

09/2009

Dec 21, 2011

Oct 4, 2012

HARTFORD LIFE, INC.

Owner

yes

12/1996

Dec 21, 2011

Oct 4, 2012

MACDONALD, EDWARD, PAUL

VICE PRESIDENT, SECRETARY AND CHIEF LEGAL OFFICER

yes

06/2006

Dec 21, 2011

Oct 4, 2012

MELCHER, JOSEPH, GARY

VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

09/2012

Oct 4, 2012

MEYER, VERNON, JOSEPH

SENIOR VICE PRESIDENT

yes

08/2007

Dec 21, 2011

Oct 4, 2012

THE HARTFORD FINANCIAL SERVICES GROUP, INC.

Owner

yes

08/2002

Dec 21, 2011

Oct 4, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HARTFORD INVESTMENT MANAGEMENT COMPANY

n/a

Institutional manager

$124B

yes

n/a

HARTFORD INVESTMENT FINANCIAL SERVICES, LLC

n/a

Former SEC adviser

$51B

yes

n/a

WOODBURY FINANCIAL SERVICES, INC.

n/a

Former SEC adviser

$19B

yes

n/a

AMERICAN MATURITY LIFE INSURANCE COMPANY

n/a

yes

n/a

CHAMPLAIN LIFE REINSURANCE COMPANY

n/a

yes

n/a

FENCOURT REINSURANCE COMPANY, LTD.

n/a

yes

n/a

FIRST STATE INSURANCE COMPANY

n/a

yes

n/a

HARTFORD ACCIDENT AND INDEMNITY COMPANY

n/a

yes

n/a

HARTFORD CASUALTY GENERAL AGENCY, INC.

n/a

yes

n/a

HARTFORD CASUALTY INSURANCE COMPANY

n/a

yes

n/a

HARTFORD EQUITY SALES COMPANY INC.

n/a

yes

n/a

HARTFORD FIRE GENERAL AGENCY, INC.

n/a

yes

n/a

HARTFORD FIRE INSURANCE COMPANY

n/a

yes

n/a

HARTFORD INSURANCE COMPANY OF ILLINOIS

n/a

yes

n/a

HARTFORD INSURANCE COMPANY OF THE MIDWEST

n/a

yes

n/a

HARTFORD INSURANCE COMPANY OF THE SOUTHEAST

n/a

yes

n/a

HARTFORD INSURANCE, LTD.

n/a

yes

n/a

HARTFORD INTERNATIONAL LIFE REASSURANCE CORPORATION

n/a

yes

n/a

HARTFORD LIFE AND ACCIDENT INSURANCE COMPANY

n/a

yes

n/a

HARTFORD LIFE AND ANNUITY INSURANCE COMPANY

n/a

yes

n/a

HARTFORD LIFE DISTRIBUTORS, LLC

n/a

yes

n/a

HARTFORD LIFE INSURANCE COMPANY

n/a

yes

n/a

HARTFORD LIFE INSURANCE KK

n/a

yes

n/a

HARTFORD LIFE LIMITED

n/a

yes

n/a

HARTFORD LIFE, LTD.

n/a

yes

n/a

HARTFORD LLOYD'S INSURANCE COMPANY

n/a

yes

n/a

HARTFORD OF TEXAS GENERAL AGENCY, INC.

n/a

yes

n/a

HARTFORD SECURITIES DISTRIBUTION COMPANY, INC.

n/a

yes

n/a

HARTFORD SPECIALTY INSURANCE SERVICES OF TEXAS, LLC

n/a

yes

n/a

HARTFORD UNDERWRITERS GENERAL AGENCY, INC.

n/a

yes

n/a

HARTFORD UNDERWRITERS INSURANCE COMPANY

n/a

yes

n/a

HERITAGE REINSURANCE COMPANY, LTD.

n/a

yes

n/a

M-CAP INSURANCE AGENCY, LLC

n/a

yes

n/a

NEW ENGLAND INSURANCE COMPANY

n/a

yes

n/a

NEW ENGLAND REINSURANCE CORPORATION

n/a

yes

n/a

NEW OCEAN INSURANCE COMPANY, LTD.

n/a

yes

n/a

NUTMEG INSURANCE AGENCY, INC.

n/a

yes

n/a

NUTMEG INSURANCE COMPANY

n/a

yes

n/a

PACIFIC INSURANCE COMPANY, LTD.

n/a

yes

n/a

PROPERTY AND CASUALTY INSURANCE COMPANY OF HARTFORD

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$39B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$39B

n/a