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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

Jon Ferraiolo

Advisor at HARTFORD FUNDS

Cumming, GA | WAYNE, PA

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Search this name across graphsid dfx:ria:fa920dfa-1c65-9806-3e55-e1358c32f961

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Sep 12, 2012 to Sep 15, 2026

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

Current firm: HARTFORD FUNDS
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 12, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 29, 2019
First registration: Sep 12, 2012
Dual registered: yes, broker-dealer
Other names: JON MICHAEL FERRAIOLO|JON M FERRAIOLO|Jon Ferraiolo|John Ferraiolo
IAPD individual key: 5881490

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HARTFORD FUNDS	Asset manager	Jun 10, 2025	n/a	yes	WAYNE, PA\|Cumming, GA	Current employment
Potomac	Asset manager	Apr 5, 2024	May 23, 2025	no	BETHESDA, MD\|Cumming, GA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 5, 2023	Dec 4, 2023	no	DUNWOODY, GA	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Mar 24, 2022	Nov 17, 2022	no	ATLANTA, GA	Previous registration
VOYA INVESTMENT MANAGEMENT CO. LLC	Asset manager	Aug 7, 2019	Mar 16, 2022	no	ATLANTA, GA\|NEW YORK, NY	Previous registration
PGIM INVESTMENTS LLC	Asset manager	Jun 7, 2013	Jun 27, 2016	no	NEWARK, NJ	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Sep 12, 2012	Mar 1, 2013	no	Florham Park, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
Potomac	HARTFORD FUNDS	May 23, 2025	Jun 10, 2025	18	Firm change	Other
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Potomac	Dec 4, 2023	Apr 5, 2024	123	Firm change	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Nov 17, 2022	Jul 5, 2023	230	Firm change	Other
VOYA INVESTMENT MANAGEMENT CO. LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Mar 16, 2022	Mar 24, 2022	8	Firm change	Other
PGIM INVESTMENTS LLC	VOYA INVESTMENT MANAGEMENT CO. LLC	Jun 27, 2016	Aug 7, 2019	1,136	Firm change after gap	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	PGIM INVESTMENTS LLC	Mar 1, 2013	Jun 7, 2013	98	Firm change	Other

Relationships

Registered with (6)

→ HARTFORD FUNDSRegistered adviserregistration: current employment
Jun 10, 2025 to presentfactForm ADV
→ POTOMACRegistered adviserregistration: previous registration
Apr 5, 2024 to May 23, 2025factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 5, 2023 to Dec 4, 2023factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Mar 24, 2022 to Nov 17, 2022factForm ADV
→ VOYA INVESTMENT MANAGEMENT CO. LLCRegistered adviserregistration: previous registration
Aug 7, 2019 to Mar 16, 2022factForm ADV
→ PGIM INVESTMENTS LLCRegistered adviserregistration: previous registration
Jun 7, 2013 to Jun 27, 2016factForm ADV

Dated events

Occurred
May 23, 2025
Advisor changed firm
Jon Ferraiolo left Potomac for Hartford Funds (registered 2025-06-10)
Form ADVobserved 4 days ago
Occurred
Dec 4, 2023
Advisor changed firm
Jon Ferraiolo left Fidelity Personal And Workplace Advisors for Potomac (registered 2024-04-05)
Form ADVobserved 4 days ago
Occurred
Nov 17, 2022
Advisor changed firm
Jon Ferraiolo left Northwestern Mutual Investment Services,Llc for Fidelity Personal And Workplace Advisors (registered 2023-07-05)
Form ADVobserved 4 days ago
Occurred
Mar 16, 2022
Advisor changed firm
Jon Ferraiolo left Voya Investment Management Co. Llc for Northwestern Mutual Investment Services,Llc (registered 2022-03-24)
Form ADVobserved 4 days ago