DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Hl Investment Advisors, LLC

Former SEC-registered adviserSimsbury, ConnecticutCRD 106077SEC 801-16814IAPD
Latest filing Oct 4, 2012
First filing on the tape Dec 21, 2011 · 3 filings
RAUM
$39B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$39B as of Oct 4, 2012
Dec 21, 2011$45B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 4, 2012
Dec 21, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 4, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.1BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
34reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Michael Robert Arena · Managercontrol
        since 12/2008 · owns less than 5%
      • Kump Diana Benken · Controllercontrol
        since 04/2007 · owns less than 5%
      • Edward James Davey · Chief Executive Officer, President And Managercontrol
        since 12/2010 · owns less than 5%
      • Paul Edward Macdonald · Vice President, Secretary And Chief Legal Officercontrol
        since 06/2006 · owns less than 5%
      • Gary Joseph Melcher · Vice President And Chief Compliance Officercontrol
        since 09/2012 · owns less than 5%
      • Joseph Vernon Meyer · Senior Vice Presidentcontrol
        since 08/2007 · owns less than 5%
      Entity owners
      • Hartford Financial Services, LLC · Owner
        direct · owns 75% or more
      • Hartford Financial Services, LLC · Sole Member
        indirect · owns 75% or more of Hl Investment Advisors, LLC
      • Hartford Holdings, Inc. · Owner
        indirect · owns 75% or more of Hartford Life, Inc.
      • Hartford Life And Accident Insurance Company · Owner
        indirect · owns 75% or more of Hartford Life Insurance Company
      • Hartford Life And Annuity Insurance Company · Sole Member
        indirect · owns 75% or more of Hartford Financial Services, LLC
      • Hartford Life Insurance Company · Owner
        indirect · owns 75% or more of Hartford Life And Annuity Insurance Company
      • Hartford Life, Inc. · Owner
        indirect · owns 75% or more of Hartford Life And Accident Insurance Company
      • The Hartford Financial Services Group, Inc. · Owner
        indirect · owns 75% or more of Hartford Holdings, Inc. · public reporting company
      Related persons
      Schedule D 7.A
      • American Maturity Life Insurance Company
        real estaten
      • Champlain Life Reinsurance Company
        real estaten
      • Fencourt Reinsurance Company, Ltd.
        real estaten
      • First State Insurance Company
        real estaten
      • Hartford Accident And Indemnity Company
        real estatey
      • Hartford Casualty General Agency, Inc.
        real estaten
      • Hartford Casualty Insurance Company
        real estaten
      • Hartford Equity Sales Company Inc.
        broker-dealern
      • Hartford Fire General Agency, Inc.
        real estaten
      • Hartford Fire Insurance Company
        real estaten
      • Hartford Insurance Company Of Illinois
        real estaten
      • Hartford Insurance Company Of The Midwest
        real estaten
      • Hartford Insurance Company Of The Southeast
        real estaten
      • Hartford Insurance, Ltd.
        real estaten
      • Hartford International Life Reassurance Corporation
        real estaten
      • Hartford Investment Financial Services, LLC
        broker-dealerinvestment adviseryRAUM $51B
      • Hartford Investment Management Company
        investment adviserbankpooled vehicle sponsornRAUM $124B
      • Hartford Life And Accident Insurance Company
        real estatey
      • Hartford Life And Annuity Insurance Company
        real estatey
      • Hartford Life Distributors, LLC
        broker-dealern
      • Hartford Life Insurance Company
        real estatey
      • Hartford Life Insurance Kk
        real estaten
      • Hartford Life Limited
        real estaten
      • Hartford Life, Ltd.
        real estaten
      • Hartford Lloyd'S Insurance Company
        real estaten
      • Hartford Of Texas General Agency, Inc.
        real estaten
      • Hartford Securities Distribution Company, Inc.
        broker-dealern
      • Hartford Specialty Insurance Services Of Texas, LLC
        real estaten
      • Hartford Underwriters General Agency, Inc.
        real estaten
      • Hartford Underwriters Insurance Company
        real estaten
      Advisers that list Hl Investment Advisors, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · H L INVESTMENT ADVISORS LLC to HL INVESTMENT ADVISORS, LLC
        Mar 30, 2012 to Oct 4, 2012
      • Legal name · H L INVESTMENT ADVISORS LLC to HL INVESTMENT ADVISORS, LLC
        Mar 30, 2012 to Oct 4, 2012
      • Accounts · 33 to 34
        Dec 21, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 21, 2011 to Mar 30, 2012
      • Discretionary RAUM · $45B to $39B
        Dec 21, 2011 to Mar 30, 2012
      • RAUM · $45B to $39B
        Dec 21, 2011 to Mar 30, 2012
      • Related bank · false to true
        Dec 21, 2011 to Mar 30, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026