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.
SEC-registered adviser
Hartford Funds
Legal name Hartford Funds Management Company, LLC
Latest filing Jun 10, 2026
First filing on the tape Sep 27, 2012 · 43 filings
SEC status approved since Oct 19, 2012
RAUM
$152B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
47
registered through the firm on IAPD
RAUM per advisor
$3.2B
derived; firm RAUM over IAPD count
Employees
368
34 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$152B as of Jun 10, 2026
Feb 19, 2013$91B then
HNW client RAUM: no history
State-registered IARs (5.B.3)58 as of Jun 10, 2026
Feb 19, 20130 then
Employees (5.A)368 as of Jun 10, 2026
Feb 19, 201319 then
Private funds2 as of Jun 10, 2026
Feb 19, 20133 then
RAUM +10% over the last fiscal year+7.6% a year over threeIARs 50 to 58
Practice profile
derived from the filing of Jun 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $3.2BderivedRAUM 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
- $1.7BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.8derivedItem 5.A over advisors
- Advisors per office
- 47.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +16%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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
- Investment companies$150B99%
- State and municipal entities$1.9B1.2%
- Pooled investment vehicles$21.3M0.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 91reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.01 related_bd=true related_bank=true bd_reps=239.0derived
Advisors registered through the firm
47 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Edward Joseph Cisowski | Naperville, Il | Jan 21, 2015 | 22 y | 2 |
| Joseph Gary Melcher | Wayne, Pa | Jan 23, 2015 | 26 y | 2 |
| Anthony R Monterosso | Wayne, Pa | Jan 23, 2015 | 22 y | 1 |
| Mark Andrew Stevens | Mason, Oh | Jan 23, 2015 | 24 y | 2 |
| Brian Edward KrausChartered Financial Analyst | Wayne, Pa | Mar 16, 2015 | 25 y | 4 |
| Joel Alan Cohen | Wayne, Pa | Apr 7, 2015 | 16 y | 1 |
| Michael James Tobin | San Diego, Ca | May 26, 2015 | 33 y | 2 |
| Adam Schreiber | Wayne, Pa | Aug 7, 2015 | 11 y | 0 |
| Lori Ann Murphy | Westfield, Nj | Dec 10, 2015 | 20 y | 1 |
| Casey Edward Miller | Wayne, Pa | Oct 11, 2016 | 29 y | 1 |
| Joshua David Gribben | Wayne, Pa | Feb 3, 2017 | 11 y | 1 |
| Jane Dahill Flanigan | Wayne, Pa | May 3, 2017 | 28 y | 4 |
| Clinton James Jones | Verona, Wi | Jan 16, 2018 | 20 y | 2 |
| Jason Robert SchechterChartered Financial Analyst | Wayne, Pa | Mar 20, 2018 | 18 y | 3 |
| Julie Lee Genjac | Wayne, Pa | Mar 26, 2018 | 22 y | 2 |
| Joseph Paul Miller | Wayne, Pa | Apr 2, 2018 | 16 y | 1 |
| Thomas J Grasso | Royersford, Pa | Apr 6, 2018 | 26 y | 2 |
| Curtis Jeffrey Hopp | Wayne, Pa | Jun 1, 2018 | 12 y | 1 |
| Young Jae Kim | Wayne, Pa | Jul 27, 2018 | 11 y | 1 |
| Jack Robert Kelly | Wayne, Pa | Sep 11, 2019 | 19 y | 3 |
| Megan MooneyChartered Financial Analyst | Wayne, Pa | Sep 11, 2019 | 22 y | 3 |
| Colleen Sweeney Lynch | Wayne, Pa | Sep 16, 2019 | 20 y | 1 |
| Katelyn Elizabeth Derr | Wayne, Pa | Dec 4, 2019 | 13 y | 1 |
| Timothy Richard Murphy | Highland Park, Il | Feb 3, 2020 | 23 y | 1 |
| Darren Anthony Brich | Wayne, Pa | Oct 21, 2020 | 28 y | 2 |
| Daniel Lawrence Massetti | Wayne, Pa | Jan 12, 2022 | 16 y | 1 |
| Peter Colwin TamburrinoCertified Financial Planner | Wayne, Pa | Jan 24, 2022 | 27 y | 3 |
| Jake Charles Maclean | Wayne, Pa | Sep 26, 2022 | 13 y | 1 |
| Bradley Robert Yocum | Erlanger, Ky | Sep 8, 2023 | 14 y | 5 |
| John Bryson Palmer | Wayne, Pa | Feb 7, 2025 | 20 y | 5 |
| Gustavo Oliverto De La Roca | Glendale, Ca | Mar 12, 2025 | 24 y | 4 |
| Sheila Marand FountainCertified Financial Planner | Wayne, Pa | Apr 3, 2025 | 10 y | 1 |
| Nathan Patrick GoldmanChartered Financial Analyst | Bryn Mawr, Pa | Apr 23, 2025 | 15 y | 1 |
| Colman Peter Flanagan | Austin, Tx | May 22, 2025 | 11 y | 3 |
| Jon Ferraiolo | Cumming, Ga | Jun 10, 2025 | 14 y | 6 |
| Edward Zachary Trevino | Woodinville, Wa | Jun 10, 2025 | 10 y | 3 |
| Richard L SimsCertified Financial Planner | Chicago, Il | Jun 13, 2025 | 16 y | 1 |
| Brian Francisco Medina | Wayne, Pa | Jul 3, 2025 | 29 y | 3 |
| Kurt Graham Gustafson | Wayne, Pa | Aug 6, 2025 | 29 y | 2 |
| Sidney Davenport Lord | Scituate, Ma | Sep 30, 2025 | 10 y | 3 |
Advisor movement
6 left, 8 joined in 12 months
net +2 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 13% of current headcount17 left over 36 months
Left, latest
- Jarret Michael Shattuck to Virtus Investment Advisers, LLCSep 2, 2026 · Other
- Gregory Scott Stevens to Thrivent Asset Management, LLCJun 10, 2026 · Other
- Austin James Eagan to Lord, Abbett & Co. LLCJun 10, 2026 · Other
- Kevin Dean Bales to Columbia Management Investment Advisers, LLCMay 28, 2026 · Other
- William Edward Pauley to Southernmost Advisors LLCApr 8, 2026 · Other
- Jonathan Ronald Orman to Thornburg Investment Management IncApr 3, 2026 · Other
- Daniel Miller to Morgan StanleyJul 18, 2025 · Other
- Steven Ramsden to Edward JonesMay 5, 2025 · Other
- Thomas Vincent Winkler to Thornburg Investment Management IncMar 7, 2025 · Other
- Sidney Baker to Edward JonesJan 23, 2025 · Other
- Megan Amy Hopps to John Hancock Investment Management LLCJan 8, 2025 · Other
- Kelly Ann Kipnis to Raymond James & Associates, Inc.May 15, 2024 · Other
- Keith P Schmidt to Blackrock Investment Management, LLCApr 26, 2024 · Other
- Derrick Richard Stancick to Federated Investment CounselingDec 6, 2023 · Other
- Francis William Ross to LPL Financial LLCNov 3, 2023 · Other
Joined, latest
- Anthony Canfora from Lord, Abbett & Co. LLCJun 24, 2026 · Other
- John Robert Haldeman from Nationwide Investment Advisors, LLCMay 13, 2026 · Other
- Michael James Oconnor from Polen Capital Management, LLCApr 28, 2026 · Other
- Cole Christian Drahus from First Command Advisory ServicesApr 15, 2026 · Other
- Henri Juhani Waltteri Pitkanen from Maytech Global InvestmentsJan 21, 2026 · Other
- Kevin Dean Bales from Strategic Wealth Partners, Ltd.Dec 15, 2025 · Other
- Errol Adam Iachini from Wells Fargo AdvisorsOct 14, 2025 · Other
- Sidney Davenport Lord from Proshare Advisors LLCSep 30, 2025 · Other
- Austin James Eagan from Edward JonesSep 5, 2025 · Other
- Kurt Graham Gustafson from Harbor Capital Advisors, Inc.Aug 6, 2025 · Other
- Brian Francisco Medina from T. Rowe Price Associates, Inc.Jul 3, 2025 · Other
- Richard L Sims from Chase Investment Services Corp.Jun 13, 2025 · Other
- Edward Zachary Trevino from Bny Mellon Securities CorporationJun 10, 2025 · Other
- Jon Ferraiolo from PotomacJun 10, 2025 · Other
- Colman Peter Flanagan from Pacer Advisors, Inc.May 22, 2025 · Other
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| The Hartford Cayman Real Asset Fund, Ltd. | Other Private Fund | $14.1M | 1 | Mar 30, 2012 |
| The Hartford Cayman Global All-Asset Fund, Ltd.no longer reported | Other Private Fund | $10.2M | 1 | Mar 30, 2012 |
| Hartford Schroders Cayman Commodity Strategy Fund, Ltd. | Other Private Fund | $1.4M | 1 | Mar 29, 2022 |
| Hartford Schroders Cayman Diversified Growth Fund, Ltd. | Other Private Fund | $25,913 | 1 | Mar 18, 2024 |
| The Hartford Cayman Alternative Strategies Fund, Ltd.no longer reported | Other Private Fund | $0 | 1 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Edward James Davey · Senior Managing Director, President And Chairman Of The Boardcontrolsince 12/2012 · owns less than 5%
- A. Gregory Frost · Managing Director And Chief Financial Officercontrolsince 12/2012 · owns less than 5%
- Francis Walter Garger · Managing Director And General Counselcontrolsince 05/2013 · owns less than 5%
- Gary Joseph Melcher · Executive Vice President And Chief Compliance Officercontrolsince 09/2012 · owns less than 5%
- Joseph Vernon Meyer · Managing Director, Chief Investment Officercontrolsince 12/2012 · owns less than 5%
Entity owners
- Hartford Funds Management Group, Inc. · Sole Memberdirect · owns 75% or more
- Hartford Holdings, Inc. · Ownerindirect · owns 75% or more of Hartford Funds Management Group, Inc.
- The Hartford Financial Services Group, Inc. · Ownerindirect · owns 75% or more of Hartford Holdings, Inc. · public reporting company
Related persons
Schedule D 7.A
- First State Insurance Companyreal estaten
- Hartford Accident And Indemnity Companyreal estaten
- Hartford Casualty General Agency, Inc.real estaten
- Hartford Casualty Insurance Companyreal estaten
- Hartford Fire General Agency, Inc.real estaten
- Hartford Fire Insurance Companyreal estaten
- Hartford Investment Financial Services, LLCbroker-dealernRAUM $51B
- Hartford Insurance Company Of Illinoisreal estaten
- Hartford Insurance Company Of The Midwestreal estaten
- Hartford Insurance Company Of The Southeastreal estaten
- Hartford Insurance, Ltd.real estaten
- Hartford Investment Management Companyinvestment adviserbankLP sponsornRAUM $124B
- Hartford Life And Accident Insurance Companyreal estaten
- Hartford Limitedreal estaten
- Hartford Lloyd'S Insurance Companyreal estaten
- Hartford Of Texas General Agency, Inc.real estaten
- Hartford Of The Southeast General Agency, Inc.real estaten
- Hartford Specialty Insurance Services Of Texas, LLCreal estaten
- Hartford Underwriters General Agency, Inc.real estaten
- Hartford Underwriters Insurance Companyreal estaten
- Hartford Underwriting Agency Limitedreal estaten
- Heritage Reinsurance Company, Ltd.real estaten
- Hartford Fundsinvestment adviserbankpooled vehicle sponsoryRAUM $2.2B
- Maxum Casualty Insurance Companyreal estaten
- Maxum Indemnity Companyreal estaten
- Maxum Specialty Services Corporationreal estaten
- Navigators Insurance Companyreal estaten
- Navigators Management Company, Inc.real estaten
- Navigators Specialty Insurance Companyreal estaten
- Navigators Underwriting Limitedreal estaten
Advisers that list Hartford Funds as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wayne, Pa · principal | 47 | 8 | 3 | ||
| Westfield, Nj | 2 | 1 | 0 | ||
| Glendale, Ca | 2 | 0 | 0 | ||
| Gilbertsville, Pa | 0 | 0 | 0 | ||
| Mableton, Ga | 0 | 0 | 0 | ||
| Saint Petersburg, Fl | 0 | 0 | 0 | ||
| Willow Grove, Pa | 0 | 0 | 0 | ||
| East Grand Rapids, Mi | 0 | 0 | 1 | ||
| Mount Pleasant, Sc | 0 | 0 | 0 | ||
| Greenland, Nh | 0 | 0 | 0 | ||
| Pearland, Tx | 0 | 0 | 0 | ||
| Amherst, Ma | 0 | 0 | 0 | ||
| Bothell, Wa | 0 | 0 | 1 | ||
| Bethesda, Md | 0 | 0 | 0 | ||
| Dacula, Ga | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 94 to 91Mar 24, 2025 to Mar 19, 2026
- BD registered reps · 241 to 239Mar 24, 2025 to Mar 19, 2026
- Pooled vehicle clients · 3 to 2Mar 24, 2025 to Mar 19, 2026
- Employees · 387 to 368Mar 24, 2025 to Mar 19, 2026
- State-registered IARs · 50 to 58Mar 24, 2025 to Mar 19, 2026
- Private funds · 3 to 2Mar 24, 2025 to Mar 19, 2026
- Discretionary RAUM · $136B to $150BMar 24, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $1.7B to $1.9BMar 24, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $21.3M to $21.3MMar 24, 2025 to Mar 19, 2026
- RAUM · $138B to $152BMar 24, 2025 to Mar 19, 2026
- Accounts · 77 to 94Jan 8, 2025 to Mar 24, 2025
- Advisory employees · 36 to 34Jan 8, 2025 to Mar 24, 2025
- BD registered reps · 243 to 241Jan 8, 2025 to Mar 24, 2025
- Employees · 384 to 387Jan 8, 2025 to Mar 24, 2025
- Financial planning clients · unset to Jan 8, 2025 to Mar 24, 2025
- State-registered IARs · 54 to 50Jan 8, 2025 to Mar 24, 2025
- Discretionary RAUM · $127B to $136BJan 8, 2025 to Mar 24, 2025
- Non-discretionary RAUM · $1.6B to $1.7BJan 8, 2025 to Mar 24, 2025
- Pooled vehicle RAUM · $15.5M to $21.3MJan 8, 2025 to Mar 24, 2025
- RAUM · $129B to $138BJan 8, 2025 to Mar 24, 2025
- Accounts · 78 to 77Mar 23, 2023 to Mar 18, 2024
- Advisory employees · 33 to 36Mar 23, 2023 to Mar 18, 2024
- BD registered reps · 241 to 243Mar 23, 2023 to Mar 18, 2024
- Pooled vehicle clients · 2 to 3Mar 23, 2023 to Mar 18, 2024
- Employees · 372 to 384Mar 23, 2023 to Mar 18, 2024
- State-registered IARs · 52 to 54Mar 23, 2023 to Mar 18, 2024
- Private funds · 2 to 3Mar 23, 2023 to Mar 18, 2024
- Discretionary RAUM · $121B to $127BMar 23, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $1.5B to $1.6BMar 23, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $32.6M to $15.5MMar 23, 2023 to Mar 18, 2024
- RAUM · $122B to $129BMar 23, 2023 to Mar 18, 2024
- Accounts · 74 to 78Mar 31, 2022 to Mar 23, 2023
- Advisory employees · 32 to 33Mar 31, 2022 to Mar 23, 2023
- BD registered reps · 248 to 241Mar 31, 2022 to Mar 23, 2023
- Employees · 366 to 372Mar 31, 2022 to Mar 23, 2023
- State-registered IARs · 53 to 52Mar 31, 2022 to Mar 23, 2023
- Discretionary RAUM · $154B to $121BMar 31, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $1.7B to $1.5BMar 31, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $23.4M to $32.6MMar 31, 2022 to Mar 23, 2023
- RAUM · $156B to $122BMar 31, 2022 to Mar 23, 2023
Signals
24 dated events
- Jarret Michael Shattuck left Hartford Funds for Virtus Investment Advisers, LLC (registered 2026-09-14)Sep 2, 2026 · Advisor changed firm · fact
- Gregory Scott Stevens left Hartford Funds for Thrivent Asset Management, Llc (registered 2026-06-22)Jun 10, 2026 · Advisor changed firm · fact
- Austin James Eagan left Hartford Funds for Lord, Abbett & Co. Llc (registered 2026-06-11)Jun 10, 2026 · Advisor changed firm · fact
- Kevin Dean Bales left Hartford Funds for Columbia Management Investment Advisers, Llc (registered 2026-06-11)May 28, 2026 · Advisor changed firm · fact
- William Edward Pauley left Hartford Funds for Southernmost Advisors Llc (registered 2026-05-14)Apr 8, 2026 · Advisor changed firm · fact
- Jonathan Ronald Orman left Hartford Funds for Thornburg Investment Management Inc (registered 2026-04-17)Apr 3, 2026 · Advisor changed firm · fact
- Daniel Miller left Hartford Funds for Morgan Stanley (registered 2025-07-21)Jul 18, 2025 · Advisor changed firm · fact
- Steven Ramsden left Hartford Funds for Edward Jones (registered 2025-05-02)May 5, 2025 · Advisor changed firm · fact
- Sidney Baker left Hartford Funds for Edward Jones (registered 2025-03-31)Jan 23, 2025 · Advisor changed firm · fact
- Megan Amy Hopps left Hartford Funds for John Hancock Investment Management Llc (registered 2025-01-15)Jan 8, 2025 · Advisor changed firm · fact
- Kelly Ann Kipnis left Hartford Funds for Raymond James & Associates, Inc. (registered 2024-05-08)May 15, 2024 · Advisor changed firm · fact
- Keith P Schmidt left Hartford Funds for Blackrock Investment Management, Llc (registered 2024-06-06)Apr 26, 2024 · Advisor changed firm · fact
- Derrick Richard Stancick left Hartford Funds for Federated Investment Counseling (registered 2023-12-05)Dec 6, 2023 · Advisor changed firm · fact
- Francis William Ross left Hartford Funds for Lpl Financial Llc (registered 2023-11-01)Nov 3, 2023 · Advisor changed firm · fact
- Timothy Rogers Hampson left Hartford Funds for Edward Jones (registered 2023-11-21)Oct 26, 2023 · Advisor changed firm · fact
- David Scott Hescheles left Hartford Funds for Caz Investments L.P. (registered 2025-01-30)Oct 13, 2023 · Advisor changed firm · fact
- James Joseph Dooling left Hartford Funds for Advisors Asset Management, Inc. (registered 2023-08-30)Aug 31, 2023 · Advisor changed firm · fact
- John T Brown left Hartford Funds for Raymond James & Associates, Inc. (registered 2023-07-24)Jun 8, 2023 · Advisor changed firm · fact
- Aj Helgerson left Hartford Funds for Nomura Investment Management Business Trust (registered 2023-02-22)Jan 19, 2023 · Advisor changed firm · fact
- Aaron Barto Junk left Hartford Funds for Panteles Advisors (registered 2022-12-09)Dec 9, 2022 · Advisor changed firm · fact
- Brian K Carlisle left Hartford Funds for Cohen & Steers Capital Management Inc. (registered 2024-11-27)Jun 1, 2022 · Advisor changed firm · fact
- Gerald M Nowakowski left Hartford Funds for Ubs Financial Services Inc. (registered 2022-05-06)Apr 25, 2022 · Advisor changed firm · fact
- Chauncey M Carter left Hartford Funds for Fidelity Personal And Workplace Advisors (registered 2022-06-06)Apr 14, 2022 · Advisor changed firm · fact
- Hartford Investment Advisory Company, Llc filed its initial SEC registration (Form ADV)Sep 27, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Hartford Funds · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/HARTFORD-FUNDSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- SMART529.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-386-1801reportedpublic record, Form ADV, Jun 10, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026