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

Hartford Investment Financial Services, LLC

Former SEC-registered adviserSimsbury, ConnecticutCRD 45995SEC 801-53584IAPD
Latest filing Oct 4, 2012
First filing on the tape Dec 21, 2011 · 4 filings
RAUM
$51B
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
3
$90.7M gross assets
History
4 filings and snapshots on the tape
RAUM$51B as of Oct 4, 2012
Dec 21, 2011$59B 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 funds3 as of Oct 4, 2012
Mar 30, 20123 then
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
$873MderivedRAUM 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 companies, 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
  • is a broker-dealer (6.A.1)
  • 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
58reported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Robert Michael Jr Arena · Managercontrol
    since 07/2007 · owns less than 5%
  • Christopher Scott Conner · Aml Compliance Officer And Broker/Dealer Chief Compliance Officercontrol
    since 03/2009 · owns less than 5%
  • James Edward Davey · President, Chairman Of The Board And Chief Executive Officercontrol
    since 11/2010 · owns less than 5%
  • Michael Robert Dressen · Assistant Secretary And Compliance Officercontrol
    since 11/2010 · owns less than 5%
  • Tamara Lynn Fagely · Controller/Finop And Chief Fin. Officercontrol
    since 04/2002 · owns less than 5%
  • Michael Joseph Fixer · Assistant Treasurer/Assistant Vice Presidentcontrol
    since 02/2008 · owns less than 5%
  • Edward Paul Macdonald · Vice President And Chief Legal Officer- Investment Advisercontrol
    since 06/2006 · owns less than 5%
  • Joseph Gary Melcher · Vice President And Chief Compliance Officer- Investment Adviser And Chief Compliance Officercontrol
    since 09/2012 · owns less than 5%
  • Vernon Joseph Meyer · Senior Vice Presidentcontrol
    since 02/2007 · owns less than 5%
  • Marilyn Keightley Orr · Assistant Vice Presidentcontrol
    since 02/2007 · owns less than 5%
  • Laura Sue Quade · Assistant Vice Presidentcontrol
    since 03/2009 · owns less than 5%
  • Sharon Ritchey · Managercontrol
    since 08/2010 · owns less than 5%
  • Elizabeth Lynn Schroeder · Assistant Vice Presidentcontrol
    since 02/2007 · owns less than 5%
  • Kathryn Ann Stelter · Assistant Vice Presidentcontrol
    since 03/2009 · owns less than 5%
  • Martin Allen Swanson · Vice President/Marketingcontrol
    since 10/2009 · owns less than 5%
Entity owners
  • H L Investment Advisors LLC · Owner
    direct · owns 75% or more
  • Hartford Financial Services, LLC · Owner
    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 (Ila) · Owner
    indirect · owns 75% or more of Hartford Life Insurance
  • Hartford Life And Annuity Insurance Co. · Owner
    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 Co.
  • Hartford Life, Inc. · Owner
    indirect · owns 75% or more of Hartford Life And Accident Insurance Company
  • The Hartford Financial Services Group, Inc. (Hig) · 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
  • Catalyst360, LLC
    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 estaten
  • 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 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 Hartford Investment Financial Services, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 55 to 58
    Dec 21, 2011 to Mar 30, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 21, 2011 to Mar 30, 2012
  • Private funds · unset to 3
    Dec 21, 2011 to Mar 30, 2012
  • Discretionary RAUM · $59B to $51B
    Dec 21, 2011 to Mar 30, 2012
  • Non-discretionary RAUM · $6.5M to $58.6M
    Dec 21, 2011 to Mar 30, 2012
  • RAUM · $59B to $51B
    Dec 21, 2011 to Mar 30, 2012
  • Related bank · false to true
    Dec 21, 2011 to Mar 30, 2012
  • Related insurance company · true to false
    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