DOB: See if an Investment Adviser is Registered

See if an Investment Adviser is Registered

Generally, any person that is in the business of advising others concerning whether to buy or sell securities must register as an investment adviser. If the investment adviser has less than $100 million in assets under management, the adviser would register with the Securities Division. Advisers with $100 million or more in assets under management register with the Securities and Exchange Commission but file a notice with the Division. Every registration and notice filing expires on December 31st of each year and must be renewed annually. 

You can learn more about many investment advisers by visiting the Investment Adviser Public Disclosure (IAPD) web site and keying in the available CRD numbers you find on this page. 

The IAPD Web site provides instant, free access to registration documents that contain information about each adviser's business, advisory services and fees. The registration documents also disclose any disciplinary problems an adviser or its employees may have had during the last ten years.

If you have questions, contact the Securities Division via telephone at (860) 240-8230 or toll-free 1-800-831-7225 or by E-mail at kevin.maher@ct.gov.



Registered Investment Advisers

The following list includes the name of each Connecticut-registered investment adviser, its CRD number, and its main office street address, town, state, zip code, and registration date. Individuals are listed by their last name, first name and middle name/initial.  Please click on the link below to download the file.

Downloadable State Registered Investment Adviser List
(Excel 2003 Format)

**Windows users tip: once file is downloaded simultaneously select
the "control" and "F" keys to find a particular name.


SEC-Registered Investment Advisers
Filing Notice with the Securities Division


The following list includes the names of SEC-registered investment advisers who have filed notice, along with their street addresses, cities, states, zip codes, countries (if outside the US), CRD numbers and notice filing effective dates.

Downloadable Notice Filed Investment Adviser List
(Excel 2003 Format)

**Windows users tip: once file is downloaded simultaneously select
the "control" and "F" keys to find a particular name.


Exempt Reporting Investment Advisers


The following list covers those investment advisers making a filing pursuant to the Commissioner's July 11, 2011 Order Governing Certain Investment Advisers Exempt from Federal Registration Following Passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act.  The list includes the investment advisers' names, along with their street addresses, cities, states, zip codes, countries (if outside the US), CRD numbers and filing effective dates.

Downloadable Exempt Reporting Investment Adviser List
(Excel 2003 Format)

**Windows users tip: once file is downloaded simultaneously select
the "control" and "F" keys to find a particular name.  


 


Content Last Modified on 7/8/2016 6:19:55 PM