HARTFORD FUNDS
HARTFORD FUNDS MANAGEMENT COMPANY, LLC Legal Name
Adviser information for HARTFORD FUNDS last updated from Form ADV on March 18th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 384 |
|---|---|
| Investment Advisory/Research | 36 |
| Registered Broker-Dealer Representatives | 243 |
| Registered State Investment Advisers | 54 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 74 | $127.2B |
| Non-Discretionary | 3 | $1.6B |
| Total | 77 | $128.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 74 | $127.2B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $15.5M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $1.6B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 4 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers)REGISTRANT PROVIDES INVESTMENT ADVICE TO STATES IN CONNECTION WITH 529 PLANS AND MODEL RECOMMENDATIONS |
|---|---|
| Compensation | % of AUMFEES RELATED TO 529 PLANS AND MODEL RECOMMENDATIONS. |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
690 LEE ROADWAYNE
PA
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 610-386-1801, Fax: 855-470-5700
Websites
www.youtube.com/channel/ucqmhdewdzy7dzyobyesl26g
hartfordfunds.com
www.linkedin.com/company/hartford-funds/
www.facebook.com/smart529/
www.smart529.com
www.smart529select.com
www.facebook.com/hartfordfunds/
twitter.com/hartfordfunds
www.youtube.com/channel/ucgu1ncddobxam1mmwpq6l0a
www.instagram.com/hartfordfunds/
Chief Compliance Officer
JOSEPH G. MELCHER
EXECUTIVE VICE PRESIDENT
690 LEE ROAD
WAYNE
PA
United States
Tel:
610-386-7688
Fax:
855-470-5700
J*************@****************M
(Full email address available in API data)
Regulatory Contact
NANCY SCHOLZ
COMPLIANCE DIRECTOR
690 LEE ROAD
WAYNE
PA
United States
Tel:
610-386-7374
Fax:
844-546-2157
N***********@****************M
(Full email address available in API data)
Industry Affiliates
| FIRST STATE INSURANCE COMPANY | Insurance company or agency |
| HARTFORD ACCIDENT AND INDEMNITY COMPANY | Insurance company or agency |
| HARTFORD CASUALTY GENERAL AGENCY, INC. | Insurance company or agency |
| HARTFORD CASUALTY INSURANCE COMPANY | Insurance company or agency |
| HARTFORD FIRE GENERAL AGENCY, INC. | Insurance company or agency |
| HARTFORD FIRE INSURANCE COMPANY | Insurance company or agency |
| HARTFORD FUNDS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| HARTFORD FUNDS DISTRIBUTORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| HARTFORD INSURANCE COMPANY OF ILLINOIS | Insurance company or agency |
| HARTFORD INSURANCE COMPANY OF THE MIDWEST | Insurance company or agency |
| HARTFORD INSURANCE COMPANY OF THE SOUTHEAST | Insurance company or agency |
| HARTFORD INSURANCE, LTD. | Insurance company or agency |
| HARTFORD INVESTMENT MANAGEMENT COMPANY | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorPension consultant |
| HARTFORD LIFE AND ACCIDENT INSURANCE COMPANY | Insurance company or agency |
| HARTFORD LIMITED | Insurance company or agency |
| HARTFORD LLOYD'S INSURANCE COMPANY | Insurance company or agency |
| HARTFORD OF TEXAS GENERAL AGENCY, INC. | Insurance company or agency |
| HARTFORD OF THE SOUTHEAST GENERAL AGENCY, INC. | Insurance company or agency |
| HARTFORD SPECIALTY INSURANCE SERVICES OF TEXAS, LLC | Insurance company or agency |
| HARTFORD UNDERWRITERS GENERAL AGENCY, INC. | Insurance company or agency |
| HARTFORD UNDERWRITERS INSURANCE COMPANY | Insurance company or agency |
| HARTFORD UNDERWRITING AGENCY LIMITED | Insurance company or agency |
| HERITAGE REINSURANCE COMPANY, LTD. | Insurance company or agency |
| MAXUM CASUALTY INSURANCE COMPANY | Insurance company or agency |
| MAXUM INDEMNITY COMPANY | Insurance company or agency |
| MAXUM SPECIALTY SERVICES CORPORATION | Insurance company or agency |
| NAVIGATORS INSURANCE COMPANY | Insurance company or agency |
| NAVIGATORS MANAGEMENT COMPANY, INC. | Insurance company or agency |
| NAVIGATORS SPECIALTY INSURANCE COMPANY | Insurance company or agency |
| NAVIGATORS UNDERWRITING LIMITED | Insurance company or agency |
| NEW ENGLAND INSURANCE COMPANY | Insurance company or agency |
| NEW ENGLAND REINSURANCE CORPORATION | Insurance company or agency |
| NEW OCEAN INSURANCE COMPANY, LTD. | Insurance company or agency |
| NUTMEG INSURANCE AGENCY, INC. | Insurance company or agency |
| NUTMEG INSURANCE COMPANY | Insurance company or agency |
| PACIFIC INSURANCE COMPANY, LTD. | Insurance company or agency |
| PROPERTY AND CASUALTY INSURANCE COMPANY OF HARTFORD | Insurance company or agency |
| SENTINEL INSURANCE COMPANY, LTD. | Insurance company or agency |
| TRUMBULL INSURANCE COMPANY | Insurance company or agency |
| TWIN CITY FIRE INSURANCE COMPANY | Insurance company or agency |
| Y-RISK, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| HARTFORD SCHRODERS CAYMAN COMMODITY STRATEGY FUND, LTD. | WHOLLY OWNED COMMODITY TRADING SUBSIDIARY OF A FUND | $1.4M | $0.0M | 1 |
| HARTFORD SCHRODERS CAYMAN DIVERSIFIED GROWTH FUND, LTD. | WHOLLY OWNED COMMODITY TRADING SUBSIDIARY OF A FUND | $0.0M | $0.0M | 1 |
| THE HARTFORD CAYMAN REAL ASSET FUND, LTD. | WHOLLY OWNED COMMODITY TRADING SUBSIDIARY OF A FUND | $14.1M | $0.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DAVEY, JAMES, EDWARD | Individual | – | SENIOR MANAGING DIRECTOR, PRESIDENT AND CHAIRMAN OF THE BOARD | 12/2012 | < 5% |
| MEYER, VERNON, JOSEPH | Individual | – | MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER | 12/2012 | < 5% |
| MELCHER, JOSEPH, GARY | Individual | – | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 09/2012 | < 5% |
| HARTFORD FUNDS MANAGEMENT GROUP, INC. | Domestic Entity | – | SOLE MEMBER | 11/2012 | > 75% |
| HARTFORD HOLDINGS, INC. | Domestic Entity | HARTFORD FUNDS MANAGEMENT GROUP, INC. | OWNER | 05/2018 | > 75% |
| THE HARTFORD FINANCIAL SERVICES GROUP, INC. | Domestic Entity | HARTFORD HOLDINGS, INC. | OWNER | 08/2002 | > 75% |
| FROST, GREGORY, A. | Individual | – | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER | 12/2012 | < 5% |
| GARGER, WALTER, FRANCIS | Individual | – | MANAGING DIRECTOR AND GENERAL COUNSEL | 05/2013 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 497K | 5K | – |
| ACCENTURE PLC IRELAND | SHS CLASS A | 341K | 1K | – |
| AGILENT TECHNOLOGIES INC | COM | 525K | 4K | – |
| ALPHABET INC | CAP STK CL A | 5M | 26K | – |
| AMAZON COM INC | COM | 2M | 11K | – |
| AMERICAN ELEC PWR CO INC | COM | 1M | 12K | – |
| AMERICAN EXPRESS CO | COM | 2M | 9K | – |
| AMERICAN INTL GROUP INC | COM NEW | 1M | 14K | – |
| AMERICAN TOWER CORP NEW | COM | 756K | 4K | – |
| AMETEK INC | COM | 803K | 5K | – |
| APPLE INC | COM | 4M | 19K | – |
| ARCH CAP GROUP LTD | ORD | 519K | 5K | – |
| ASTRAZENECA PLC | SPONSORED ADR | 810K | 10K | – |
| ATMOS ENERGY CORP | COM | 567K | 5K | – |
| BANK AMERICA CORP | COM | 705K | 18K | – |
| BECTON DICKINSON & CO | COM | 534K | 2K | – |
| BHP GROUP LTD | SPONSORED ADS | 501K | 9K | – |
| BOSTON SCIENTIFIC CORP | COM | 457K | 6K | – |
| BROADCOM INC | COM | 1M | 675 | – |
| CELANESE CORP DEL | COM | 941K | 7K | – |
| CHEVRON CORP NEW | COM | 991K | 6K | – |
| CISCO SYS INC | COM | 818K | 17K | – |
| COGNIZANT TECHNOLOGY SOLUTIO | CL A | 931K | 14K | – |
| COMCAST CORP NEW | CL A | 625K | 16K | – |
| CONOCOPHILLIPS | COM | 1M | 10K | – |
| CONSTELLATION BRANDS INC | CL A | 444K | 2K | – |
| CONSTELLATION ENERGY CORP | COM | 813K | 4K | – |
| DANAHER CORPORATION | COM | 429K | 2K | – |
| DEERE & CO | COM | 489K | 1K | – |
| DELTA AIR LINES INC DEL | COM NEW | 1M | 23K | – |
| DIAMONDBACK ENERGY INC | COM | 644K | 3K | – |
| DISNEY WALT CO | COM | 681K | 7K | – |
| DUKE ENERGY CORP NEW | COM NEW | 2M | 18K | – |
| ELI LILLY & CO | COM | 1M | 1K | – |
| EOG RES INC | COM | 884K | 7K | – |
| FMC CORP | COM NEW | 334K | 6K | – |
| GENERAL DYNAMICS CORP | COM | 473K | 2K | – |
| HARTFORD FDS EXCHANGE TRADED | CORE BD ETF | 191M | 6M | – |
| HARTFORD FDS EXCHANGE TRADED | LARGE CAP GRWT | 84M | 4M | – |
| HARTFORD FDS EXCHANGE TRADED | TOTAL RTRN ETF | 483M | 14M | – |
| HCA HEALTHCARE INC | COM | 781K | 2K | – |
| HOST HOTELS & RESORTS INC | COM | 493K | 27K | – |
| INGERSOLL RAND INC | COM | 537K | 6K | – |
| IRON MTN INC DEL | COM | 362K | 4K | – |
| ISHARES TR | CORE S&P500 ETF | 369K | 675 | – |
| JOHNSON CTLS INTL PLC | SHS | 1M | 18K | – |
| JPMORGAN CHASE & CO. | COM | 3M | 16K | – |
| KLA CORP | COM NEW | 842K | 1K | – |
| LATTICE STRATEGIES TR | HARTFORD MLT ETF | 92M | 3M | – |
| LATTICE STRATEGIES TR | HARTFORD US EQTY | 125M | 3M | – |
| LAUDER ESTEE COS INC | CL A | 222K | 2K | – |
| LINDE PLC | SHS | 555K | 1K | – |
| LOCKHEED MARTIN CORP | COM | 756K | 2K | – |
| LOWES COS INC | COM | 1M | 5K | – |
| MASTERCARD INCORPORATED | CL A | 911K | 2K | – |
| MCDONALDS CORP | COM | 508K | 2K | – |
| MEDTRONIC PLC | SHS | 612K | 8K | – |
| MERCK & CO INC | COM | 2M | 13K | – |
| META PLATFORMS INC | CL A | 1M | 2K | – |
| MICRON TECHNOLOGY INC | COM | 1M | 8K | – |
| MICROSOFT CORP | COM | 6M | 14K | – |
| MONDELEZ INTL INC | CL A | 482K | 7K | – |
| MONSTER BEVERAGE CORP NEW | COM | 290K | 6K | – |
| MORGAN STANLEY | COM NEW | 1M | 14K | – |
| MOTOROLA SOLUTIONS INC | COM NEW | 929K | 2K | – |
| NETFLIX INC | COM | 664K | 984 | – |
| NIKE INC | CL B | 293K | 4K | – |
| NOVARTIS AG | SPONSORED ADR | 691K | 6K | – |
| NVIDIA CORPORATION | COM | 2M | 20K | – |
| NXP SEMICONDUCTORS N V | COM | 1M | 5K | – |
| OTIS WORLDWIDE CORP | COM | 1M | 14K | – |
| PFIZER INC | COM | 843K | 30K | – |
| PHILIP MORRIS INTL INC | COM | 990K | 10K | – |
| PRINCIPAL FINANCIAL GROUP IN | COM | 877K | 11K | – |
| PROCTER AND GAMBLE CO | COM | 967K | 6K | – |
| PROGRESSIVE CORP | COM | 630K | 3K | – |
| PUBLIC STORAGE OPER CO | COM | 699K | 2K | – |
| QUALCOMM INC | COM | 1M | 6K | – |
| ROPER TECHNOLOGIES INC | COM | 384K | 682 | – |
| RTX CORPORATION | COM | 410K | 4K | – |
| SALESFORCE INC | COM | 574K | 2K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 740K | 1K | – |
| TJX COS INC NEW | COM | 2M | 18K | – |
| TOTALENERGIES SE | SPONSORED ADS | 857K | 13K | – |
| UNILEVER PLC | SPON ADR NEW | 705K | 13K | – |
| UNITEDHEALTH GROUP INC | COM | 3M | 5K | – |
| VANGUARD INDEX FDS | VALUE ETF | 904K | 6K | – |
| VERTEX PHARMACEUTICALS INC | COM | 484K | 1K | – |
| VISA INC | COM CL A | 1M | 4K | – |
| WABTEC | COM | 894K | 6K | – |
| WELLS FARGO CO NEW | COM | 1M | 18K | – |
| WORKDAY INC | CL A | 440K | 2K | – |
| ZOETIS INC | CL A | 353K | 2K | – |