Generally, any person that is in the business of advising others concerning whether to buy or sell securities must sign-up as an investment adviser. 100 million in resources under management, the adviser would enroll with the Securities Division. 100 million, or more in assets under management register with the Securities and Exchange Commission but file a notice with the Division. Every sign up and notice filing expire on December 31st of every 12 months and must be restored annually.
You can find out more about many investment advisers at the Investment Adviser Public Disclosure (IAPD) website and keying in the available CRD amounts you find on this page. The IAPD Web site provides instant, free usage of registration documents which contain information about each adviser’s business, advisory services, and fees.
The sign up documents also disclose any disciplinary problems, an adviser or its employees may have had over the last ten years. The list following includes the name of each Connecticut-registered investment adviser, its CRD quantity, and its main office road address, town, condition, zip code, and sign up date. Individuals are outlined by their last name, first name, and middle name/preliminary. Please, click on the link below to download the document. The following list includes the brands of SEC-registered investment advisers who have submitted notice, along with their street addresses, cities, states, zip rules, countries (if outside the US), CRD quantities and notice submitting effective dates.
The following list covers those investment advisers making a filing pursuant to the … Read more