Web IARD - ADV All Pages - Dev [User Name: wwatkins2, OrgID: 45995] Page 1of 53 FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: HARTFORD INVESTMENT FINANCIAL SERVICES, LLC CRD Number: 45995 ADV - Amendment, Page 1 Rev. 02/2005 11/13/2009 2:56:59 PM ADV Part 1A, Page 1 WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must keep this form updated by filing periodic amendments. See Form ADV General Instruction 3. Item 1 Identifying Information Responses to this Item tell us who you are, where you are doing business, and how we can contact you. A. Your full legal name (if you are a sole proprietor, your last, first, and middle names): HARTFORD INVESTMENT FINANCIAL SERVICES, LLC B. Name under which you primarily conduct your advisory business, if different from Item 1.A. HARTFORD INVESTMENT FINANCIAL SERVICES, LLC List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business. C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.), enter the new name and specify whether the name change is of your legal name or your primary business name: D. If you are registered with the SEC as an investment adviser, your SEC file number: 801- 53584 E. If you have a number ("CRD Number") assigned by FINRA's CRD system or by the IARD system, your CRD number: 45995 If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates. FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: HARTFORD INVESTMENT FINANCIAL SERVICES, LLC CRD Number: 45995 ADV - Amendment, Page 2 Rev. 02/2005 11/13/2009 2:56:59 PM Item 1 Identifying Information (Continued) F. Principal Office and Place of Business (1) Address (do not use a P.O. Box): Number and Street 1: Number and Street 2: 200 HOPMEADOW STREET City: State: Country: ZIP+4/Postal Code: SIMSBURY CT UNITED STATES 06089 If this address is a private residence, check this box: List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for registration, or are registered, with one or more state securities authorities, you must list all of your offices in the state https://crd.finra.org/Iad/Content/PrintHist/Adv/Pages/crd_iad_AdvAllPages.aspx?RefNum=&vie... 11/13/2009 Web IARD - ADV All Pages - Dev [User Name: wwatkins2, OrgID: 45995] Page 2of 53 or states to which you are applying for registration or with whom you are registered. If you are applying for registration, or are registered only, with the SEC, list the largest five offices in terms of numbers of employees. (2) Days of week that you normally conduct business at your principal office and place of business: Monday-Friday Other: Normal business hours at this location: 8:30 A.M. TO 5:00 P.M. (3) Telephone number at this location: 860-843-4632 (4) Facsimile number at this location: 866-816-4048 G. Mailing address, if different from your principal office and place of business address: Number and Street 1: Number and Street 2: City: State: Country: ZIP+4/Postal Code: If this address is a private residence, check this box: H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.: Number and Street 1: Number and Street 2: City: State: Country: ZIP+4/Postal Code: FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: HARTFORD INVESTMENT FINANCIAL SERVICES, LLC CRD Number: 45995 ADV - Amendment, Page 3 Rev. 02/2005 11/13/2009 2:56:59 PM Item 1 Identifying Information (Continued) YES NO I. Do you have World Wide Web site addresses? If "yes," list these addresses on Section 1.I. of Schedule D. If a web address serves as a portal through which to access other information you have published on the World Wide Web, you may list the portal without listing addresses for all of the other information. Some advisers may need to list more than one portal address. Do not provide individual electronic mail addresses in response to this Item. J. Contact Employee: Name: Title: WATKINS, JR., WALTER E. DIRECTOR, INVESTMENT ADVISER COMPLIANCE Telephone Number: Facsimile Number: 860-843-4632 866-816-4048 Number and Street 1: Number and Street 2: SECURITIES COMPLIANCE C1-E 200 HOPMEADOW STREET City: State: Country: ZIP+4/Postal Code: SIMSBURY CT UNITED STATES 06089 Electronic mail (e-mail) address, if contact employee has one: https://crd.finra.org/Iad/Content/PrintHist/Adv/Pages/crd_iad_AdvAllPages.aspx?RefNum=&vie... 11/13/2009 Web IARD - ADV All Pages - Dev [User Name: wwatkins2, OrgID: 45995] Page 3of 53 [email protected] The contact employee should be an employee whom you have authorized to receive information and respond to questions about this Form ADV. YES NO K. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your principal office and place of business? If "yes," complete Section 1.K. of Schedule D. YES NO L. Are you registered with a foreign financial regulatory authority? Answer "no" if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If "yes", complete Section 1.L. of Schedule D. FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: HARTFORD INVESTMENT FINANCIAL SERVICES, LLC CRD Number: 45995 ADV - Amendment, Page 4 Rev. 02/2005 11/13/2009 2:56:59 PM Item 2 SEC Registration Responses to this Item help us (and you) determine whether you are eligible to register with the SEC. Complete this Item 2 only if you are applying for SEC registration or submitting an annual updating amendment to your SEC registration. A. To register (or remain registered) with the SEC, you must check at least one of the Items 2.A(1) through 2.A(11), below. If you are submitting an annual updating amendment to your SEC registration and you are no longer eligible to register with the SEC, check Item 2.A(12). You: (1) have assets under management of $25 million (in U.S. dollars) or more; See Part 1A Instruction 2.a. to determine whether you should check this box. (2) have your principal office and place of business in Wyoming; (3) have your principal office and place of business outside the United States; (4) are an investment adviser (or sub-adviser) to an investment company registered under the Investment Company Act of 1940; See Part 1A Instruction 2.b. to determine whether you should check this box. (5) have been designated as a nationally recognized statistical rating organization; See Part 1A Instruction 2.c. to determine whether you should check this box. (6) are a pension consultant that qualifies for the exemption in rule 203A-2(b); See Part 1A Instruction 2.d. to determine whether you should check this box. (7) are relying on rule 203A-2(c) because you are an investment adviser that controls, is controlled https://crd.finra.org/Iad/Content/PrintHist/Adv/Pages/crd_iad_AdvAllPages.aspx?RefNum=&vie... 11/13/2009 Web IARD - ADV All Pages - Dev [User Name: wwatkins2, OrgID: 45995] Page 4of 53 by, or is under common control with, an investment adviser that is registered with the SEC, and your principal office and place of business is the same as the registered adviser; See Part 1A Instruction 2.e. to determine whether you should check this box. If you check this box, complete Section 2.A(7) of Schedule D. (8) are a newly formed adviser relying on rule 203A-2(d) because you expect to be eligible for SEC registration within 120 days; See Part 1A Instruction 2.f. to determine whether you should check this box. If you check this box, complete Section 2.A(8) of Schedule D. FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: HARTFORD INVESTMENT FINANCIAL SERVICES, LLC CRD Number: 45995 ADV - Amendment, Page 5 Rev. 02/2005 11/13/2009 2:56:59 PM Item 2 SEC Registration (Continued) (9) are a multi-state adviser relying on rule 203A-2(e); See Part 1A Instruction 2.g. to determine whether you should check this box. If you check this box, complete Section 2.A(9) of Schedule D. (10) are an Internet investment adviser relying on rule 203A-2(f); See Part 1A Instructions 2.h. to determine whether you should check this box. (11) have received an SEC order exempting you from the prohibition against registration with the SEC; If you checked this box, complete Section 2.A(11) of Schedule D. (12) are no longer eligible to remain registered with the SEC. See Part 1A Instructions 2.i. to determine whether you should check this box. B. Under state laws, SEC-registered advisers may be required to provide to state securities authorities a copy of the Form ADV and any amendments they file with the SEC. These are called notice filings. If this is an initial application, check the box(es) next to the state(s) that you would like to receive notice of this and all subsequent filings you submit to the SEC. If this is an amendment to direct your notice filings to additional state(s), check the box(es) next to the state(s) that you would like to receive notice of this and all subsequent filings you submit to the SEC. If this is an amendment to your registration to stop your notice filings from going to state(s) that currently receive them, uncheck the box(es) next to those state (s). AL ID MO PA AK IL MT PR AZ IN NE RI https://crd.finra.org/Iad/Content/PrintHist/Adv/Pages/crd_iad_AdvAllPages.aspx?RefNum=&vie... 11/13/2009 Web IARD - ADV All Pages - Dev [User Name: wwatkins2, OrgID: 45995] Page 5of 53 AR IA NV SC CA KS NH SD CO KY NJ TN CT LA NM TX DE ME NY UT DC MD NC VT FL MA ND VI GA MI OH VA GU MN OK WA HI MS OR WV WI If you are amending your registration to stop your notice filings from going to a state that currently receives them and you do not want to pay that state's notice filing fee for the coming year, your amendment must filed before the end of the year (December 31). Item 3 Form Of Organization A. How are you organized? Corporation Sole Proprietorship Limited Liability Partnership (LLP) Partnership Limited Liability Company (LLC) Other (specify): If you are changing your response to this Item, see Part 1A Instruction 4. FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: HARTFORD INVESTMENT FINANCIAL SERVICES, LLC CRD Number: 45995 ADV - Amendment, Page 6 Rev. 02/2005 11/13/2009 2:56:59 PM Item 3 Form Of Organization (Continued) B. In what month does your fiscal year end each year? December C. Under the laws of what state or country are you organized? State: Country: Delaware UNITED STATES Item 4 Successions YES NO A. Are you, at the time of this filing, succeeding to the business of a registered investment adviser? If "yes," complete Item 4.B. and Section 4 of Schedule D. B. Date of Succession: (MM/DD/YYYY) https://crd.finra.org/Iad/Content/PrintHist/Adv/Pages/crd_iad_AdvAllPages.aspx?RefNum=&vie... 11/13/2009 Web IARD - ADV All Pages - Dev [User Name: wwatkins2, OrgID: 45995] Page 6of 53 If you have already reported this succession on a previous Form ADV filing, do not report the succession again. Instead, check "No." See Part 1A Instruction 4. Item 5 Information About Your Advisory Business Responses to this Item help us understand your business, assist us in preparing for on-site examinations, and provide us with data we use when making regulatory policy. Part 1A Instruction 5.a. provides additional guidance to newly-formed advisers for completing this Item 5. Employees A. Approximately how many employees do you have? Include full and part-time employees but do not include any clerical workers. 1- 5 6-10 11-50 51-250 251-500 If more than 1,000, how many? 501-1,000 More than 1,000 (round to the nearest 1,000) B. (1) Approximately how many of these employees perform investment advisory functions (including research)? 0 1-5 6-10 11-50 51-250 If more than 1,000, how many? 251-500 501-1,000 More than (round to the nearest 1,000) 1,000 (2) Approximately how many of these employees are registered representatives of a broker-dealer? 0 1-5 6-10 11-50 51-250 If more than 1,000, how many? 251-500 501-1,000 More than (round to the nearest 1,000) 1,000 If you are organized as a sole proprietorship, include yourself as an employee in your responses to Items 5.A(1) and 5.B(2). If an employee performs more than one function, you should count that employee in each of your responses to Item 5.B(1) and 5.B(2). FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: HARTFORD INVESTMENT FINANCIAL SERVICES, LLC CRD Number: 45995 ADV - Amendment, Page 7 Rev. 02/2005 11/13/2009 2:56:59 PM Item 5 Information About Your Advisory Business (Continued) (3) Approximately how many firms or other persons solicit advisory clients on your behalf? 0 1-5 6-10 11-50 51-250 If more than 1,000, how many? 251-500 501-1,000 More than (round to the nearest 1,000) 1,000 In your response to Item 5.B(3), do not count any of your employees and count a firm only once -- do not count each of the firm's employees that solicit on your behalf. Clients C. To approximately how many clients did you provide investment advisory services during your most-recently https://crd.finra.org/Iad/Content/PrintHist/Adv/Pages/crd_iad_AdvAllPages.aspx?RefNum=&vie... 11/13/2009 Web IARD - ADV All Pages - Dev [User Name: wwatkins2, OrgID: 45995] Page 7of 53 completed fiscal year? 0 1-10 11-25 26-100 101-250 If more than 500, how many? 251-500 More than 500 (round to the nearest 500) D. What types of clients do you have? Indicate the approximate None Up 11- 26- 51- More percentage that each type of client comprises of your total to 25% 50% 75% Than number of clients. 10% 75% (1) Individuals (other than high net worth individuals) (2) High net worth individuals (3) Banking or thrift institutions (4) Investment companies (including mutual funds) (5) Pension and profit sharing plans (other than plan participants) (6) Other pooled investment vehicles (e.g., hedge funds) (7) Charitable organizations (8) Corporations or other businesses not listed above (9) State or municipal government entities (10) Other: The category "individuals" includes trusts, estates, 401(k) plans and IRAs of individuals and their family members, but does not include businesses organized as sole proprietorships. Unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment Company Act of 1940, check "None" in response to Item 5.D(4). FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: HARTFORD INVESTMENT FINANCIAL SERVICES, LLC CRD Number: 45995 ADV - Amendment, Page 8 Rev. 02/2005 11/13/2009 2:56:59 PM Item 5 Information About Your Advisory Business (Continued) Compensation Arrangements E. You are compensated for your investment advisory services by (check all that apply): (1) A percentage of assets under your management (2) Hourly charges (3) Subscription fees (for a newsletter or periodical) (4) Fixed fees (other than subscription fees) (5) Commissions (6) Performance-based fees (7) Other (specify): Assets Under Management YES NO https://crd.finra.org/Iad/Content/PrintHist/Adv/Pages/crd_iad_AdvAllPages.aspx?RefNum=&vie... 11/13/2009 Web IARD - ADV All Pages - Dev [User Name: wwatkins2, OrgID: 45995] Page 8of 53 F. (1) Do you provide continuous and regular supervisory or management services to securities portfolios? (2) If yes, what is the amount of your assets under management and total number of accounts? U.S. Dollar Amount Total Number of Accounts Discretionary: (a) $ 35990324135 .00 (d) 62 Non-Discretionary: (b) $ 0 .00 (e) 0 Total: (c) $ 35990324135 .00 (f) 62 Part 1A Instruction 5.b. explains how to calculate your assets under management. You must follow these instructions carefully when completing this Item. Advisory Activities G. What type(s) of advisory services do you provide? Check all that apply. (1) Financial planning services (2) Portfolio management for individuals and/or small businesses (3) Portfolio management for investment companies (4) Portfolio management for businesses or institutional clients (other than investment companies) (5) Pension consulting services (6) Selection of other advisers (7) Publication of periodicals or newsletters (8) Security ratings or pricing services (9) Market timing services (10) Other (specify): Do not check Item 5.G(3) unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment Company Act of 1940. FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: HARTFORD INVESTMENT FINANCIAL SERVICES, LLC CRD Number: 45995 ADV - Amendment, Page 9 Rev. 02/2005 11/13/2009 2:56:59 PM Item 5 Information About Your Advisory Business (Continued) H. If you provide financial planning services, to how many clients did you provide these services during your last fiscal year? 0 1-10 11-25 26-50 51-100 If more than 500, how many? 101-250 251-500 More than 500 (round to the nearest 500) I. If you participate in a wrap fee program, do you (check all that apply): (1) sponsor the wrap fee program ? (2) act as a portfolio manager for the wrap fee program? https://crd.finra.org/Iad/Content/PrintHist/Adv/Pages/crd_iad_AdvAllPages.aspx?RefNum=&vie... 11/13/2009 Web IARD - ADV All Pages - Dev [User Name: wwatkins2, OrgID: 45995] Page 9of 53 If you are a portfolio manager for a wrap fee program, list the names of the programs and their sponsors in Section 5.I(2) of Schedule D. If your involvement in a wrap fee program is limited to recommending wrap fee programs to your clients , or you advise a mutual fund that is offered through a wrap fee program, do not check either Item 5.I(1) or 5.I(2). Item 6 Other Business Activities In this Item, we request information about your other business activities. A. You are actively engaged in business as a (check all that apply): (1) Broker-dealer (2) Registered representative of a broker-dealer (3) Futures commission merchant, commodity pool operator, or commodity trading advisor (4) Real estate broker, dealer, or agent (5) Insurance broker or agent (6) Bank (including a separately identifiable department or division of a bank) (7) Other financial product salesperson (specify): YES NO B. (1) Are you actively engaged in any other business not listed in Item 6.A. (other than giving investment advice)? (2) If yes, is this other business your primary business? If "yes," describe this other business on Section 6.B. of Schedule D. YES NO (3) Do you sell products or provide services other than investment advice to your advisory clients? FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: HARTFORD INVESTMENT FINANCIAL SERVICES, LLC CRD Number: 45995 ADV - Amendment, Page 10 Rev. 02/2005 11/13/2009 2:56:59 PM Item 7 Financial Industry Affiliations In this Item, we request information about your financial industry affiliations and activities. This information identifies areas in which conflicts of interest may occur between you and your clients. Item 7 requires you to provide information about you and your related persons. Your related persons are all of your advisory affiliates and any person that is under common control with you. A. You have a related person that is a (check all that apply): (1) broker-dealer, municipal securities dealer, or government securities broker or dealer (2) investment company (including mutual funds) (3) other investment adviser (including financial planners) (4) futures commission merchant, commodity pool operator, or commodity trading advisor (5) banking or thrift institution (6) accountant or accounting firm (7) lawyer or law firm https://crd.finra.org/Iad/Content/PrintHist/Adv/Pages/crd_iad_AdvAllPages.aspx?RefNum=&vie... 11/13/2009 Web IARD - ADV All Pages - Dev [User Name: wwatkins2, OrgID: 45995] Page 10of 53 (8) insurance company or agency (9) pension consultant (10) real estate broker or dealer (11) sponsor or syndicator of limited partnerships If you checked Item 7.A(3), you must list on Section 7.A. of Schedule D all your related persons that are investment advisers. If you checked Item 7.A(1), you may elect to list on Section 7.A. of Schedule D all your related persons that are broker-dealers. If you choose to list a related broker-dealer, the IARD will accept a single Form U-4 to register an investment adviser representative who also is a broker-dealer agent ("registered rep") of that related broker-dealer. YES NO B. Are you or any related person a general partner in an investment-related limited partnership or manager of an investment-related limited liability company, or do you advise any other "private fund" as defined under SEC rule 203(b)(3)-1? If "yes," for each limited partnership or limited liability company, or (if applicable) private fund, complete Section 7.B. of Schedule D. If, however, you are an SEC-registered adviser and you have related persons that are SEC-registered advisers who are the general partners of limited partnerships or the managers of limited liability companies, you do not have to complete Section 7.B. of Schedule D with respect to those related advisers’ limited partnerships or limited liability companies. To use this alternative procedure, you must state in the Miscellaneous Section of Schedule D: (1) that you have related SEC-registered investment advisers that manage limited partnerships or limited liability companies that are not listed in Section 7.B. of your Schedule D; (2) that complete and accurate information about those limited partnerships or limited liability companies is available in Section 7.B. of Schedule D of the Form ADVs of your related SEC-registered advisers; and (3) whether your clients are solicited to invest in any of those limited partnerships or limited liability companies. Item 8 Participation or Interest in Client Transactions In this Item, we request information about your participation and interest in your clients' transactions. Like Item 7, this information identifies areas in which conflicts of interest may occur between you and your clients. Like Item 7, Item 8 requires you to provide information about you and your related persons. FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: HARTFORD INVESTMENT FINANCIAL SERVICES, LLC CRD Number: 45995 ADV - Amendment, Page 11 Rev. 02/2005 11/13/2009 2:56:59 PM Item 8 Participation or Interest in Client Transactions (Continued) Proprietary Interest in Client Transactions A. Do you or any related person: Yes No (1) buy securities for yourself from advisory clients, or sell securities you own to advisory clients (principal transactions)? https://crd.finra.org/Iad/Content/PrintHist/Adv/Pages/crd_iad_AdvAllPages.aspx?RefNum=&vie... 11/13/2009