In accordance with Governor Lamont's emergency declaration, employees and the public are asked to observe social distancing measures to ensure communal safety and to slow the spread of the novel coronavirus (COVID-19). People are asked to work from home and telecommute wherever possible. Adhering to these instructions, the Department of Banking has closed its offices to the public. However, agency staff will continue to provide services to consumers and industry through telework. When contacting the Department, please use electronic communication whenever possible. Agency staff will continue to check voicemails during this time. Consumers are encouraged to use our online form for complaints. If you are unsure where to send an inquiry, you may send it to Department.Banking@ct.gov and it will be routed appropriately. Thank you for your patience during this time.

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


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


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