InvestorTrustHub · Connecticut
The Connecticut Department of Banking, Securities and Business Investments Division registers investment advisers, broker-dealers and their separate agent classes. A state-registered adviser firm, federal notice filer, exempt reporting adviser, broker-dealer, representative, Form ADV filing and Connecticut principal office are not interchangeable.
Regulator evidence, separated by grain. No adviser ranking.
Connecticut publishes three statewide downloadable adviser lists, each marked updated 10/22/2025. The lists retain distinct state IA, SEC notice and ERA classes; these dated snapshots are not live status. The separate accepted IAPD firm compilations below are dated 2026-09-17. Neither source is a combined “Connecticut advisers” census.
398
IAPD StateRgstn/Rgltr/@Cd=CT; 403 state registration rows across statuses. Approved is registration status, not investment-quality approval. DOB's older list has 442 rows, including pending and termination-requested statuses.
2,745
IAPD NoticeFiled/States/@RgltrCd=CT and @St=FILED. A notice is not state IA registration or a Connecticut office. DOB's dated list has 2,709 rows.
255
IAPD ERA/Rgltr/@Cd=CT. An exempt reporting adviser is not a state IA or SEC-registered RIA. DOB's dated ERA list has 236 rows.
591
MainAddr/@State=CT in SEC compilation. Office geography is not registration or authority to serve a client.
Exact firm-CRD intersections: approved state IA ∩ filed notice 0; state IA ∩ ERA 0; ERA ∩ notice 0; principal office ∩ notice 491. Connecticut's older regulator lists exactly overlap the later IAPD lenses by CRD for 371 state IA, 2521 notice and 219 ERA firm CRDs. Overlap is identity comparison, not an additive total.
DOB state IA list · DOB notice list · DOB ERA list · IAPD state compilation · IAPD SEC compilation
The division registers broker-dealers, securities agents and investment adviser agents. Connecticut verification, BrokerCheck and IAPD support exact firm/person checks as appropriate. A Connecticut-only bulk broker-dealer, agent or representative roster was NOT_ACQUIRED. Person CRDs are never promoted into firm profiles.
138 PDF document links were captured from Connecticut's annual Securities Division administrative-order and settlement indexes; 137 PDFs were checked. This is a document-index count, not unique matters, firms, final adverse findings or a comprehensive disciplinary history. Some indexed documents state allegations that may be contested.
16 documents print a single organization-caption CRD exactly overlapping an accepted IAPD Connecticut lens. Those are read-only document crosswalks. 0 adverse profile attachments; 0 name-only joins. Verify the document and live registration before relying on it.
Connecticut describes investment adviser examinations and broker-dealer examinations, including offices inside and outside Connecticut. Examination capability is KNOWN; provider-level outcomes are NOT_ACQUIRED. The department accepts securities complaints with a Connecticut nexus. Complaint intake is KNOWN; public provider-level complaint rows and outcomes are NOT_ACQUIRED. A complaint is not a finding, and missing evidence is not a clean record.
DOB workbook update: 10/22/2025; separate retrieval clocks: state IA 2026-09-28T19:30:38+00:00, notice 2026-09-28T19:30:39+00:00, ERA 2026-09-28T19:30:39+00:00. IAPD STATE and SEC feed source date: 2026-09-17; accepted retrieval: 2026-09-17T15:15:00Z. Securities-order index retrieved: 2026-09-28T19:31:31+00:00; order dates above are index labels, not independently adjudicated finality dates. Generated snapshot: 2026-09-28T19:30:49+00:00. There is no universal Connecticut securities clock.
Connecticut-only broker-dealer/person rosters, provider-level examinations and complaints: NOT_ACQUIRED. New canonical firms: 0. Graph writes: 0. Claim changes: 0. No combined state adviser total or city pages.
Ask about Connecticut evidence · Connecticut securities regulator