Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
TALCOTT RESOLUTION LIFE INSURANCE CO ICMG SERIES IV See All Filings	D/A	2026-03-27 17:42:28 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers AXA Advisors LLC, BB&T INVESTMENT SERVICES, BUCK KWASHA SECURITIES LLC, CLARK SECURITIES INC., EXECUTIVE SERVICES SECURITIES, INC, FAS CORP, FPCM SECURITIES, LLC, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, M HOLDINGS SECURITIES, INC, M HOLDINGS SECURITES, NEWPORT GROUP SECURITIES, INC, NFP ADVISORS, LLC, PARK AVENUE SECURITIES, PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC, WJ LYNCH INVESTOR SERVICES, LLC, UBS FINANCIAL SERVICES, STERN CAPITAL, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, INNOVATION PARTNERS, LLC, CONDUENT SECURITIES, LLC, CAPACUITY SECURITIES, INC., KESTRA INVESTMENT SERVICES, LLC, Buck HR Securities, Inc, and ASCENSUS BROKER DEALER SERVICES CIK Number 0001170473 Filed Document 0001104659-26-036275 Exclusions or Exemptions 506b Accepted Date 2026-03-27 17:42:28 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
TALCOTT RESOLUTION LIFE INSURANCE CO ICMG SERIES IV See All Filings	D/A	2025-03-17 09:26:37 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers AXA Advisors LLC, BB&T INVESTMENT SERVICES, BUCK KWASHA SECURITIES LLC, CLARK SECURITIES INC., EXECUTIVE SERVICES SECURITIES, INC, FAS CORP, FPCM SECURITIES, LLC, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, M HOLDINGS SECURITIES, INC, M HOLDINGS SECURITES, NEWPORT GROUP SECURITIES, INC, NFP ADVISORS, LLC, PARK AVENUE SECURITIES, PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC, WJ LYNCH INVESTOR SERVICES, LLC, UBS FINANCIAL SERVICES, STERN CAPITAL, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, INNOVATION PARTNERS, LLC, CONDUENT SECURITIES, LLC, CAPACUITY SECURITIES, INC., KESTRA INVESTMENT SERVICES, LLC, Buck HR Securities, Inc, and ASCENSUS BROKER DEALER SERVICES CIK Number 0001170473 Filed Document 0001104659-25-024257 Exclusions or Exemptions 506b Accepted Date 2025-03-17 09:26:37 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
TALCOTT RESOLUTION LIFE INSURANCE CO ICMG SERIES IV See All Filings	D/A	2024-02-28 09:57:55 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers AXA Advisors LLC, BB&T INVESTMENT SERVICES, BUCK KWASHA SECURITIES LLC, CLARK SECURITIES INC., EXECUTIVE SERVICES SECURITIES, INC, FAS CORP, FPCM SECURITIES, LLC, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, M HOLDINGS SECURITIES, INC, M HOLDINGS SECURITES, NEWPORT GROUP SECURITIES, INC, NFP ADVISORS, LLC, PARK AVENUE SECURITIES, PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC, WJ LYNCH INVESTOR SERVICES, LLC, UBS FINANCIAL SERVICES, STERN CAPITAL, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, INNOVATION PARTNERS, LLC, CONDUENT SECURITIES, LLC, CAPACUITY SECURITIES, INC., KESTRA INVESTMENT SERVICES, LLC, Buck HR Securities, Inc, ASCENSUS BROKER DEALER SERVICES, ASCENSUS BROKER DEALER SERVICES, LLC, ASCENSUS BROKER DEALER SERVICES, LLC, ASCENSUS BROKER DEALER SERVICES, LLC, and J ALDEN ASSOCIATES, INC CIK Number 0001170473 Filed Document 0001104659-24-028541 Exclusions or Exemptions 506b Accepted Date 2024-02-28 09:57:55 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
TALCOTT RESOLUTION LIFE INSURANCE CO ICMG SERIES IV See All Filings	D/A	2023-02-27 09:40:55 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers AXA Advisors LLC, BB&T INVESTMENT SERVICES, BUCK KWASHA SECURITIES LLC, CLARK SECURITIES INC., EXECUTIVE SERVICES SECURITIES, INC, FAS CORP, FPCM SECURITIES, LLC, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, M HOLDINGS SECURITIES, INC, M HOLDINGS SECURITES, NEWPORT GROUP SECURITIES, INC, NFP ADVISORS, LLC, PARK AVENUE SECURITIES, PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC, WJ LYNCH INVESTOR SERVICES, LLC, UBS FINANCIAL SERVICES, STERN CAPITAL, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, INNOVATION PARTNERS, LLC, CONDUENT SECURITIES, LLC, CAPACUITY SECURITIES, INC., KESTRA INVESTMENT SERVICES, LLC, and Buck HR Securities, Inc CIK Number 0001170473 Filed Document 0001104659-23-025696 Exclusions or Exemptions 506b Accepted Date 2023-02-27 09:40:55 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
TALCOTT RESOLUTION LIFE INSURANCE CO ICMG SERIES IV See All Filings	D/A	2022-03-02 12:30:56 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers AXA Advisors LLC, BB&T INVESTMENT SERVICES, BUCK KWASHA SECURITIES LLC, CLARK SECURITIES INC., EXECUTIVE SERVICES SECURITIES, INC, FAS CORP, FPCM SECURITIES, LLC, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, M HOLDINGS SECURITIES, INC, M HOLDINGS SECURITIES, NEWPORT GROUP SECURITIES, INC, NFP ADVISORS, LLC, PARK AVENUE SECURITIES, PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC, WJ LYNCH INVESTOR SERVICES, LLC, UBS FINANCIAL SERVICES, STERN CAPITAL, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, INNOVATION PARTNERS, LLC, CONDUENT SECURITIES, LLC, CAPACUITY SECURITIES, INC., KESTRA INVESTMENT SERVICES, LLC, and Buck HR Securities, Inc CIK Number 0001170473 Filed Document 0001104659-22-029145 Exclusions or Exemptions 506b Accepted Date 2022-03-02 12:30:56 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
TALCOTT RESOLUTION LIFE INSURANCE CO ICMG SERIES IV See All Filings	D/A	2021-03-11 14:46:47 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers AXA Advisors LLC, BB&T INVESTMENT SERVICES, BUCK KWASHA SECURITIES LLC, CLARK SECURITIES INC., EXECUTIVE SERVICES SECURITIES, INC, FAS CORP, FPCM SECURITIES, LLC, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, M HOLDINGS SECURITIES, INC, M HOLDINGS SECURITES, NEWPORT GROUP SECURITIES, IN, NFP ADVISORS, LLC, PARK AVENUE SECURITIES, PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC, WJ LYNCH INVESTOR SERVICES, LLC, UBS FINANCIAL SERVICES, STERN CAPITAL, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, INNOVATION PARTNERS, LLC, CONDUENT SECURITIES, LLC, CAPACUITY SECURITIES, INC., KESTRA INVESTMENT SERVICES, LLC, and Buck HR Securities, Inc CIK Number 0001170473 Filed Document 0001104659-21-034935 Exclusions or Exemptions 506b Accepted Date 2021-03-11 14:46:47 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
TALCOTT RESOLUTION LIFE INSURANCE CO ICMG SERIES IV See All Filings	D/A	2020-04-24 10:23:46 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers AXA Advisors LLC, BB&T INVESTMENT SERVICES, BUCK KWASHA SECURITIES LLC, CLARK SECURITIES INC., EXECUTIVE SERVICES SECURITIES, INC, FAS CORP, FPCM SECURITIES, LLC, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, M HOLDINGS SECURITIES, INC, M HOLDINGS SECURITES, NEWPORT GROUP SECURITIES, INC, NFP ADVISORS, LLC, PARK AVENUE SECURITIES, PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC, WJ LYNCH INVESTOR SERVICES, LLC, UBS FINANCIAL SERVICES, STERN CAPITAL, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, INNOVATION PARTNERS, LLC, CONDUENT SECURITIES, LLC, CAPACUITY SECURITIES, INC., and KESTRA INVESTMENT SERVICES, LLC CIK Number 0001170473 Filed Document 0001104659-20-050759 Exclusions or Exemptions 506b Accepted Date 2020-04-24 10:23:46 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
TALCOTT RESOLUTION LIFE INSURANCE CO ICMG SERIES IV See All Filings	D/A	2019-04-05 10:58:53 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers AXA Advisors LLC, BB&T INVESTMENT SERVICES, BUCK KWASHA SECURITIES LLC, CLARK SECURITIES INC., EXECUTIVE SERVICES SECURITIES, INC, FAS CORP, FPCM SECURITIES, LLC, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, M HOLDINGS SECURITIES, INC, M HOLDINGS SECURITES, NEWPORT GROUP SECURITIES, INC, NFP ADVISORS, LLC, PARK AVENUE SECURITIES, PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC, WJ LYNCH INVESTOR SERVICES, LLC, UBS FINANCIAL SERVICES, STERN CAPITAL, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, INNOVATION PARTNERS, LLC, and CONDUENT SECURITIES, LLC CIK Number 0001170473 Filed Document 0001104659-19-020080 Exclusions or Exemptions 506b Accepted Date 2019-04-05 10:58:53 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
HARTFORD LIFE INSURANCE CO ICMG SERIES IV See All Filings	D/A	2018-03-15 14:36:46 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers AXA Advisors LLC, BB&T INVESTMENT SERVICES, BUCK KWASHA SECURITIES LLC, CLARK SECURITIES INC., EXECUTIVE SERVICES SECURITIES, INC, FAS CORP, FPCM SECURITIES, LLC, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, M HOLDINGS SECURITIES, INC, M HOLDINGS SECURITES, NEWPORT GROUP SECURITIES, INC, NFP ADVISORS, LLC, PARK AVENUE SECURITIES, PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC, WJ LYNCH INVESTOR SERVICES, LLC, UBS FINANCIAL SERVICES, STERN CAPITAL, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, INNOVATION PARTNERS, LLC, and CONDUIT SECURITIES, LLC CIK Number 0001170473 Filed Document 0001104659-18-017810 Exclusions or Exemptions 506b Accepted Date 2018-03-15 14:36:46 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
HARTFORD LIFE INSURANCE CO ICMG SERIES IV See All Filings	D/A	2017-04-26 14:08:47 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers AXA Advisors LLC, BB&T INVESTMENT SERVICES, BUCK KWASHA SECURITIES LLC, CLARK SECURITIES INC., EXECUTIVE SERVICES SECURITIES, INC, FAS CORP, FPCM SECURITIES, LLC, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, M HOLDINGS SECURITIES, INC, M HOLDINGS SECURITES, NEWPORT GROUP SECURITIES, INC, KESTRA INVESTMENT SERVICES, LLC FORMERLY KNOWN AS NFP ADVISORS, LLC, PARK AVENUE SECURITIES, PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC, WJ LYNCH INVESTOR SERVICES, LLC, UBS FINANCIAL SERVICES, STERN CAPITAL, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, INNOVATION PARTNERS, LLC, LPL FINANCIAL, LLC, M HOLDINGS SECURITIES, INC., and KESTRA INVESTMENT SERVICES, LLC FORMERLY KNOWN AS NFP ADVISORS, LLC CIK Number 0001170473 Filed Document 0001104659-17-026281 Exclusions or Exemptions 506b Accepted Date 2017-04-26 14:08:47 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
HARTFORD LIFE INSURANCE CO ICMG SERIES IV See All Filings	D/A	2016-03-01 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers AXA Advisors LLC, BB&T INVESTMENT SERVICES, BUCK KWASHA SECURITIES LLC, CLARK SECURITIES INC., EXECUTIVE SERVICES SECURITIES, INC, FAS CORP, FPCM SECURITIES, LLC, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, M HOLDINGS SECURITIES, INC, M HOLDINGS SECURITES, NEWPORT GROUP SECURITIES, INC, NFP ADVISORS, LLC, PARK AVENUE SECURITIES, PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC, WJ LYNCH INVESTOR SERVICES, LLC, UBS FINANCIAL SERVICES, STERN CAPITAL, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, and INNOVATION PARTNERS, LLC CIK Number 0001170473 Filed Document 0001104659-16-109551 Exclusions or Exemptions 506b Accepted Date 2016-03-01 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
HARTFORD LIFE INSURANCE CO ICMG SERIES IV See All Filings	D/A	2015-02-23 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers AXA Advisors LLC, BB&T INVESTMENT SERVICES, BUCK KWASHA SECURITIES LLC, CLARK SECURITIES INC., EXECUTIVE SERVICES SECURITIES, INC, FAS CORP, FPCM SECURITIES, LLC, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, J. ALDEN ASSOCIATES, M HOLDINGS SECURITIES, INC, M HOLDINGS SECURITES, NEWPORT GROUP SECURITIES, INC, NFP ADVISORS, LLC, PARK AVENUE SECURITIES, PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC, WJ LYNCH INVESTOR SERVICES, LLC, UBS FINANCIAL SERVICES, STERN CAPITAL, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, and NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC CIK Number 0001170473 Filed Document 0001104659-15-028527 Exclusions or Exemptions 506b Accepted Date 2015-02-23 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund