SourcingSourcing

LATTICE STRATEGIES LLC

C29
CRD 130373·SEC 801-63451·WAYNE, PA
AUM
$2.15B
$1B+
Est. Revenue
$21.5M
@ 1% on AUM
Est. EBITDA
$6.5M
@ 30% margin
Est. Deal Value
$51.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
LATTICE STRATEGIES LLC
CRD
130373
SEC file #
801-63451
EIN
204837195
DBA names
Hartford Funds

Economics

AUM
$2.15B
AUM band
$1B+
AUM trajectory
'20'26
$2.68B → $2.15B▼ -20%
Client mix
Investment Companies7

Operations

Employees (total)
368
Advisory staff (per ADV)
34
Advisory staff (5-yr trend)
'20'26
29 advisors → 34 advisors▲ +17%
Primary office
WAYNE PA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — investment companiesSelection of other advisers
Fee basis
% of AUM

Filings

Latest ADV filing
03/25/2026
ADV-W filed at
—
Website
linkedin.com/company/hartford-funds(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
HARTFORD FUNDS MANAGEMENT
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
7
Control Persons
HARTFORD FUNDS MANAGEMENT
FROST, GREGORY, A.
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:latticestrategies.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001389709
Edgar Registered
Yes
Edgar Filing Count
61
Edgar First Filing Date
2007-02-14
Edgar Last Filing Date
2026-05-15
Edgar 13f Count
59
Edgar 13f Latest AUM Estimate
Filing Date2026-05-15
Accession0001140361-26-021558
Edgar Former Names
WHALEROCK CAPITAL PARTNERS, LLC

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
State Street2
Edgar Addresses
Mailing
319 CLEMATIS STREETSUITE 610WEST PALM BEACH, FL 33401
Business
319 CLEMATIS STREETSUITE 610WEST PALM BEACH, FL 33401
Edgar EIN
204837195
Edgar Recent Filings
13F-HR2026-05-15 · 0001140361-26-021558
13F-HR2026-02-13 · 0001140361-26-005225
Firm Has Custody
No
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (6)

6
FROST, GREGORY, A.
Executive Officer · 2.5%
2864924
FURLONG, AMY, NICOLE
Executive Officer · 2.5%
4835814
GARGER, WALTER, FRANCIS
Executive Officer · 2.5%
4753411
MELCHER, JOSEPH, GARY
Executive Officer · 2.5%
3152206
MEYER, VERNON, JOSEPH
Executive Officer · 2.5%
2416119
Overholt, Ernie, Clark
Executive Officer · 2.5%
2335499