PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:04 AM ET

Sponsor Check › Person

LR
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Lori Rodden

Named as an officer, director or promoter on SEC Form D filings · CT · Nov 6, 2020 → Nov 14, 2022

1deal (issuers)
$128.1Mreported sold
260investors
3Form D filings
2020–2022years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:48 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Lori Rodden is listed as a director on 3 SEC Form D filings by 1 issuer between Nov 2020 and Nov 2022: Hartford Funds Management Group, Inc. (Wayne, PA — other banking and financial services — 2020–2022; $128.1M reported sold to 260 investors).

What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.

Listed alongside Beth A. Costello (3 shared filings), Gregory Frost (3 shared filings), James E. Davey (3 shared filings) and Walter F. Garger (3 shared filings).

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Lori. Each name links to their own page.

The issuer belongs to the sponsor group Hartford (3 issuers, $688.2M reported sold, 2011–2025).

What this means A sponsor group is one team that sets up a new company for each deal. Hartford has 3 companies on file and $688.2M reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 9 court cases matching the name, 5 bankruptcy cases matching the name listed in Key records below.

What this means 14 records came back, including 1 court case still open — open cases can take years and cost money. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 3 public filings for Lori Rodden and found 5 differences, 3 worth asking the sponsor about: Amount sold went down between filings; Lori Rodden is no longer listed on the Nov 7, 2023 amendment; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Lori Rodden has not run yet — it is joining a line of 5,907 names; searches run around the clock at the hosts' allowed rate. Searched so far: 27 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

9 cases: 1 open, 2 closed (disposition not in docket feed), 6 dismissed

Rodden v. Costco Wholesale Corporation open
District Court, S.D. California · No. 3:26-cv-03943 · Filed Jul 9, 2026
Role of Rodden: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 35 federal dockets); surname only in the caption; court in CA (not a filing state)
WCA Waste Corporation v. Rodden closed
District Court, W.D. Kentucky · No. 5:23-cv-00104 · Filed Jul 27, 2023 · Closed Aug 9, 2024
Role of Rodden: Defendant · Outcome: Terminated 2024-08-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 35 federal dockets); surname only in the caption; court in KY (not a filing state)
Rodden v. Ethicon, Inc. closed
District Court, N.D. Georgia · No. 1:21-cv-01615 · Filed Apr 20, 2021 · Closed Sep 5, 2023
Role of Rodden: Plaintiff · Outcome: Terminated 2023-09-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 35 federal dockets); surname only in the caption; court in GA (not a filing state)
Rodden v. Tyson Foods, Inc. dismissed
District Court, E.D. Oklahoma · No. 6:05-cv-00423 · Filed Oct 19, 2005 · Closed Apr 24, 2006 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Rodden: Plaintiff · Outcome: Terminated 2006-04-24 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 35 federal dockets); surname only in the caption; court in OK (not a filing state)
Rodden v. UNUM Life Insurance dismissed
District Court, E.D. North Carolina · No. 5:05-cv-00493 · Filed Jul 14, 2005 · Closed Jun 22, 2006 · Nature of suit: 890 Other statutory actions
Role of Rodden: Plaintiff · Outcome: Terminated 2006-06-22 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 35 federal dockets); surname only in the caption; court in NC (not a filing state)
Trustees of the U.A. Local 393 Pension Fund and the U.A. Local 393 Health and Welfare Trust Fund v. Rodden Mechanical, Inc. dismissed
District Court, N.D. California · No. 5:03-cv-05492 · Filed Dec 5, 2003 · Closed Oct 27, 2004 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Rodden Mechanical, Inc.: Defendant · Outcome: Terminated 2004-10-27 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 35 federal dockets); surname only in the caption; court in CA (not a filing state)
Rodden v. Verifications Inc dismissed
District Court, D. Arizona · No. 2:03-cv-01078 · Filed Jun 4, 2003 · Closed Jun 15, 2004 · Nature of suit: 890 Other statutory actions
Role of Rodden: Plaintiff · Outcome: Terminated 2004-06-15 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 35 federal dockets); surname only in the caption; court in AZ (not a filing state)
CSC Holdings, Inc. v. Rodden dismissed
District Court, E.D. New York · No. 2:01-cv-03788 · Filed Jun 1, 2001 · Closed Nov 13, 2002 · Nature of suit: 890 Other statutory actions
Role of Rodden: Defendant · Outcome: Terminated 2002-11-13 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 35 federal dockets); surname only in the caption; court in NY (not a filing state)
RODDEN v. NATIONAL RAILROAD dismissed
District Court, E.D. Pennsylvania · No. 2:95-cv-03567 · Filed Jun 6, 1995 · Closed Mar 27, 1996 · Nature of suit: 330 Federal employers' liability
Role of RODDEN: Plaintiff · Outcome: Terminated 1996-03-27 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 35 federal dockets); surname only in the caption; court in the person's filing state (PA)
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:48 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: AZ, CA, DE, TX, WA (crawled Oct 23, 2026)

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Lori Rodden..

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.

3. Bankruptcies

5 cases: 5 closed (disposition not in docket feed)

McCarthy v. Rodden & Company closed
United States Bankruptcy Court, E.D. Virginia · No. 11-01090 · Filed Feb 3, 2011 · Closed Jan 17, 2012
Role of Rodden & Company: Defendant · Outcome: Case closed 2012-01-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 35 federal dockets); surname only in the caption; court in VA (not a filing state)
FIA CARD SERVICES, N.A. v. RODDEN closed
United States Bankruptcy Court, M.D. Tennessee · No. 3:10-ap-00083 · Filed Feb 19, 2010 · Closed Jul 29, 2010
Role of RODDEN: Defendant · Outcome: Case closed 2010-07-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 35 federal dockets); surname only in the caption; court in TN (not a filing state)
Tempo Mechanical Services, Inc. v. Rodden closed
United States Bankruptcy Court, N.D. Texas · No. 09-03360 · Filed Oct 5, 2009 · Closed Apr 5, 2010
Role of Rodden: Defendant · Outcome: Case closed 2010-04-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 35 federal dockets); surname only in the caption; court in TX (not a filing state)
Rodden Mechanical, Inc. closed
United States Bankruptcy Court, E.D. California · No. 03-33163 · Filed Dec 8, 2003 · Closed May 6, 2005
Role of Rodden Mechanical, Inc.: Debtor · Outcome: Case closed 2005-05-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 35 federal dockets); surname only in the caption; court in CA (not a filing state)
American Express Travel Related Services Company v. Rodden-Davenport closed
United States Bankruptcy Court, W.D. Texas · No. 01-01122 · Filed Apr 23, 2001 · Closed Oct 18, 2001
Role of Rodden-Davenport: Defendant · Outcome: Case closed 2001-10-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (3 people in Form D filings, 35 federal dockets); surname only in the caption; court in TX (not a filing state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:48 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

5 differences found between the filings for Lori Rodden — 3 worth asking about (compared 3 filings on Oct 24, 2026)

Worth asking · Nov 14, 2022 – Nov 7, 2023

Amount sold went down between filings — Hartford Funds Management Group, Inc.

The Nov 14, 2022 filing says $95,064,443 sold; the Nov 7, 2023 Form D/A says $88,976,529 sold — $6,087,914 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Nov 14, 2022 ↗Form D/A (later) · Nov 7, 2023 ↗Hartford Funds Management Group, Inc. — PartnerFacts page ↗
Sources
Worth asking · Nov 4, 2021 – Nov 14, 2022

Amount sold went down between filings — Hartford Funds Management Group, Inc.

The Nov 4, 2021 filing says $101,145,516 sold; the Nov 14, 2022 Form D/A says $95,064,443 sold — $6,081,073 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D/A (earlier) · Nov 4, 2021 ↗Form D/A (later) · Nov 14, 2022 ↗Hartford Funds Management Group, Inc. — PartnerFacts page ↗
Sources
Worth asking · Nov 14, 2022 – Nov 7, 2023

Lori Rodden is no longer listed on the Nov 7, 2023 amendment — Hartford Funds Management Group, Inc.

Lori Rodden appears on the Nov 14, 2022 Form D/A (director) but not on the Nov 7, 2023 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Form D/A · Nov 14, 2022 ↗Form D/A · Nov 7, 2023 ↗Lori Rodden — PartnerFacts page ↗Hartford Funds Management Group, Inc. — PartnerFacts page ↗
Sources
Note · Nov 12, 2019 – Nov 7, 2023

4 offerings changed their target amount between filings

Offering amount lowered between filings — Hartford Funds Management Group, Inc. · Offering amount lowered between filings — Hartford Funds Management Group, Inc. · Offering amount changed between filings — Hartford Funds Management Group, Inc. · Offering amount changed between filings — Hartford Funds Management Group, Inc.

What this means Targets change as deals grow or shrink. Ask whether later money has the same terms.

Form D/A (earlier) · Nov 14, 2022 ↗Form D/A (later) · Nov 7, 2023 ↗Hartford Funds Management Group, Inc. — PartnerFacts page ↗Form D/A (earlier) · Nov 4, 2021 ↗
Sources
Note · Sep 9, 2016 – Nov 14, 2017

Address moved from Radnor, PA to Wayne, PA — Hartford Funds Management Group, Inc.

The people listed on the Sep 9, 2016 filing give Radnor, PA; on the Nov 14, 2017 filing they give Wayne, PA.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D/A · Sep 9, 2016 ↗Form D/A · Nov 14, 2017 ↗Hartford Funds Management Group, Inc. — PartnerFacts page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

None reported on 1 offering — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Nov 14, 2022 D/A
Hartford Funds Management Group, Inc.
File 021-204376
$0$0$0None listed on this filingEDGAR ↗

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 1

Every issuer that named Lori Rodden on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

HF
Other Banking and Financial Services · group: Hartford

Hartford Funds Management Group, Inc.

Wayne, PA · Nov 6, 2020 → Nov 14, 2022 · 3 filings
  • Nov 14, 2022 · D/A · $95,064,443 sold of $267,400,000 · 221 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 4, 2021 · D/A · $101,145,516 sold of $319,400,000 · 201 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 6, 2020 · D/A · $63,014,203 sold of $221,400,000 · 196 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $128.1M from 260 investors (48% of the $267.4M target) as of the latest filing. Lori is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Banking and Financial Services / 506(b) (1,630 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

People around Lori 4

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

WG
No photo found yet (own website and image search run after this page is viewed)
Person

Walter F. Garger

Executive Officer · 3 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Lori Rodden. Their page shows their other deals.

GF
No photo found yet (own website and image search run after this page is viewed)
Person

Gregory Frost

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Lori Rodden. Their page shows their other deals.

BC
No photo found yet (own website and image search run after this page is viewed)
Person

Beth A. Costello

Director · 3 shared filings (1 issuer)

Listed on the same filings as Lori Rodden. Their page shows their other deals.

JD
No photo found yet (own website and image search run after this page is viewed)
Person

James E. Davey

Executive Officer, Director · 3 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Lori Rodden. Their page shows their other deals.

The team behind the deals

H
Sponsor group

Hartford

3 issuers · 19 filings · $688.2M reported sold · 2011–2025

One team, 3 deal companies. Lori Rodden is listed on 1 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Lori Rodden.

Same business address

1 other issuer file from the same address

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Adviser registration (Form ADV)

None of the 1 issuer this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Lori Rodden by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Lori Rodden is listed on: none on file. No website or social profile named in Hartford Funds Management Group, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #55,626 of 374,652 in line (14 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Wayne, PA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Connecticut Judicial Branch case look-up ↗Pennsylvania UJS portal case search ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

Connecticut Secretary of State business search ↗Pennsylvania Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

Every fact links to its public-record source. Plain-English notes next to a fact are our reading of that fact, not a rating. Request a correction · Facts policy

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