HARBOUR INVESTMENTS, INC.

CRD 19258File 801-29185

APPROVED

Retail clients

Disclosure events

Filing as of Aug 13, 2026

Feed vintage Aug 17, 2026

Regulatory AUM

$9.60B

Top 10% of cohort (national)

Discretionary AUM

$7.62B

Non-discretionary $1.98B

Clients

30,309

44,629 accounts

Employees

232

Top 10% of cohort in WI

Identity & registration

ADV Item 1

Organization form: Corporation
Firm type: Registered
SEC region: CHRO
Registration date: Apr 10, 1987
Principal office: 575 D'ONOFRIO DRIVE, SUITE 300, MADISON, WI, 53719
Phone: 608-662-6100
Website: HTTPS://WWW.HARBOURINV.COM

Assets & accounts

ADV Item 5F

Total regulatory AUM: $9.60B
Discretionary AUM: $7.62B
Non-discretionary AUM: $1.98B
Discretionary accounts: 34,913
Non-discretionary accounts: 9,716
Total accounts: 44,629
AUM per client: $317K

Clients by type

ADV Item 5D

Client type	Clients	AUM
Other	96	$46.5M
Insurance companies	Fewer than 5	$3.0M
Charitable organizations	159	$125.3M
High net worth individuals	1,502	$2.60B
Pension and profit sharing plans	227	$71.5M
State or municipal government entities	Fewer than 5	$107.6M
Individuals (other than high net worth individuals)	28,325	$6.65B

Compensation & activities

ADV Items 5E, 5G

Compensation

Fixed fees
Commissions
Hourly charges
Subscription fees
A percentage of assets under your management

Advisory activities

Financial planning services
Selection of other advisers
Portfolio management for individuals and/or small businesses

Custody

ADV Item 9

Firm Custody Cash: No
Firm Custody Assets: No
Firm Custody Clients: No
Firm Custody Securities: No
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: No

Disclosure events

ADV Item 11

Q11
Q11C1
Q11C2
Q11C4
Q11C5

Filed changes

Date	Field	From	To
Aug 12, 2026	Registration	—	APPROVED

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.