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HARBOUR INVESTMENTS, INC.
CRD 19258File 801-29185
APPROVED
Retail clients
Disclosure events
Filing as of Sep 29, 2026
Feed vintage Oct 1, 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, 5GCompensation
- 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 | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 231 | 232 | increased by1 |
| Apr 1, 2026 | Clients | 22,917 | 30,309 | increased by7,392 |
| Apr 1, 2026 | AUM | $7,569,614,628 | $9,599,102,688 | increased by$2,029,488,060 |
| Apr 1, 2026 | Accounts | 38,692 | 44,629 | increased by5,937 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 213 | 231 | increased by18 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 15,671 | 22,917 | increased by7,246 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $4,702,680,907 | $7,569,614,628 | increased by$2,866,933,721 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 24,931 | 38,692 | increased by13,761 |
| Mar 1, 2022 | Clients | 13,138 | 15,671 | increased by2,533 |
| Mar 1, 2022 | AUM | $3,361,186,192 | $4,702,680,907 | increased by$1,341,494,715 |
| Mar 1, 2022 | Accounts | 19,907 | 24,931 | increased by5,024 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “HARBOUR INVESTMENTS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“HARBOUR INVESTMENTS” may also match similarly-named firms). Confirm identity against each filing.
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.