NEW HARBOR CAPITAL
NEW HARBOR CAPITAL MANAGEMENT, LP Legal Name
Adviser information for NEW HARBOR CAPITAL last updated from Form ADV on March 30th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 20 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 7 | $900.5M |
| Non-Discretionary | 0 | $0 |
| Total | 7 | $900.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 7 | $900.5M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-107549 |
|---|---|
| SEC ERA File Number | 801-107549 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 283319 |
| Legal Entity Identifier | None |
Principal Office
500 WEST MADISON STREETSUITE 2830
CHICAGO
IL
United States
Monday - Friday, 8:30 AM TO 5:30 PM
Tel: 312-876-8605, Fax: 312-754-4172
Chief Compliance Officer
MARK MORGAN
CHIEF FINANCIAL OFFICER
500 W. MADISON ST.
SUITE 2830
CHICAGO
IL
United States
Tel:
312-878-2793
Fax:
312-971-9167
M******@***************M
(Full email address available in API data)
Industry Affiliates
| NEW HARBOR CAPITAL FUND GP, LP | Sponsor, GP, manager of pooled investment vehicles |
| NEW HARBOR CAPITAL FUND II GP, LP | Sponsor, GP, manager of pooled investment vehicles |
| NEW HARBOR CAPITAL FUND III GP, LP | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| NEW HARBOR ASSOCIATES, LLC | Private Equity Fund | $0.4M | $0.0M | 11 |
| NEW HARBOR CAPITAL FUND II-A, LP | Private Equity Fund | $37.3M | $0.1M | 3 |
| NEW HARBOR CAPITAL FUND II, LP | Private Equity Fund | $404.6M | $0.1M | 62 |
| NEW HARBOR CAPITAL FUND III-A, LP | Private Equity Fund | $25.0M | $0.0M | 9 |
| NEW HARBOR CAPITAL FUND III, LP | Private Equity Fund | $130.9M | $0.0M | 54 |
| NEW HARBOR CAPITAL FUND-A, LP | Private Equity Fund | $0.6M | $0.1M | 7 |
| NEW HARBOR CAPITAL FUND, LP | Private Equity Fund | $40.1M | $0.1M | 54 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FORMOLO, THOMAS, JOSEPH | Individual | – | PARTNER AND ELECTED MANAGER, NEW HARBOR CAPITAL | 03/2013 | 50-75% |
| LHEE, EDWARD, MICHAEL | Individual | – | PARTNER AND ELECTED MANAGER, NEW HARBOR CAPITAL | 03/2013 | 25-50% |
| MORGAN, MARK, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER | 01/2023 | < 5% |