HARPSWELL CAPITAL ADVISORS, LLC
Adviser information for HARPSWELL CAPITAL ADVISORS, LLC last updated from Form ADV on March 19th, 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 Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 56 | $446.2M |
| Non-Discretionary | 0 | $0 |
| Total | 56 | $446.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 15 | $3.9M |
| HNW Individuals | 6 | $21.8M |
| Banking or thrift institutions | <5 | $366,439 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 29 | $212.9M |
| State or municipal gov entities | 5 | $207.2M |
| 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 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUM |
Principal Office
41 CAMPUS DRIVESUITE 203
NEW GLOUCESTER
ME
United States
Monday - Friday, 8:00-5:00
Tel: 207-926-1380, Fax: None
Chief Compliance Officer
JOHN MOORE
MANAGING MEMBER
41 CAMPUS DRIVE
SUITE 203
NEW GLOUCESTER
ME
United States
Tel:
207-926-1348
J**@********************M
(Full email address available in API data)
Regulatory Contact
ANNE FLEMING
COMPLIANCE
41 CAMPUS DRIVE
SUITE 203
NEW GLOUCESTER
ME
United States
Tel:
207-926-1347
A**@********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MOORE, JOHN, PATRICK | Individual | – | MANAGING MEMBER/PRESIDENT/CCO | 07/2013 | > 75% |
| Bryant, Vanessa, Michelle | Individual | – | VICE PRESIDENT | 08/2020 | 5-10% |