Hedge Fund Database

BAY HARBOR WEALTH MANAGEMENT, LLC

Adviser information for BAY HARBOR WEALTH MANAGEMENT, LLC last updated from Form ADV on March 28th, 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 Maryland, United States

Employees

Total Number of Employees 5
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 3
Licensed Agents of an Insurance Company 2
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,253 $291.6M
Non-Discretionary 0 $0
Total 1,253 $291.6M

Clients

Type Number RAUM
Individuals 264 $83.3M
HNW Individuals 111 $204.9M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
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 3 $3.4M
Other 0 $0
Type Number
No. of Non-RAUM Clients 3
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-114123
SEC ERA File Number 801-114123
SEC CIK Numbers 1767989
SEC CRD Numbers 294000
Legal Entity Identifier None

Principal Office

201 INTERNATIONAL CIRCLE
SUITE 520
HUNT VALLEY
MD
United States
Monday - Friday, 9:00 AM - 4:30 PM
Tel: 410-403-2060, Fax: 443-281-8377

Websites

twitter.com/bayharborwealth www.bayharborwealth.com/ www.linkedin.com/company/bayharborwealth/ www.facebook.com/bayharborwealth

Chief Compliance Officer

LANCE SCOTT
PRESIDENT
201 INTERNATIONAL CIRCLE
SUITE 520
HUNT VALLEY
MD
United States
Tel: 410-403-2060
(Full email address available in API data)

Regulatory Contact

LAUREN SWANN
DIRECTOR OF BUSINESS OPERATIONS, COMPLIANCE
201 INTERNATIONAL CIRCLE
SUITE 520
HUNT VALLEY
MD
United States
Tel: 410-403-2060
(Full email address available in API data)

Industry Affiliates

BAY HARBOR INSURANCE, LLC Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
SCOTT, LANCE, REID Individual – PRESIDENT/CHIEF COMPLIANCE OFFICER 08/2018 > 75%

No. Employees, Historic

105020192020202120222023202420254 on 8/19/20194 on 12/4/20195 on 3/30/20205 on 5/22/20205 on 6/30/20205 on 8/31/20205 on 12/17/20205 on 3/30/20215 on 5/4/20215 on 6/28/20215 on 3/30/20225 on 8/1/20225 on 3/30/20235 on 3/28/2024

RAUM, Historic

300M150M02019202020212022202320242025131622041 on 8/19/2019131622041 on 12/4/2019185140077 on 3/30/2020185140077 on 5/22/2020185140077 on 6/30/2020185140077 on 8/31/2020185140077 on 12/17/2020217441161 on 3/30/2021217441161 on 5/4/2021217441161 on 6/28/2021254590938 on 3/30/2022254590938 on 8/1/2022238417840 on 3/30/2023291564962 on 3/28/2024

No. Clients, Historic

2,0001,00002019202020212022202320242025250 on 8/19/2019250 on 12/4/2019324 on 3/30/2020324 on 5/22/2020324 on 6/30/2020324 on 8/31/2020324 on 12/17/2020333 on 3/30/2021333 on 5/4/2021333 on 6/28/20211144 on 3/30/20221144 on 8/1/2022369 on 3/30/2023378 on 3/28/2024

Holdings

From latest 13F, filed July 24th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM Common Stock 88K 513 2
ACCENTURE PLC IRELAND SHS CLASS A Common Stock 2K 8 2
ADOBE INC COM Common Stock 91K 163 2
ADVISORSHARES PURE US CANNABIS ETF Exchange Traded Fund 366 50 0
ALIBABA GROUP HLDG LTD SPONSORED ADS American Depository Receipt 2K 24 0
ALPHABET INC CAP STK CL A Common Stock 253K 1K 2
AMAZON COM INC COM Common Stock 193K 997 2
AMERICAN EXPRESS CO COM Common Stock 96K 415 2
APPLE INC COM Common Stock 264K 1K 2
ARK AUTONOMOUS TECHNOLOGY & ROBOTICS ETF Exchange Traded Fund 3K 50 0
ARK FINTECH INNOVATION ETF Exchange Traded Fund 3K 100 0
ARK INNOVATION ETF Exchange Traded Fund 69K 2K 0
ARK NEXT GENERATION INTERNET ETF Exchange Traded Fund 2K 26 0
AUTOLIV INC COM Common Stock 2K 21 2
BANK NEW YORK MELLON CORP COM Common Stock 95K 2K 2
BERKSHIRE HATHAWAY INC DEL CL B NEW Common Stock 1K 3 0
BLACKROCK FLEXIBLE INCOME ETF Exchange Traded Fund 2M 48K 0
BLACKROCK U.S. EQUITY FACTOR ROTATION ETF Exchange Traded Fund 9M 200K 0
BOEING CO COM Common Stock 5K 30 0
BOSTON SCIENTIFIC CORP COM Common Stock 88K 1K 2
BROADCOM INC COM Common Stock 143K 89 2
CADENCE DESIGN SYSTEM INC COM Common Stock 3K 9 2
CATERPILLAR INC COM Common Stock 87K 262 2
CENTERPOINT ENERGY INC COM Common Stock 53K 2K 2
CLEAN HARBORS INC COM Common Stock 2K 10 2
COMCAST CORP NEW CL A Common Stock 47K 1K 2
CROWDSTRIKE HLDGS INC CL A Common Stock 100K 260 2
CVS HEALTH CORP COM Common Stock 2K 32 2
DELL TECHNOLOGIES INC CL C Common Stock 213K 2K 2
DELTA AIR LINES INC DEL COM NEW Common Stock 79K 2K 2
DIAMONDBACK ENERGY INC COM Common Stock 55K 277 2
DIMENSIONAL CORE FIXED INCOME ETF Exchange Traded Fund 4M 92K 0
DIMENSIONAL EMERGING CORE EQUITY MARKET ETF Exchange Traded Fund 2M 73K 0
DIMENSIONAL GLOBAL REAL ESTATE ETF Exchange Traded Fund 454K 18K 0
DIMENSIONAL INTERNATIONAL CORE EQUITY MARKET ETF Exchange Traded Fund 4M 151K 0
DIMENSIONAL SHORT-DURATION FIXED INCOME ETF Exchange Traded Fund 6M 122K 0
DIMENSIONAL US CORE EQUITY MARKET ETF Exchange Traded Fund 16M 438K 0
DROPBOX INC CL A Common Stock 1K 49 0
ELEVANCE HEALTH INC COM Common Stock 3K 5 2
ELI LILLY & CO COM Common Stock 87K 96 2
EXXON MOBIL CORP COM Common Stock 76K 662 2
FIRST REP BK SAN FRANCISCO CAL COM Common Stock 1 65 0
FISERV INC COM Common Stock 3K 17 2
FORTREA HLDGS INC COMMON STOCK Common Stock 93 4 0
GAMING & LEISURE PPTYS INC COM Real Estate Investment Trust 38K 842 2
GENERAL MLS INC COM Common Stock 2K 37 2
GOLDMAN SACHS GROUP INC COM Common Stock 13K 28 0
GRAPHIC PACKAGING HLDG CO COM Common Stock 61K 2K 2
HA SUSTAINABLE INFRA CAP INC COM Real Estate Investment Trust 2K 72 2
HOME DEPOT INC COM Common Stock 3K 8 2
HOWMET AEROSPACE INC COM Common Stock 3K 33 2
HUNTINGTON INGALLS INDS INC COM Common Stock 50K 201 2
INTERACTIVE BROKERS GROUP INC COM CL A Common Stock 110K 895 2
INVESCO S&P 500 EQUAL WEIGHT ETF Exchange Traded Fund 5K 33 0
IQVIA HLDGS INC COM Common Stock 70K 333 2
IRON MTN INC DEL COM Real Estate Investment Trust 80K 890 2
ISHARES 20 YEAR TREASURY BOND ETF Exchange Traded Fund 3M 35K 0
ISHARES CONVERTIBLE BOND ETF Exchange Traded Fund 465K 6K 0
ISHARES CORE AGGRESSIVE ALLOCATION ETF Exchange Traded Fund 215K 3K 0
ISHARES CORE CONSERVATIVE ALLOCATION ETF Exchange Traded Fund 122K 3K 0
ISHARES CORE GROWTH ALLOCATION ETF Exchange Traded Fund 60K 1K 0
ISHARES CORE MODERATE ALLOCATION ETF Exchange Traded Fund 338K 8K 0
ISHARES CORE MSCI EMERGING MARKETS ETF Exchange Traded Fund 3M 61K 0
ISHARES CORE S&P 500 ETF Exchange Traded Fund 26M 48K 0
ISHARES CORE TOTAL USD BOND MARKET ETF Exchange Traded Fund 23M 519K 0
ISHARES CURRENCY HEDGED MSCI EAFE ETF Exchange Traded Fund 2M 51K 0
ISHARES GLOBAL TECH ETF Exchange Traded Fund 41K 498 0
ISHARES INVESTMENT GRADE SYSTEMATIC BOND ETF Exchange Traded Fund 1M 26K 0
ISHARES JP MORGAN USD EMERGING MARKETS BOND ETF Exchange Traded Fund 1M 14K 0
ISHARES MBS ETF Exchange Traded Fund 6M 67K 0
ISHARES MSCI EAFE GROWTH ETF Exchange Traded Fund 8M 80K 0
ISHARES MSCI EAFE VALUE ETF Exchange Traded Fund 3M 55K 0
ISHARES MSCI EMERGING MARKETS EX CHINA ETF Exchange Traded Fund 3M 49K 0
ISHARES MSCI USA MIN VOL FACTOR ETF Exchange Traded Fund 5K 64 0
ISHARES MSCI USA QUALITY FACTOR ETF Exchange Traded Fund 9M 54K 0
ISHARES RUSSELL 2000 ETF Exchange Traded Fund 10K 50 0
ISHARES S&P 500 GROWTH ETF Exchange Traded Fund 12M 125K 0
ISHARES S&P 500 VALUE ETF Exchange Traded Fund 5M 29K 0
ISHARES SELF-DRIVING EV & TECH ETF Exchange Traded Fund 1K 50 0
ISHARES SEMICONDUCTOR ETF Exchange Traded Fund 513K 2K 0
ISHARES TIPS BOND ETF Exchange Traded Fund 778K 7K 0
ISHARES TREASURY FLOATING RATE BOND ETF Exchange Traded Fund 3K 57 0
ISHARES U.S. INFRASTRUCTURE ETF Exchange Traded Fund 1M 25K 0
ISHARES U.S. TECH INDEPENDENCE FOCUSED ETF Exchange Traded Fund 440K 6K 0
ISHARES U.S. TECHNOLOGY ETF Exchange Traded Fund 4M 28K 0
ISHARES U.S. TREASURY BOND ETF Exchange Traded Fund 882K 39K 0
JOHNSON CTLS INTL PLC SHS Common Stock 3K 41 2
JPMORGAN CHASE & CO. COM Common Stock 88K 435 2
KIMBERLY-CLARK CORP COM Common Stock 76K 548 2
KRAFT HEINZ CO COM Common Stock 2K 66 0
KRATOS DEFENSE & SEC SOLUTIONS COM NEW Common Stock 7K 325 0
KROGER CO COM Common Stock 68K 1K 2
LABCORP HOLDINGS INC COM SHS Common Stock 814 4 0
LINDE PLC SHS Common Stock 57K 131 2
MAGNITE INC COM Common Stock 1K 91 2
MARATHON PETE CORP COM Common Stock 67K 386 2
MARRIOTT INTL INC NEW CL A Common Stock 86K 354 2
MCKESSON CORP COM Common Stock 115K 197 2
MERCK & CO INC COM Common Stock 90K 724 2
META PLATFORMS INC CL A Common Stock 140K 278 2
MICRON TECHNOLOGY INC COM Common Stock 59K 452 2
MICROSOFT CORP COM Common Stock 222K 497 2
MONDELEZ INTL INC CL A Common Stock 62K 937 2
NABRIVA THERAPEUTICS PLC SHS NEW 2022 Common Stock 0 80 0
NEXTERA ENERGY INC COM Common Stock 65K 921 2
NVENT ELECTRIC PLC SHS Common Stock 3K 34 2
NVIDIA CORPORATION COM Common Stock 258K 2K 2
ORACLE CORP COM Common Stock 97K 684 2
PALANTIR TECHNOLOGIES INC CL A Common Stock 17K 689 0
PALO ALTO NETWORKS INC COM Common Stock 6K 18 0
PARKER-HANNIFIN CORP COM Common Stock 108K 213 2
PORTLAND GEN ELEC CO COM NEW Common Stock 1K 33 2
PROCTER AND GAMBLE CO COM Common Stock 7K 43 0
PROSHARES BITCOIN STRATEGY ETF Exchange Traded Fund 13K 594 0
PRUDENTIAL FINL INC COM Common Stock 8K 65 0
PULTE GROUP INC COM Common Stock 99K 902 2
QUALCOMM INC COM Common Stock 63K 314 2
REINSURANCE GRP OF AMERICA INC COM NEW Common Stock 75K 363 2
RESMED INC COM Common Stock 2K 8 2
RESTAURANT BRANDS INTL INC COM Common Stock 71K 995 2
ROBLOX CORP CL A Common Stock 930 25 0
SALESFORCE INC COM Common Stock 83K 324 2
SCHWAB CHARLES CORP COM Common Stock 4K 51 0
SERVICENOW INC COM Common Stock 78K 99 2
SHORE BANCSHARES INC COM Common Stock 11K 1K 0
SNOWFLAKE INC CL A Common Stock 2K 18 0
SPDR PORTFOLIO AGGREGATE BOND ETF Exchange Traded Fund 173K 7K 0
SPDR PORTFOLIO S&P 500 ETF Exchange Traded Fund 7K 111 0
SPDR S&P 500 ETF TRUST Exchange Traded Fund 234K 430 0
STAG INDL INC COM Real Estate Investment Trust 1K 32 2
SYSCO CORP COM Common Stock 70K 974 2
TAPESTRY INC COM Common Stock 3K 67 2
TE CONNECTIVITY LTD SHS Common Stock 3K 18 2
TESLA INC COM Common Stock 193K 975 0
THE CIGNA GROUP COM Common Stock 3K 8 2
TJX COS INC NEW COM Common Stock 65K 590 2
T-MOBILE US INC COM Common Stock 72K 408 2
UBER TECHNOLOGIES INC COM Common Stock 87K 1K 2
UNITEDHEALTH GROUP INC COM Common Stock 82K 161 2
VANECK RARE EARTH AND STRATEGIC METALS ETF Exchange Traded Fund 4K 86 0
VANGUARD CONSUMER DISCRETIONARY ETF Exchange Traded Fund 227K 725 0
VANGUARD DIVIDEND APPRECIATION ETF Exchange Traded Fund 285K 2K 0
VANGUARD FTSE DEVELOPED MARKETS ETF Exchange Traded Fund 20M 410K 0
VANGUARD FTSE EMERGING MARKETS ETF Exchange Traded Fund 7M 163K 0
VANGUARD GROWTH ETF Exchange Traded Fund 22M 58K 0
VANGUARD HEALTH CARE ETF Exchange Traded Fund 10K 39 0
VANGUARD HIGH DIVIDEND YIELD INDEX ETF Exchange Traded Fund 65K 546 0
VANGUARD INFORMATION TECHNOLOGY ETF Exchange Traded Fund 1M 2K 0
VANGUARD INTERMEDIATE-TERM BOND ETF Exchange Traded Fund 6M 84K 0
VANGUARD INTERNATIONAL HIGH DIVIDEND YIELD ETF Exchange Traded Fund 43K 623 0
VANGUARD LONG-TERM BOND ETF Exchange Traded Fund 7M 92K 0
VANGUARD MORTGAGE-BACKED SECURITIES ETF Exchange Traded Fund 7M 150K 0
VANGUARD RUSSELL 3000 ETF Exchange Traded Fund 4K 16 0
VANGUARD S&P 500 ETF Exchange Traded Fund 4K 8 0
VANGUARD SHORT-TERM BOND ETF Exchange Traded Fund 13M 172K 0
VANGUARD SMALL-CAP ETF Exchange Traded Fund 5M 22K 0
VANGUARD TOTAL BOND MARKET ETF Exchange Traded Fund 10K 142 0
VANGUARD TOTAL CORPORATE BOND ETF Exchange Traded Fund 30K 401 0
VANGUARD TOTAL INTERNATIONAL BOND ETF Exchange Traded Fund 14M 290K 0
VANGUARD TOTAL INTERNATIONAL STOCK ETF Exchange Traded Fund 14K 237 0
VANGUARD TOTAL STOCK MARKET ETF Exchange Traded Fund 94K 349 0
VANGUARD VALUE ETF Exchange Traded Fund 17M 106K 0
VISA INC COM CL A Common Stock 93K 353 2
WALMART INC COM Common Stock 26K 390 2
WEATHERFORD INTL PLC ORD SHS Common Stock 2K 16 2
WELLS FARGO CO NEW COM Common Stock 94K 2K 2
WORKDAY INC CL A Common Stock 64K 287 2
ZOETIS INC CL A Common Stock 2K 13 2