HARBOUR INVESTMENT MANAGEMENT L.L.C.
Adviser information for HARBOUR INVESTMENT MANAGEMENT L.L.C. last updated from Form ADV on February 9th, 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 | Washington, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 548 | $415.5M |
| Non-Discretionary | 0 | $0 |
| Total | 548 | $415.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 87 | $32.4M |
| HNW Individuals | 96 | $311.8M |
| 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 | <5 | $35.5M |
| Charitable organizations | 6 | $34.9M |
| 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 | <5 | $964,951 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-39540 |
|---|---|
| SEC ERA File Number | 801-39540 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111166 |
| Legal Entity Identifier | None |
Principal Office
152 3RD AVE SSUITE 103B
EDMONDS
WA
United States
Monday - Friday, 8:00 AM TO 1:00 PM
Tel: 425-742-1557, Fax: 425-645-8046
Websites
Chief Compliance Officer
AALOK SHAH
CHIEF COMPLIANCE OFFICER
152 3RD AVE S
SUITE 103B
EDMONDS
WA
United States
Tel:
(425) 742-1557
Fax:
425-645-8046
A****@****************M
(Full email address available in API data)
Industry Affiliates
| ZUNA, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BERKENHOFF, ERIKA, LYNNE | Individual | – | PORTFOLIO MANAGER | 01/2007 | 5-10% |
| PACIFIC HARBOUR ADVISORS, LLC | Domestic Entity | – | MEMBER | 01/2019 | > 75% |
| SHAH, AALOK, KIRIT | Individual | PACIFIC HARBOUR ADVISORS, LLC | MEMBER | 01/2019 | > 75% |
| SHAH, AALOK, KIRIT | Individual | – | CCO | 01/2024 | < 5% |