HARBERT FUND ADVISORS, INC.
Adviser information for HARBERT FUND ADVISORS, INC. last updated from Form ADV on March 29th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Alabama, United States |
Employees
| Total Number of Employees | 167 |
|---|---|
| Investment Advisory/Research | 73 |
| Registered Broker-Dealer Representatives | 28 |
| Registered State Investment Advisers | 7 |
| 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 | 50 | $8.1B |
| Non-Discretionary | 0 | $0 |
| Total | 50 | $8.1B |
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 | 38 | $6.7B |
| 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 | 12 | $1.4B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 50 |
| No. of Non-U.S. Clients | 100 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsMANAGEMENT OF PRIVATE INVESTMENT FUNDS AND HEDGE FUNDS |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
2100 THIRD AVENUE NORTH, STE 600BIRMINGHAM
AL
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 205/987-5500, Fax: 205/987-5505
Chief Compliance Officer
MICHAEL BAUDER
VICE PRESIDENT & CHIEF COMPLIANCE OFFICER
2100 THIRD AVENUE NORTH, STE 600
BIRMINGHAM
AL
United States
Tel:
205/987-5500
Fax:
205/987-5505
M******@**********T
(Full email address available in API data)
Industry Affiliates
| HARBERT DISCOVERY FUND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| HARBERT DISCOVERY OPPORTUNITY FUND I GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| HARBERT EUROPEAN FUND ADVISORS, LTD. | Other investment adviser, including financial planners |
| HARBERT STONEVIEW FUND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| HARBERT STONEVIEW OPPORTUNITY FUND I GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| HMC INVESTMENTS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GULF PACIFIC POWER, LLC | Private Equity Fund | $1,857.6M | $1.0M | 14 |
| HARBERT 6BEACON FUND LP | Hedge Fund | $44.0M | $1.0M | 5 |
| HARBERT CH ARIZONA INVESTOR, LP | Real Estate Fund | $31.6M | $0.1M | 31 |
| HARBERT CREDIT SOLUTIONS FUND IV, L.P. | Private Equity Fund | $221.9M | $1.0M | 229 |
| HARBERT CREDIT SOLUTIONS FUND V, LP | Private Equity Fund | $54.6M | $1.0M | 59 |
| HARBERT DISCOVERY CO-INVESTMENT FUND I, LP | Hedge Fund | $4.0M | $0.3M | 12 |
| HARBERT DISCOVERY FUND, LP | Hedge Fund | $39.9M | $0.3M | 25 |
| HARBERT EUROPEAN REAL ESTATE FUND IV, LP | Real Estate Fund | $21.6M | $10.0M | 75 |
| HARBERT EUROPEAN REAL ESTATE FUND V, L.P. | Real Estate Fund | $634.5M | $10.0M | 107 |
| HARBERT EUROPEAN REAL ESTATE FUND VI, L.P. | Real Estate Fund | $39.5M | $10.0M | 41 |
| HARBERT GENERATE CO-INVESTMENT FUND, L.P. | Private Equity Fund | $184.6M | $0.1M | 6 |
| HARBERT GROWTH PARTNERS IV, LP | Venture Capital Fund | $116.6M | $0.5M | 53 |
| HARBERT GROWTH PARTNERS V, LP | Venture Capital Fund | $64.5M | $1.0M | 74 |
| HARBERT INFRASTRUCTURE VI, LP | Private Equity Fund | $275.5M | $5.0M | 28 |
| HARBERT MEZZANINE PARTNERS II SBIC, LP | MEZZANINE | $8.9M | $0.5M | 10 |
| HARBERT MEZZANINE PARTNERS II, LP | Private Equity Fund | $0.1M | $0.5M | 78 |
| HARBERT MEZZANINE PARTNERS III , LP | Private Equity Fund | $53.6M | $0.5M | 76 |
| HARBERT OPPORTUNISTIC OFFSHORE CAPITAL, SPC, DONERAIL SP #3 | Hedge Fund | $6.6M | $0.1M | 3 |
| HARBERT PARKSIDE CO-INVESTOR, LP | Real Estate Fund | $117.7M | $0.1M | 28 |
| HARBERT PIONEER FUND, LP | Hedge Fund | $50.9M | $1.0M | 17 |
| HARBERT POWER FUND V (AIV), LLC | Private Equity Fund | $17.7M | $5.0M | 3 |
| HARBERT POWER FUND V, LLC | Private Equity Fund | $104.3M | $5.0M | 61 |
| HARBERT SENIORS HOUSING FUND I, LP | Real Estate Fund | $101.5M | $2.0M | 200 |
| HARBERT SENIORS HOUSING FUND II, LP | Real Estate Fund | $218.4M | $2.0M | 306 |
| HARBERT STONEVIEW CO-INVESTMENT I, LP | Hedge Fund | $34.4M | $0.0M | 55 |
| HARBERT STONEVIEW FUND, LP | Hedge Fund | $25.2M | $1.0M | 76 |
| HARBERT STONEVIEW OPPORTUNITY FUND I, LP | Hedge Fund | $7.7M | $0.3M | 16 |
| HARBERT UNITED STATES REAL ESTATE FUND V, LP | Real Estate Fund | $7.4M | $5.0M | 101 |
| HARBERT UNITED STATES REAL ESTATE FUND VI, LP | Real Estate Fund | $195.8M | $0.5M | 152 |
| HARBERT UNITED STATES REAL ESTATE FUND VII, L.P. | Real Estate Fund | $423.5M | $0.5M | 175 |
| HARBERT UNITED STATES REAL ESTATE FUND VIII, LP | Real Estate Fund | $53.3M | $0.5M | 129 |
| HARBERT VENTURE PARTNERS II, LP | Venture Capital Fund | $0.7M | $0.3M | 48 |
| HARBERT VENTURE PARTNERS III, LP | Venture Capital Fund | $20.2M | $0.5M | 37 |
| HCSF IV PARALLEL FUND | Private Equity Fund | $13.5M | $1.0M | 3 |
| HSH II PARALLEL FUND | Real Estate Fund | $32.5M | $2.0M | 9 |
| HSH II PARALLEL FUND II | Real Estate Fund | $24.3M | $2.0M | 2 |
| HUSREF VII PARALLEL FUND | Real Estate Fund | $50.5M | $0.5M | 1 |
| HUSREF VII RTC CO-INVESTOR, LP | Real Estate Fund | $62.7M | $0.5M | 6 |
| THE DONERAIL FUND, LP | Hedge Fund | $35.6M | $5.0M | 29 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HARBERT, RAYMOND, JONES | Individual | – | CHAIRMAN, CEO & DIRECTOR | 11/1993 | < 5% |
| HARBINGER CORPORATION | Domestic Entity | – | SHAREHOLDER | 11/1993 | > 75% |
| HARBERT MANAGEMENT CORPORATION | Domestic Entity | HARBINGER CORPORATION | SHAREHOLDER | 11/1993 | > 75% |
| HARBERT, RAYMOND, JONES | Individual | HARBERT MANAGEMENT CORPORATION | SHAREHOLDER | 11/1993 | 50-75% |
| BAUDER, MICHAEL, CONRAD | Individual | – | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 07/2006 | < 5% |
| MCCULLOUGH, JOHN, WATKINS | Individual | – | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | 03/2009 | < 5% |
| Bryant, Mary, Kathryn | Individual | HARBERT MANAGEMENT CORPORATION | SHAREHOLDER | 06/2018 | 50-75% |
| HARBERT, JOHN, MURDOCH | Individual | HARBERT MANAGEMENT CORPORATION | SHAREHOLDER | 06/2018 | 50-75% |
| HARBERT, RAYMOND, JONES | Individual | HARBERT MANAGEMENT CORPORATION | SHAREHOLDER | 06/2018 | 50-75% |
| HARBERT, RAYMOND, JONES | Individual | – | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | 01/2021 | < 5% |
| BRYANT, JOHN, FREDERICK | Individual | HARBERT MANAGEMENT CORPORATION | SHAREHOLDER | 01/2021 | 50-75% |
| Pritchett, Jason, Travis | Individual | – | PRESIDENT & CHIEF OPERATING OFFICER | 01/2021 | 5-10% |
| PURCELL, LEE, WALTON | Individual | – | GLOBAL HEAD OF CAPITAL MARKETS | 03/2022 | < 5% |
| BRYANT, JOHN, FREDERICK | Individual | – | EXECUTIVE VICE PRESIDENT & SENIOR MANAGING DIRECTOR, ABSOLUTE RETURN STRATEGIES | 12/2018 | 50-75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ACCURAY INC | COM | 3M | 2M | – |
| ADVANCED MICRO DEVICES INC | COM | 2M | 15K | – |
| ALPHABET INC | CAP STK CL C | 3M | 15K | – |
| AMAZON COM INC | COM | 8M | 43K | – |
| AMERICAN HEALTHCARE REIT INC | COM SHS | 183K | 13K | – |
| AMERICAN TOWER CORP NEW | COM | 340K | 2K | – |
| ATRICURE INC | COM | 228K | 10K | – |
| AVANTOR INC | COM | 21K | 1K | – |
| AVANTOR INC | COM | 1M | 50K | – |
| BLOCK INC | CL A | 322K | 5K | – |
| BLOCK INC | CL A | 645K | 10K | – |
| BOSTON SCIENTIFIC CORP | COM | 502K | 7K | – |
| BRAZE INC | COM CL A | 583K | 15K | – |
| BRAZE INC | COM CL A | 78K | 2K | – |
| CANADIAN PACIFIC KANSAS CITY | COM | 512K | 7K | – |
| CHEVRON CORP NEW | COM | 547K | 4K | – |
| COLGATE PALMOLIVE CO | COM | 485K | 5K | – |
| CONSTELLATION ENERGY CORP | COM | 551K | 3K | – |
| DANAHER CORPORATION | COM | 505K | 2K | – |
| DATADOG INC | CL A COM | 551K | 4K | – |
| DEERE & CO | COM | 514K | 1K | – |
| DELL TECHNOLOGIES INC | CL C | 517K | 4K | – |
| DIGITAL RLTY TR INC | COM | 228K | 2K | – |
| DRAFTKINGS INC NEW | COM CL A | 258K | 7K | – |
| EATON CORP PLC | SHS | 510K | 2K | – |
| ECOVYST INC | COM | 3M | 297K | – |
| EDWARDS LIFESCIENCES CORP | COM | 531K | 6K | – |
| ELEVANCE HEALTH INC | COM | 3M | 6K | – |
| EMBRAER S.A. | SPONSORED ADS | 477K | 19K | – |
| EMERSON ELEC CO | COM | 551K | 5K | – |
| ENZO BIOCHEM INC | COM | 6M | 5M | – |
| FENNEC PHARMACEUTICALS INC | COM | 3M | 467K | – |
| FERRARI N V | COM | 510K | 1K | – |
| FREEPORT-MCMORAN INC | CL B | 510K | 11K | – |
| GFL ENVIRONMENTAL INC | SUB VTG SHS | 526K | 14K | – |
| HCA HEALTHCARE INC | COM | 241K | 750 | – |
| I3 VERTICALS INC | COM CL A | 2M | 82K | – |
| IDENTIV INC | COM NEW | 3M | 786K | – |
| INFUSYSTEM HLDGS INC | COM | 4M | 618K | – |
| INSPIRED ENTMT INC | COM | 2M | 260K | – |
| INTUITIVE SURGICAL INC | COM NEW | 1M | 3K | – |
| INVESCO QQQ TR | UNIT SER 1 | 7M | 15K | – |
| IQVIA HLDGS INC | COM | 2M | 7K | – |
| ISHARES TR | ISHARES BIOTECH | 254K | 2K | – |
| JAWS MUSTANG ACQUISITION COR | *W EXP 01/30/202 | 1K | 10K | – |
| JPMORGAN CHASE & CO. | COM | 531K | 3K | – |
| LEDDARTECH HLDGS INC | *W EXP 12/21/202 | 833 | 17K | – |
| LIQUIDIA CORPORATION | COM NEW | 4M | 339K | – |
| MASTERCARD INCORPORATED | CL A | 2M | 5K | – |
| MCKESSON CORP | COM | 248K | 425 | – |
| META PLATFORMS INC | CL A | 3M | 5K | – |
| MICROSOFT CORP | COM | 8M | 18K | – |
| MOODYS CORP | COM | 1M | 3K | – |
| NETFLIX INC | COM | 337K | 500 | – |
| NEXTERA ENERGY INC | COM | 283K | 4K | – |
| NIKE INC | CL B | 377K | 5K | – |
| PALO ALTO NETWORKS INC | COM | 509K | 2K | – |
| PENN ENTERTAINMENT INC | COM | 12M | 608K | – |
| PERCEPTIVE CAP SOLUTIONS COR | CL A ORD SHS | 3M | 300K | – |
| PERIMETER SOLUTIONS SA | COMMON STOCK | 525K | 67K | – |
| PROCORE TECHNOLOGIES INC | COM | 99K | 2K | – |
| PROCORE TECHNOLOGIES INC | COM | 663K | 10K | – |
| PROGRESSIVE CORP | COM | 519K | 3K | – |
| PROLOGIS INC. | COM | 337K | 3K | – |
| PURECYCLE TECHNOLOGIES INC | COM | 718K | 121K | – |
| QIAGEN NV | SHS NEW | 503K | 12K | – |
| ROKU INC | COM CL A | 300K | 5K | – |
| ROPER TECHNOLOGIES INC | COM | 564K | 1K | – |
| S&P GLOBAL INC | COM | 1M | 2K | – |
| SALESFORCE INC | COM | 450K | 2K | – |
| SBA COMMUNICATIONS CORP NEW | CL A | 206K | 1K | – |
| SCHLUMBERGER LTD | COM STK | 236K | 5K | – |
| SHARECARE INC | COM CL A | 1M | 873K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 7M | 13K | – |
| SPDR SER TR | S&P BIOTECH | 510K | 6K | – |
| SPOTIFY TECHNOLOGY S A | SHS | 314K | 1K | – |
| STREAMLINE HEALTH SOLUTIONS | COM | 2M | 5M | – |
| STRYKER CORPORATION | COM | 510K | 2K | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 1M | 8K | – |
| TECK RESOURCES LTD | CL B | 503K | 11K | – |
| TENET HEALTHCARE CORP | COM NEW | 246K | 2K | – |
| TESLA INC | COM | 792K | 4K | – |
| TESLA INC | COM | 198K | 1K | – |
| THE REALREAL INC | COM | 223K | 70K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 1M | 2K | – |
| TRANSACT TECHNOLOGIES INC | COM | 2M | 640K | – |
| TURTLE BEACH CORP | COM NEW | 7M | 522K | – |
| UNION PAC CORP | COM | 509K | 2K | – |
| UNITEDHEALTH GROUP INC | COM | 764K | 2K | – |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 521K | 2K | – |
| VEEVA SYS INC | CL A COM | 549K | 3K | – |
| VERTIV HOLDINGS CO | COM CL A | 506K | 6K | – |
| VIMEO INC | COMMON STOCK | 187K | 50K | – |
| VISA INC | COM CL A | 2M | 8K | – |
| VISTRA CORP | COM | 731K | 9K | – |
| WALMART INC | COM | 762K | 11K | – |
| WASTE CONNECTIONS INC | COM | 526K | 3K | – |
| WORKDAY INC | CL A | 380K | 2K | – |
| WORKDAY INC | CL A | 559K | 3K | – |
| XYLEM INC | COM | 509K | 4K | – |