HARBOUR FINANCIAL RESOURCES, LTD
Adviser information for HARBOUR FINANCIAL RESOURCES, LTD last updated from Form ADV on February 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 | Illinois, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 0 | $0 |
| Non-Discretionary | 419 | $156.0M |
| Total | 419 | $156.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 66 | $21.1M |
| HNW Individuals | 60 | $114.4M |
| 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 | 36 | $20.5M |
| 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 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
Identifiers
| SEC RIA File Number | 801-58020 |
|---|---|
| SEC ERA File Number | 801-58020 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110261 |
| Legal Entity Identifier | None |
Principal Office
9933 LAWLER AVE., SUITE 500SKOKIE
IL
United States
Monday - Friday, 9:00 AM - 5:00PM
Tel: 847-675-6836, Fax: 847-675-4465
Chief Compliance Officer
ROBERT A. LEON
PRESIDENT
9933 LAWLER AVE.
STE. 500
SKOKIE
IL
United States
Tel:
847-675-6836
Fax:
847-675-4465
R****@*********M
(Full email address available in API data)
Regulatory Contact
ROBERT A. LEON
PRESIDENT
9933 LAWLER AVE.
STE. 500
SKOKIE
IL
United States
Tel:
847-675-6836
Fax:
847-675-4465
R****@*********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 |
|---|---|---|---|---|---|
| LEON, ROBERT, ALAN | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 05/1994 | > 75% |