HARFST AND ASSOCIATES, INC.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	Wyoming, United States

Employees

Total Number of Employees	3
Investment Advisory/Research	3
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	3
Licensed Agents of an Insurance Company	1
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	1,431	$629.5M
Non-Discretionary	8	$43.0M
Total	1,439	$672.5M

Clients

Type	Number	RAUM
Individuals	225	$16.2M
HNW Individuals	187	$534.5M
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	75	$78.2M
Charitable organizations	17	$42.7M
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	$802,358
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	251-500

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation	% of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number	801-71661
SEC ERA File Number	801-71661
SEC CIK Numbers	1649147
SEC CRD Numbers	145090
Legal Entity Identifier	None

Principal Office

1949 SUGARLAND DRIVE
#220
SHERIDAN
WY
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic