Hedge Fund Database

NEW HARBOR FINANCIAL GROUP, LLC

Adviser information for NEW HARBOR FINANCIAL GROUP, LLC last updated from Form ADV on March 8th, 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 Massachusetts, United States

Employees

Total Number of Employees 7
Investment Advisory/Research 4
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 2
No. of Firms/People that Solicit Clients 2

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,828 $469.9M
Non-Discretionary 144 $25.6M
Total 1,972 $495.5M

Clients

Type Number RAUM
Individuals 838 $242.4M
HNW Individuals 136 $247.8M
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 $687,577
Charitable organizations <5 $4.6M
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 1
No. of Financial Planning Clients 0

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 801-72007
SEC ERA File Number 801-72007
SEC CIK Numbers 1548577
SEC CRD Numbers 155528
Legal Entity Identifier None

Principal Office

146 MAIN STREET
SUITE 302
WORCESTER
MA
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 978-537-7701, Fax: 978-537-7702

Websites

www.newharborfinancial.com www.youtube.com/@newharborfinancial www.linkedin.com/company/newharborfinancialgroup/ www.twitter.com/newharborfin

Chief Compliance Officer

CHRISTINE M. DRISCO
146 MAIN STREET
SUITE 302
WORCESTER
MA
United States
Tel: 978-537-7701
Fax: 978-537-7702
(Full email address available in API data)

Regulatory Contact

MICHAEL R. PRESTON
MANAGING MEMBER
146 MAIN STREET
SUITE 302
WORCESTER
MA
United States
Tel: 978-537-7701
Fax: 978-537-7702
(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
LLODRA, JOHN Individual – MANAGING MEMBER 01/2005 50-75%
PRESTON, MICHAEL, ROBERT Individual – MANAGING MEMBER 01/2005 50-75%
DRISCO, CHRISTINE, MARIE Individual – CHIEF COMPLIANCE OFFICER 01/2011 < 5%

No. Employees, Historic

105020192020202120222023202420254 on 4/18/20194 on 6/27/20194 on 10/10/20194 on 3/18/20204 on 6/29/20204 on 8/5/20204 on 1/11/20214 on 2/12/20216 on 3/3/20216 on 5/17/20216 on 7/20/20216 on 10/19/20216 on 1/31/20226 on 3/16/20226 on 11/10/20226 on 12/14/20226 on 2/24/20236 on 3/9/20236 on 5/12/20236 on 9/5/20237 on 3/8/2024

RAUM, Historic

500M250M02019202020212022202320242025136271478 on 4/18/2019136271478 on 6/27/2019136271478 on 10/10/2019155147087 on 3/18/2020155147087 on 6/29/2020155147087 on 8/5/2020155147087 on 1/11/2021155147087 on 2/12/2021275958022 on 3/3/2021275958022 on 5/17/2021275958022 on 7/20/2021275958022 on 10/19/2021275958022 on 1/31/2022340480900 on 3/16/2022340480900 on 11/10/2022340480900 on 12/14/2022419459871 on 2/24/2023419459871 on 3/9/2023419459871 on 5/12/2023419459871 on 9/5/2023495490078 on 3/8/2024

No. Clients, Historic

1,00050002019202020212022202320242025405 on 4/18/2019405 on 6/27/2019405 on 10/10/2019469 on 3/18/2020469 on 6/29/2020469 on 8/5/2020469 on 1/11/2021469 on 2/12/2021710 on 3/3/2021710 on 5/17/2021710 on 7/20/2021710 on 10/19/2021710 on 1/31/2022911 on 3/16/2022911 on 11/10/2022911 on 12/14/2022920 on 2/24/2023920 on 3/9/2023920 on 5/12/2023920 on 9/5/2023979 on 3/8/2024

Holdings

From latest 13F, filed August 1st, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALPHABET INC CAP STK CL A 231K 1K –
ALPS ETF TR ALERIAN MLP 11M 226K –
AMAZON COM INC COM 259K 1K –
AMAZON COM INC COM 232K 1K –
APPLE INC COM 853K 4K –
APPLE INC COM 316K 2K –
BITWISE BITCOIN ETF TR SHS BEN INT 675K 21K –
COMSTOCK INC COM NEW 7K 40K –
DENISON MINES CORP COM 56K 28K –
EA SERIES TRUST FREEDOM 100 EM 206K 6K –
ELI LILLY & CO COM 290K 320 –
EXXON MOBIL CORP COM 203K 2K –
FIRST MAJESTIC SILVER CORP COM 93K 16K –
FRANCO NEV CORP COM 208K 2K –
GLOBAL X FDS GLOBAL X SILVER 375K 12K –
GLOBAL X FDS GLOBAL X URANIUM 926K 32K –
GLOBAL X FDS GLOBAL X URANIUM 11M 368K –
HARBOR ETF TRUST HARBOR COMMODITY 21M 919K –
HECLA MNG CO COM 72K 15K –
INTUITIVE SURGICAL INC COM NEW 317K 713 –
INTUITIVE SURGICAL INC COM NEW 311K 700 –
ISHARES INC MSCI JPN ETF NEW 15M 214K –
ISHARES INC MSCI EMRG CHN 23M 392K –
ISHARES TR LATN AMER 40 ETF 9M 376K –
ISHARES TR 0-3 MNTH TREASRY 3M 33K –
ISHARES TR RUSSELL 2000 ETF 14M 70K –
ISHARES TR MSCI INDIA ETF 12M 213K –
ISHARES TR CORE S&P500 ETF 328K 600 –
ISHARES TR CORE S&P500 ETF 361K 660 –
ISHARES TR 20 YR TR BD ETF 39M 428K –
MADRIGAL PHARMACEUTICALS INC COM 201K 718 –
META PLATFORMS INC CL A 142K 282 –
META PLATFORMS INC CL A 101K 200 –
MICROSOFT CORP COM 561K 1K –
MONOGRAM TECHNOLOGIES INC COM 63K 29K –
NEXGEN ENERGY LTD COM 87K 13K –
NVIDIA CORPORATION COM 210K 2K –
NVIDIA CORPORATION COM 597K 5K –
NVIDIA CORPORATION COM 469K 4K –
PROSHARES TR II ULTRA SILVER NEW 321K 9K –
SANDSTORM GOLD LTD COM NEW 91K 17K –
SANGAMO THERAPEUTICS INC COM 4K 10K –
SCHWAB STRATEGIC TR US AGGREGATE B 476K 10K –
SEABRIDGE GOLD INC COM 371K 27K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 9M 61K –
SELECT SECTOR SPDR TR SBI INT-UTILS 20M 297K –
SPDR S&P 500 ETF TR TR UNIT 1M 2K –
SPDR S&P 500 ETF TR TR UNIT 925K 2K –
SPDR SER TR PORTFOLIO LN TSR 4M 153K –
SPDR SER TR COMP SOFTWARE 10M 69K –
SPDR SER TR S&P METALS MNG 11M 179K –
SPROTT PHYSICAL GOLD & SILVE TR UNIT 8M 381K –
SPROTT PHYSICAL GOLD TR UNIT 490K 27K –
SPROTT PHYSICAL SILVER TR TR UNIT 1M 104K –
TEMPLETON EMERGING MKTS INCO COM 320K 60K –
TESLA INC COM 350K 2K –
URANIUM ENERGY CORP COM 174K 29K –
VANECK ETF TRUST GOLD MINERS ETF 58M 2M –
VANECK ETF TRUST GOLD MINERS ETF 28M 812K –
VANECK ETF TRUST JUNIOR GOLD MINE 3M 68K –
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 311K 6K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 342K 8K –
VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 8M 92K –
WHEATON PRECIOUS METALS CORP COM 208K 4K –